13F-HR filed by Investors Capital Advisory Services
Investors Capital Advisory Services filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-02, with 717 holding rows worth $521,328,000.
- Accession
- 0001427271-16-000007
- Filer
- CIK 1427271
- Filed
- 2016-08-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 1,061 entries on the cover page, a total value of $521,328,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $521,328,000 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 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 managerWELLESLEY INVESTMENT ADVISORS 028-14868
- included managerTIMECAPITAL INVESTOR ADVISORY SERVICES, INC.
- included managerTOWER SQUARE INVESTMENT MANAGEMENT
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 |
|---|---|---|---|---|---|---|
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 16,418 | $253,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 270,000 | $253,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 5,562 | $251,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 14,163 | $251,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,068 | $250,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 16,724 | $249,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 256,000 | $249,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 29,599 | $247,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 9,409 | $246,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 6,500 | $246,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,648 | $244,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 263,000 | $243,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 242,000 | $242,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 4,994 | $240,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 20,559 | $238,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 3,750 | $238,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 3,068 | $238,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,279 | $237,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 5,106 | $236,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 6,637 | $236,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 5,894 | $236,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1,811 | $235,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 11,218 | $235,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 2,044 | $234,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 17,101 | $234,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 1,996 | $233,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 81 | $232,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 16,991 | $232,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 4,819 | $230,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 3,098 | $229,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 8,970 | $229,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 15,706 | $229,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 5,050 | $228,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 13,902 | $228,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 6,405 | $228,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 10,550 | $228,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 8,037 | $227,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 3,423 | $227,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 26,591 | $227,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,493 | $226,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 5,402 | $226,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 2,860 | $226,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 1,903 | $226,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 22,035 | $226,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 16,461 | $225,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 8,795 | $225,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 247,000 | $224,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,850 | $223,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 2,964 | $222,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 915 | $222,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 36,200 | $222,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 2,305 | $222,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 5,620 | $222,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 215,000 | $222,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 39,003 | $221,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 2,825 | $221,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 4,890 | $221,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 4,333 | $221,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 23,933 | $221,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 4,567 | $220,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 16,760 | $220,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 5,845 | $219,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,027 | $218,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 1,603 | $216,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,831 | $215,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 4,337 | $215,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 5,376 | $215,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 4,130 | $213,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,754 | $213,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 13,720 | $211,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 6,200 | $210,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 13,900 | $209,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 10,494 | $209,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 25,306 | $208,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 7,735 | $208,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 2,053 | $207,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 4,665 | $207,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 11,475 | $207,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,085 | $207,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 1,715 | $206,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 6,680 | $206,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 9,225 | $206,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 13,925 | $204,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 4,915 | $203,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 8,254 | $203,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 2,420 | $203,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 12,340 | $203,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 1,075 | $203,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 4,563 | $202,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 8,079 | $201,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 8,000 | $201,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 4,488 | $200,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 3,097 | $199,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 6,294 | $199,000 | thousands by filing date | |
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 19,105 | $198,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 17,074 | $197,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 17,271 | $197,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 248,000 | $193,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 10,733 | $191,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 18,500 | $191,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 18,092 | $187,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 11,471 | $184,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 12,020 | $183,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 25,800 | $180,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 11,970 | $178,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 18,800 | $178,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 10,005 | $177,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 12,195 | $171,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 13,117 | $170,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 11,184 | $170,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 13,367 | $169,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 11,000 | $163,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 11,939 | $163,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 284,000 | $162,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 10,350 | $161,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 29,300 | $161,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 182,000 | $160,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 15,997 | $158,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 10,559 | $156,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 19,557 | $154,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 14,209 | $153,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 154,000 | $153,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 10,445 | $150,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 158,000 | $147,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 12,735 | $145,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 19,431 | $144,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 10,841 | $144,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 154,000 | $143,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 10,550 | $141,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 29,705 | $139,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 13,713 | $138,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 11,450 | $138,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 13,542 | $136,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 52,644 | $135,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 15,000 | $129,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 25,554 | $128,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 14,000 | $126,000 | thousands by filing date | |
| GRAMERCY PPTY TR COM | 385002100 | Stock | 13,349 | $123,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 23,952 | $122,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 146,000 | $117,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 14,935 | $114,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 22,489 | $114,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 12,294 | $113,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 109,000 | $113,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 10,534 | $110,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 112,000 | $109,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 12,500 | $105,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 103,000 | $104,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 10,950 | $102,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 23,500 | $102,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 10,610 | $98,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 12,462 | $95,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 10,983 | $95,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 20,600 | $95,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 10,420 | $95,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 93,000 | $92,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 17,560 | $88,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 14,559 | $86,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 85,000 | $83,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 33,553 | $83,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 85,000 | $81,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 10,349 | $80,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 19,113 | $80,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 13,841 | $79,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 45,250 | $76,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 68,000 | $75,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 18,887 | $74,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 10,107 | $73,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 68,000 | $72,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 16,990 | $71,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 13,495 | $70,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 11,043 | $65,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 12,416 | $65,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 46,671 | $65,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 65,000 | $65,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 16,085 | $62,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 14,602 | $61,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 58,000 | $61,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 27,800 | $48,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 47,000 | $43,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 33,800 | $42,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 44,000 | $42,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 16,675 | $41,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 12,659 | $41,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 40,000 | $40,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 35,000 | $34,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 29,000 | $30,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 20,852 | $28,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 25,000 | $27,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 37,000 | $26,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 33,000 | $25,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 26,000 | $25,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 16,000 | $24,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 11,178 | $23,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 27,250 | $22,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621AQ1 | NOTE 1.375% 1/0 | 23,000 | $22,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 24,000 | $21,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 14,000 | $20,000 | thousands by filing date | |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 18,000 | $20,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 20,000 | $19,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 18,000 | $18,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 16,000 | $17,000 | thousands by filing date | |
| SIGNAL GENETICS INC | 826640104 | Cmn | 39,250 | $16,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 12,031 | $15,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 14,000 | $15,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 16,000 | $15,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 10,831 | $14,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 17,000 | $14,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 24,600 | $12,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 11,000 | $12,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 14,500 | $9,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 12,500 | $8,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 11,250 | $7,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 10,850 | $5,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 10,000 | $1,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 25,250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 98,540 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001427271-16-000007 | this filing | 2016-08-02 | acceptance time not in the bulk data set |