13F-HR filed by KMS FINANCIAL SERVICES, INC
KMS FINANCIAL SERVICES, INC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-10, with 527 holding rows worth $592,383,000.
- Accession
- 0001580308-14-000002
- Filer
- CIK 1580308
- Filed
- 2014-02-10
- 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, 729 entries on the cover page, a total value of $592,383,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $592,383,000 with VALUE read as thousands by filing date, 13F file number 028-15569. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 34,434 | $120,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 10,100 | $119,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,801 | $115,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 24,600 | $111,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 37,926 | $110,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 36,750 | $108,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 20,950 | $107,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 85,852 | $103,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 15,088 | $100,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 18,630 | $97,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 20,000 | $87,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 10,222 | $87,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 10,555 | $86,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 10,400 | $85,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 12,679 | $64,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 18,943 | $62,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 19,842 | $61,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 20,690 | $60,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 10,853 | $56,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 10,000 | $53,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 18,000 | $53,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 16,849 | $52,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,000 | $40,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 25,000 | $27,000 | thousands by filing date | principal |
| JAMES RIVER COAL CO | 470355207 | COM | 15,190 | $21,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 25,000 | $16,000 | thousands by filing date | |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 12,560 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580308-14-000002 | this filing | 2014-02-10 | acceptance time not in the bulk data set |