13F-HR/A filed by KMS FINANCIAL SERVICES, INC
KMS FINANCIAL SERVICES, INC filed this 13F-HR/A for the quarter ended 2014-03-31, filed 2014-08-08, with 532 holding rows worth $632,380,000.
- Accession
- 0001580308-14-000006
- Filer
- CIK 1580308
- Filed
- 2014-08-08
- 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, amendment of type restatement, 743 entries on the cover page, a total value of $632,380,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $632,380,000 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 |
|---|---|---|---|---|---|---|
| DENISON MINES CORP | 248356107 | COM | 86,852 | $128,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 10,000 | $126,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 10,921 | $123,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 17,671 | $121,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,863 | $121,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 28,145 | $115,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 33,176 | $114,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 11,039 | $106,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 24,190 | $101,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 29,000 | $101,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 13,990 | $101,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 10,500 | $100,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 15,088 | $99,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 10,230 | $92,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 20,000 | $92,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 24,600 | $92,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 27,072 | $83,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 11,005 | $81,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 18,333 | $78,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 18,630 | $75,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 21,940 | $71,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 19,842 | $61,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 18,943 | $59,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 10,953 | $57,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 14,171 | $50,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,000 | $47,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 16,000 | $39,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 12,000 | $35,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 25,000 | $27,000 | thousands by filing date | principal |
| RARE ELEMENT RES LTD | 75381M102 | COM | 10,030 | $15,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 15,190 | $11,000 | 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 0001580308-14-000004 | superseded | 2014-05-09 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001580308-14-000006 | this filing | 2014-08-08 | acceptance time not in the bulk data set |