13F-HR filed by Aviance Capital Partners, LLC
Aviance Capital Partners, LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-07, with 211 holding rows worth $237,422,000.
- Accession
- 0001542383-14-000001
- Filer
- CIK 1542383
- Filed
- 2014-02-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 205 entries on the cover page, a total value of $237,422,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $237,412,000 with VALUE read as thousands by filing date, 13F file number 028-14896. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerAVIANCE CAPITAL MANAGEMENT, LLC028-14439
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 |
|---|---|---|---|---|---|---|
| FOREST LABS INC | 345838106 | COM | 342,600 | $20,566,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 16,428 | $9,216,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 108,034 | $8,795,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 59,917 | $6,064,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 38,302 | $5,228,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 25,287 | $4,743,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 78,979 | $4,619,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 34,435 | $3,811,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 54,527 | $3,642,000 | thousands by filing date | |
| PROSHARES | 74347R297 | EXCHANGE TRADED | 45,308 | $3,588,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 19,990 | $3,543,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 46,059 | $3,420,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC | 472147107 | COM | 26,675 | $3,376,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 29,560 | $3,372,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 97,739 | $2,994,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 75,921 | $2,669,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 42,280 | $2,636,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 35,935 | $2,572,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 20,581 | $2,440,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 26,624 | $2,438,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 48,001 | $2,399,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 62,424 | $2,388,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 7,236 | $2,290,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 142,250 | $2,235,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 37,225 | $2,149,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 83,715 | $2,106,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 29,850 | $1,979,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 53,631 | $1,943,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 168,468 | $1,899,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 13,040 | $1,829,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 20,850 | $1,824,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 30,790 | $1,679,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 177,625 | $1,674,000 | thousands by filing date | |
| 1/100 Berkshire Hath A | 084990175 | BRKA | 900 | $1,601,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 13,935 | $1,586,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 29,700 | $1,579,000 | thousands by filing date | |
| UBS AG JERSEY BRANCH | 902664200 | 2XMN ALR MLP INF | 28,025 | $1,579,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 29,858 | $1,577,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 16,980 | $1,558,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 29,363 | $1,525,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 19,788 | $1,516,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 25,000 | $1,463,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 34,923 | $1,435,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 94,500 | $1,334,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 8,767 | $1,303,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 14,310 | $1,298,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 42,750 | $1,274,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 56,000 | $1,259,000 | thousands by filing date | |
| ING INFRASTRUCTURE INDLS & M | 45685U100 | COM | 72,750 | $1,249,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 44,206 | $1,239,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 6,586 | $1,216,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 77,546 | $1,213,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 89,475 | $1,175,000 | thousands by filing date | |
| QUESTCOR PHARMACEUTICALS INC | 74835Y101 | COM | 21,300 | $1,160,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 9,675 | $1,136,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 25,898 | $1,124,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 21,276 | $1,072,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 32,750 | $1,009,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 19,800 | $1,005,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 19,822 | $992,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 58,571 | $992,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 5,503 | $979,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 6,050 | $976,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 65,251 | $976,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 12,260 | $946,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 11,255 | $934,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 11,207 | $921,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 7,318 | $914,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 15,900 | $913,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 12,861 | $907,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 34,300 | $892,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 61,926 | $884,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 7,921 | $875,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 6,745 | $868,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 16,500 | $864,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 10,700 | $830,000 | thousands by filing date | |
| SAFEWAY INC | 786514208 | COM NEW | 25,357 | $826,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 3,000 | $826,000 | thousands by filing date | |
| 38259p508 | COM | 726 | $814,000 | thousands by filing date | ||
| ING ASIA PAC HGH DIVID EQ IN | 44983J107 | COM | 63,600 | $813,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 12,650 | $806,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 32,501 | $805,000 | thousands by filing date | |
| PRECISION CASTPARTS CORP | 740189105 | COM | 2,950 | $794,000 | thousands by filing date | |
| HCC INS HLDGS INC | 404132102 | COM | 16,914 | $780,000 | thousands by filing date | |
| STANCORP FINL GROUP INC | 852891100 | COM | 11,560 | $766,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 3,525 | $765,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 29,100 | $756,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 20,333 | $749,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 9,641 | $746,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 8,150 | $745,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 55,329 | $744,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 28,029 | $735,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 18,300 | $730,000 | thousands by filing date | |
| ASSURANT INC COM | 04621X108 | Stock | 10,988 | $729,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 29,144 | $727,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 4,275 | $722,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 14,624 | $711,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 850 | $710,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 23,811 | $703,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 55,000 | $697,000 | thousands by filing date | |
| TORCHMARK CORP | 891027104 | COM | 8,896 | $695,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 6,000 | $690,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 10,169 | $678,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 32,800 | $673,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 7,415 | $652,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 30,254 | $643,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 7,933 | $640,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 41,725 | $636,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 16,963 | $635,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 11,175 | $625,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 8,746 | $623,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 2,550 | $619,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 5,405 | $619,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 41,568 | $616,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 11,869 | $614,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 9,358 | $610,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 66,773 | $607,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 14,743 | $606,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 7,400 | $598,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 6,841 | $596,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 9,170 | $596,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 9,863 | $589,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 5,504 | $585,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 11,314 | $577,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 5,312 | $565,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 6,136 | $561,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 21,083 | $548,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 10,496 | $543,000 | thousands by filing date | |
| Covidien Ltd | G2554F105 | SHS | 7,900 | $538,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 19,225 | $527,000 | thousands by filing date | |
| CASH AMER INTL INC | 14754D100 | COM | 13,708 | $525,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 4,900 | $506,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 11,993 | $495,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 13,722 | $491,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 5,028 | $488,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 5,800 | $486,000 | thousands by filing date | |
| QUAKER HOUGHTON | 747316107 | COM | 6,275 | $484,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 42,730 | $481,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 42,825 | $480,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 4,630 | $475,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 6,825 | $467,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 33,377 | $460,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 29,925 | $458,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 65,908 | $457,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 7,970 | $452,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 13,800 | $425,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 9,400 | $416,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 3,725 | $415,000 | thousands by filing date | |
| WINDSTREAM CORP | 97381W104 | COM | 51,600 | $412,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 4,658 | $400,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 10,252 | $394,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 5,151 | $393,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 33,630 | $393,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 4,270 | $390,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 193,080 | $388,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 4,500 | $385,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 4,785 | $381,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 3,259 | $378,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 22,898 | $374,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 36,725 | $366,000 | thousands by filing date | |
| Duke Energy | 26441C105 | Common | 5,242 | $362,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 7,000 | $359,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 32,200 | $341,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 3,775 | $340,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,000 | $336,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 4,680 | $325,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 15,474 | $315,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 3,950 | $313,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 3,251 | $302,000 | thousands by filing date | |
| PUBLIX SUPER MKTS INC RESTRICTED | 744663105 | REIT | 10,075 | $302,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 2,107 | $297,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 4,184 | $294,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 2,000 | $291,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 7,087 | $289,000 | thousands by filing date | |
| ITT CORP | 450911201 | COM | 6,550 | $284,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 29,975 | $282,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 3,550 | $279,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 4,300 | $272,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 9,400 | $269,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,315 | $264,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 5,600 | $262,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 2,432 | $262,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 5,247 | $258,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 2,685 | $255,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 4,000 | $252,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 2,500 | $251,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 3,000 | $250,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 3,488 | $246,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 4,153 | $237,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 5,193 | $236,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 5,959 | $228,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 1,888 | $220,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 3,550 | $220,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 18,500 | $214,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 12,169 | $213,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 11,775 | $207,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 3,672 | $203,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 9,610 | $202,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 14,675 | $171,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 10,000 | $151,000 | thousands by filing date | |
| ING RISK MANAGED NAT RES FD | 449810100 | COM | 15,379 | $151,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 10,000 | $130,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 15,085 | $122,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 10,948 | $106,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 10,488 | $86,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 12,563 | $83,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 14,368 | $78,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 25,000 | $53,000 | thousands by filing date | |
| HEXAGON COMPOSITES ASA | R32035116 | COM | 10,000 | $53,000 | thousands by filing date | |
| Visualant, Inc. (Restricted) | 928449107 | common | 60,000 | $4,000 | thousands by filing date | |
| GLOBAL ENERGY HLDGS GR COM | 37991A100 | COM | 18,800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001542383-14-000001 | this filing | 2014-02-07 | acceptance time not in the bulk data set |