13F-HR filed by Investors Capital Advisory Services
Investors Capital Advisory Services filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-17, with 724 holding rows worth $498,443,000.
- Accession
- 0001427271-15-000004
- Filer
- CIK 1427271
- Filed
- 2015-11-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 1,026 entries on the cover page, a total value of $498,443,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $498,443,000 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 028-03768
- included managerVALUEWORKS LLC 028-11180
- included managerABNER HERRMAN & BROCK, LLC 028-06312
- included managerCARRET ASSET MANAGEMENT, LLC 028-01317
- 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 |
|---|---|---|---|---|---|---|
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 35,124 | $250,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 9,797 | $250,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 81 | $249,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 7,279 | $249,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 19,954 | $248,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 13,900 | $247,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 10,818 | $247,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 10,319 | $247,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 2,164 | $246,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,706 | $246,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 33,130 | $246,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 51,916 | $246,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 9,197 | $245,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 2,846 | $245,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,899 | $244,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,697 | $243,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 5,138 | $243,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 4,855 | $242,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 2,885 | $242,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 2,099 | $242,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 18,698 | $241,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 2,816 | $240,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 6,072 | $239,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 4,370 | $238,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 2,342 | $237,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 2,844 | $236,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 7,205 | $236,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 5,523 | $235,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 4,382 | $235,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 11,752 | $235,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 17,064 | $235,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 5,927 | $235,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 11,505 | $234,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 5,526 | $232,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 11,685 | $231,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 21,250 | $231,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 9,506 | $230,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 1,900 | $230,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 5,615 | $230,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 6,251 | $229,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 6,350 | $229,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 8,962 | $229,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 4,806 | $228,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 3,078 | $227,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 3,307 | $227,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 17,556 | $227,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 5,498 | $227,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 3,642 | $226,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 5,918 | $225,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 5,088 | $225,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 16,780 | $223,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 8,795 | $223,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,364 | $222,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 6,930 | $222,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 2,761 | $221,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 2,855 | $221,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 2,517 | $220,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 37,313 | $220,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 18,350 | $219,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 21,356 | $219,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 4,900 | $219,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 8,962 | $218,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 3,030 | $218,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 6,852 | $216,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 4,245 | $215,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 7,430 | $213,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 5,446 | $213,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 4,519 | $212,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 4,164 | $211,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 205,000 | $211,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 14,000 | $209,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 4,009 | $208,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 3,525 | $208,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 15,566 | $208,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 3,985 | $207,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,689 | $207,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 3,852 | $206,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 2,431 | $206,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 3,896 | $206,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 7,380 | $205,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 5,714 | $203,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 1,070 | $203,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 10,727 | $202,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 19,616 | $202,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 16,478 | $201,000 | thousands by filing date | |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 2,241 | $200,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 15,868 | $199,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 220,000 | $199,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 56,300 | $198,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 33,800 | $197,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 13,450 | $197,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 18,589 | $195,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 13,380 | $187,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 11,606 | $186,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 16,155 | $186,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 228,000 | $186,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 12,564 | $185,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,430 | $180,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 21,681 | $179,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 12,500 | $179,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 36,171 | $176,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 13,918 | $175,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 15,262 | $173,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 78,850 | $172,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 30,142 | $172,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 11,694 | $171,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 10,517 | $166,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 11,507 | $166,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 24,297 | $164,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 11,495 | $163,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 12,127 | $162,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 26,519 | $160,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 12,862 | $157,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 82,475 | $153,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 20,707 | $152,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 158,000 | $151,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 15,335 | $148,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 11,635 | $147,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 11,200 | $145,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,100 | $143,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 13,713 | $143,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 12,520 | $141,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 17,300 | $140,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 14,478 | $139,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 23,186 | $137,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 30,322 | $136,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 10,000 | $132,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 119,000 | $130,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,300 | $128,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 25,500 | $128,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 10,944 | $127,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 25,064 | $126,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 151,000 | $126,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 142,000 | $124,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 12,305 | $120,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 11,850 | $120,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 10,135 | $120,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 10,492 | $119,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 12,000 | $117,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 43,404 | $116,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 16,899 | $109,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 20,440 | $107,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 113,000 | $106,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 10,440 | $104,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 11,747 | $104,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 11,126 | $103,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 104,000 | $103,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 12,915 | $102,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 13,965 | $99,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 10,133 | $97,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 121,063 | $97,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 20,300 | $96,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 55,050 | $96,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 14,085 | $95,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 10,315 | $94,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 18,706 | $94,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 15,487 | $93,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 90,000 | $90,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 82,000 | $88,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 13,480 | $87,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 76,000 | $86,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 11,538 | $84,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 10,370 | $81,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 19,008 | $79,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 21,227 | $79,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 21,850 | $79,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 14,750 | $79,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 34,435 | $73,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 16,990 | $71,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 11,789 | $71,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 19,113 | $71,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 26,000 | $62,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 70,000 | $58,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 10,000 | $56,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 25,800 | $56,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 75,900 | $55,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 54,000 | $55,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 27,650 | $54,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 11,271 | $53,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 55,000 | $51,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 12,684 | $51,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 14,500 | $48,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 51,000 | $48,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 51,000 | $47,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 12,616 | $46,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 22,332 | $43,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 10,000 | $43,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 10,150 | $42,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 34,482 | $39,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 15,000 | $37,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 10,900 | $33,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,000 | $33,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 29,250 | $32,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 20,000 | $32,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 33,000 | $32,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 15,000 | $30,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 10,650 | $29,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 33,000 | $29,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 38,150 | $28,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 29,000 | $28,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 14,282 | $24,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 13,500 | $22,000 | thousands by filing date | |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 18,000 | $20,000 | thousands by filing date | |
| SIGNAL GENETICS INC | 826640104 | Cmn | 22,250 | $20,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 22,000 | $19,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 14,053 | $18,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 30,000 | $17,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 14,000 | $17,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 20,000 | $16,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 16,000 | $16,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 12,600 | $15,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 17,000 | $15,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 10,000 | $14,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 78,712 | $12,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 11,250 | $12,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 25,600 | $10,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 12,531 | $9,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 20,520 | $9,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 39,850 | $8,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 10,850 | $4,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,990 | $4,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 11,606 | $3,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 10,000 | $1,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 25,250 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001427271-15-000004 | this filing | 2015-11-17 | acceptance time not in the bulk data set |