13F-HR filed by KMS FINANCIAL SERVICES, INC
KMS FINANCIAL SERVICES, INC filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-09, with 932 holding rows worth $2,020,675,000.
- Accession
- 0001580308-14-000004
- Filer
- CIK 1580308
- Filed
- 2014-05-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 1,205 entries on the cover page, a total value of $2,020,675,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,020,675,000 with VALUE read as thousands by filing date, 13F file number 028-15569. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 19,974 | $544,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 9,936 | $543,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 6,378 | $542,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 54,369 | $539,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 47,514 | $539,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 11,454 | $535,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 15,149 | $533,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 8,155 | $533,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 22,347 | $529,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 4,968 | $528,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 12,618 | $528,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 4,245 | $527,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 8,919 | $526,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 42,600 | $526,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 10,928 | $525,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 18,297 | $524,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 19,134 | $523,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 9,000 | $522,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P | 96950F104 | COM UNIT L P | 10,212 | $520,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 58,884 | $517,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 17,910 | $516,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 15,714 | $513,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 10,685 | $509,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 18,729 | $507,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 4,773 | $505,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 14,532 | $501,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 28,140 | $501,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 78,000 | $500,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 17,925 | $500,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 9,519 | $497,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 5,834 | $494,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 3,645 | $494,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 10,860 | $485,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 10,422 | $485,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 23,702 | $484,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 39,959 | $484,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 25,470 | $483,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 9,949 | $483,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 17,349 | $480,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 10,921 | $477,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 9,009 | $477,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 14,633 | $473,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 81,510 | $473,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 6,453 | $473,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 13,386 | $472,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 14,133 | $470,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 8,758 | $469,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 15,246 | $467,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 17,982 | $466,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 31,470 | $466,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 21,720 | $464,000 | thousands by filing date | |
| ISHARES INC MSCI UTD KINGD | 464286699 | COM | 22,542 | $464,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 11,274 | $463,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 9,600 | $463,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 8,850 | $462,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 36,486 | $462,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 8,034 | $460,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 27,864 | $459,000 | thousands by filing date | |
| STANCORP FINL GROUP INC | 852891100 | COM | 6,781 | $453,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 9,867 | $448,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 9,754 | $444,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 22,131 | $442,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 15,450 | $440,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 38,203 | $439,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 12,896 | $439,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 26,813 | $438,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 9,140 | $437,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 8,976 | $436,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 5,460 | $434,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 3,588 | $433,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 5,828 | $429,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 46,894 | $428,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 7,125 | $428,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 6,003 | $427,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 8,238 | $426,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 30,410 | $426,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 5,014 | $426,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 2,829 | $423,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 12,060 | $423,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 15,622 | $422,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 13,669 | $422,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 10,785 | $422,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 4,215 | $420,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 5,263 | $419,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 3,717 | $417,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 6,840 | $415,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 27,819 | $414,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 37,104 | $413,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 16,875 | $413,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 42,087 | $412,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 4,787 | $412,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 20,088 | $412,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 2,706 | $412,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 16,512 | $410,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 19,100 | $408,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 15,282 | $407,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 19,761 | $406,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 5,200 | $405,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 10,041 | $403,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 4,266 | $399,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 16,203 | $399,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 5,181 | $397,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 8,643 | $397,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 9,779 | $397,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 5,120 | $396,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 4,795 | $393,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 15,811 | $393,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 6,735 | $392,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 10,530 | $391,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 9,450 | $391,000 | thousands by filing date | |
| Hubbell Inc Class B | 443510201 | COM | 3,264 | $391,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 53,271 | $391,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 22,698 | $390,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 3,231 | $389,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 2,613 | $389,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,236 | $389,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 5,610 | $388,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 23,742 | $388,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 30,464 | $388,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 12,240 | $387,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 16,920 | $385,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 9,330 | $384,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 260,556 | $383,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 22,275 | $383,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 15,096 | $382,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 2,157 | $381,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 6,019 | $380,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 25,897 | $379,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 30,000 | $379,000 | thousands by filing date | |
| ABM INDS INC | 000957100 | COM | 13,114 | $377,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 4,500 | $375,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 5,496 | $374,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 14,463 | $374,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 32,764 | $370,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 15,198 | $370,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 5,946 | $368,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 6,459 | $367,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 9,835 | $367,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 4,494 | $365,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 53,013 | $364,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 11,553 | $364,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 28,023 | $363,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 5,279 | $363,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 35,588 | $362,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 7,560 | $361,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 5,946 | $357,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 12,834 | $356,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 6,726 | $355,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 5,955 | $353,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 28,773 | $349,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 7,540 | $347,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 8,184 | $346,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 84,435 | $346,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 5,100 | $345,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 3,726 | $342,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 19,908 | $341,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 99,528 | $341,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 5,107 | $340,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 5,383 | $339,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 3,897 | $339,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 18,927 | $339,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 4,481 | $337,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 2,802 | $337,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 3,777 | $336,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 13,410 | $336,000 | thousands by filing date | |
| BARNES GROUP INC | 067806109 | COM | 8,709 | $335,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 2,604 | $334,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 9,435 | $334,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 4,896 | $334,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 9,762 | $334,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 6,837 | $333,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 8,475 | $332,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 13,200 | $330,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 2,640 | $329,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 15,153 | $328,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 3,081 | $328,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 8,253 | $328,000 | thousands by filing date | |
| HCC INS HLDGS INC | 404132102 | COM | 7,188 | $327,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 24,000 | $327,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 26,528 | $326,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 2,778 | $326,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 6,600 | $325,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 26,142 | $325,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 13,753 | $324,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 2,874 | $324,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 10,395 | $322,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 4,098 | $322,000 | thousands by filing date | |
| DENTSPLY INTL INC | 249030107 | COM | 6,993 | $322,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 8,622 | $317,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 33,117 | $317,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 11,580 | $317,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 24,600 | $316,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 11,025 | $316,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 21,630 | $315,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 12,996 | $315,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 7,110 | $315,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 9,985 | $314,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 6,585 | $314,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 26,100 | $312,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 3,744 | $311,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 2,184 | $311,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 9,627 | $310,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 3,367 | $308,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 2,958 | $308,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 12,276 | $307,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 9,522 | $307,000 | thousands by filing date | |
| OUTERWALL INC | 690070107 | COM | 4,227 | $306,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 8,786 | $304,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 2,277 | $304,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 72,570 | $304,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 41,970 | $303,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 87,000 | $302,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 31,500 | $300,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 5,049 | $299,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 6,282 | $296,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 45,265 | $296,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 9,000 | $295,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 3,273 | $292,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 5,454 | $292,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 7,344 | $291,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 7,137 | $291,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 5,358 | $291,000 | thousands by filing date | |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 14,160 | $288,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 3,722 | $287,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 4,860 | $287,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 8,157 | $287,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 8,022 | $285,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 6,024 | $284,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 2,343 | $284,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 11,895 | $283,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 7,281 | $283,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 14,250 | $282,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 4,500 | $281,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 7,886 | $280,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 10,473 | $280,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 20,895 | $280,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 9,513 | $279,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 4,258 | $279,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 11,853 | $279,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 7,562 | $279,000 | thousands by filing date | |
| EL PASO PIPELINE PARTNERS | 283702108 | COMMON STOCK | 9,158 | $278,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 73,800 | $277,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 2,868 | $276,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 21,000 | $276,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 3,030 | $275,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 30,690 | $275,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 60,000 | $275,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 19,665 | $274,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 7,650 | $274,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 13,569 | $273,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 2,283 | $272,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 21,300 | $272,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 7,749 | $272,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 4,215 | $271,000 | thousands by filing date | |
| BEMIS INC | 081437105 | COM | 6,856 | $269,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 14,460 | $269,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 11,091 | $268,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 5,322 | $268,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 5,245 | $267,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 7,365 | $267,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 20,775 | $266,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 3,312 | $264,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 9,822 | $263,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 8,100 | $263,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 1,938 | $262,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 9,900 | $262,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 2,100 | $259,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 9,975 | $258,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 14,475 | $257,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 10,950 | $255,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 17,355 | $252,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 1,683 | $250,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 81,217 | $249,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 14,520 | $249,000 | thousands by filing date | |
| BRINKER INTL INC COM | 109641100 | Stock | 4,704 | $247,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 11,349 | $246,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 13,326 | $245,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 7,200 | $244,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 3,066 | $244,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 4,956 | $243,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 4,365 | $243,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 19,974 | $243,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 5,160 | $243,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 11,094 | $243,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 5,076 | $242,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 33,016 | $242,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 3,852 | $241,000 | thousands by filing date | |
| TRULIA INC | 897888103 | COM | 7,250 | $241,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 1,500 | $240,000 | thousands by filing date | |
| MCGRAW HILL FINL INC | 580645109 | COM | 3,135 | $239,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 6,000 | $238,000 | thousands by filing date | |
| CENTRAL GOLDTRUST | 153546106 | TR U | 5,265 | $238,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 3,393 | $237,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 6,150 | $236,000 | thousands by filing date | |
| WELLPOINT INC | 94973V107 | COM | 2,358 | $235,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 24,741 | $234,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 54,999 | $234,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 18,000 | $234,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 1,950 | $233,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 13,688 | $233,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 13,761 | $233,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 5,874 | $233,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 6,630 | $232,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 2,535 | $231,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 12,825 | $231,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 16,200 | $230,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 6,027 | $230,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 8,250 | $229,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 11,130 | $228,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 2,031 | $226,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 5,625 | $226,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 7,733 | $225,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 55,890 | $225,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 3,279 | $225,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 3,439 | $225,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W593 | GUG RUSS1000 EQL | 4,672 | $225,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 3,352 | $224,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 9,150 | $224,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 2,544 | $222,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 17,656 | $222,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 7,729 | $222,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 4,209 | $222,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 11,082 | $221,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 2,802 | $217,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 6,167 | $216,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 13,500 | $216,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 5,979 | $216,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 6,255 | $215,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 15,816 | $214,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 1,300 | $213,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 8,550 | $213,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 65,820 | $213,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 14,700 | $213,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 14,907 | $212,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 2,639 | $212,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 15,000 | $211,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 15,960 | $210,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 7,030 | $209,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 3,726 | $209,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 3,378 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 16,939 | $208,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 15,600 | $207,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 15,585 | $207,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 2,975 | $206,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 4,761 | $206,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 4,581 | $206,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 1,554 | $206,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 8,580 | $205,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 10,146 | $205,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 7,803 | $203,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 3,720 | $203,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 3,997 | $202,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 4,624 | $201,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 7,041 | $201,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 11,550 | $200,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 14,871 | $191,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 11,656 | $190,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 10,269 | $184,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 59,526 | $183,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 12,342 | $182,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 10,113 | $181,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 20,226 | $180,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 11,704 | $178,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 29,304 | $178,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 22,695 | $176,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 56,829 | $176,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 21,192 | $176,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 14,905 | $175,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 21,000 | $174,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 13,875 | $173,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 12,663 | $171,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 32,859 | $170,000 | thousands by filing date | |
| PROSHARES | 74347R826 | MUTUAL FUNDS EQ | 10,200 | $169,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 13,125 | $168,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 12,000 | $164,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 10,155 | $163,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 11,595 | $160,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 15,405 | $158,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 13,020 | $155,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 12,492 | $155,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 11,618 | $152,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 42,513 | $150,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 13,500 | $148,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 10,650 | $147,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 11,550 | $147,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 17,400 | $145,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 13,680 | $144,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 17,607 | $143,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 33,000 | $142,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 11,850 | $142,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 10,500 | $138,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 11,973 | $135,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 10,179 | $133,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 11,885 | $133,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 23,424 | $132,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 12,450 | $125,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 19,600 | $124,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 48,000 | $116,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 10,175 | $115,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 26,610 | $112,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 12,173 | $112,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 11,550 | $107,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 18,000 | $106,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 10,000 | $105,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 36,000 | $104,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 16,500 | $104,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 13,500 | $102,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 27,285 | $98,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 16,746 | $98,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 23,790 | $98,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 28,380 | $91,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 12,528 | $88,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 11,100 | $86,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 10,500 | $84,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 19,125 | $83,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 75,000 | $81,000 | thousands by filing date | principal |
| ZIX CORP | 98974P100 | COM | 18,600 | $77,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 24,999 | $75,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 10,459 | $74,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 10,338 | $53,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 27,300 | $50,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 12,000 | $45,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 30,090 | $44,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 13,371 | $43,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 12,000 | $42,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 17,700 | $37,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 45,570 | $34,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 12,000 | $30,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 24,750 | $25,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 10,125 | $24,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,030 | $22,000 | thousands by filing date | |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 37,680 | $19,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580308-14-000004 | this filing | 2014-05-09 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001580308-14-000006 | base | 2014-08-08 | acceptance time not in the bulk data set |