13F-HR/A filed by KMS FINANCIAL SERVICES, INC
KMS FINANCIAL SERVICES, INC filed this 13F-HR/A for the quarter ended 2014-09-30, filed 2014-11-17, with 541 holding rows worth $712,977,000.
- Accession
- 0001580308-14-000011
- Filer
- CIK 1580308
- Filed
- 2014-11-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, amendment of type restatement, 764 entries on the cover page, a total value of $712,977,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $712,977,000 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 |
|---|---|---|---|---|---|---|
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 10,856 | $146,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 12,377 | $145,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 29,500 | $143,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 12,758 | $141,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 10,448 | $137,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 10,500 | $137,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 10,225 | $133,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 33,176 | $132,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 13,573 | $126,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 32,100 | $118,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,863 | $117,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 117,500 | $111,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 18,170 | $107,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 16,505 | $102,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 26,489 | $101,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 87,852 | $100,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 40,366 | $100,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 20,250 | $99,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 21,000 | $97,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 14,984 | $96,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 28,340 | $93,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 35,940 | $89,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 24,900 | $85,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 13,220 | $80,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 35,000 | $79,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 61,500 | $74,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 47,000 | $70,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 13,253 | $66,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 23,900 | $63,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 50,228 | $60,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 17,860 | $54,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,000 | $48,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 19,242 | $48,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 15,735 | $48,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 22,010 | $33,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 18,943 | $27,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 25,000 | $26,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 11,220 | $23,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 14,171 | $22,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 19,990 | $21,000 | thousands by filing date | |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 12,560 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580308-14-000010 | superseded | 2014-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001580308-14-000011 | this filing | 2014-11-17 | acceptance time not in the bulk data set |