Pinnacle Summer Investments, Inc.

13F filer, CIK 1071341, FAIRFAX, VA

Pinnacle Summer Investments, Inc. reported $902,050,000 across 1,098 holdings for the quarter ended 2014-09-30, in a 13F-HR filed 2014-11-13. Its ten largest share positions make up 50.47% of the portfolio.

Filed 2014-11-13 (acceptance time not in the bulk data set), ingested 2026-10-07 19:26:03 UTC13F-HR 0001085146-14-002250

Period: 2014-09-30
Reported value: $902M
Holdings: 1,098
Top 10 weight: 50.47%
New: 107
Sold out: 39

Largest buys vs the previous quarter

Security	Shares change	Approx. value
MEMORIAL PRODUCTION PARTNERSadded	+459,045	$10.1M
EPDadded	+213,524	$8.6M
MAINadded	+189,556	$5.81M
TVnew	+152,200	$5.16M
PFENEX INCnew	+383,100	$2.82M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

Security	Shares change	Approx. value
PDLI 4 2/1/18exited	-47,439,000	-$53.7M
COLONY CAP INCexited	-45,588,000	-$46.8M
ARES CAP CORPexited	-43,502,000	-$46.8M
PROSPECT CAPITAL CORPexited	-40,539,000	-$42.3M
VIPSHOP HLDGS LTDexited	-22,828,000	-$26.9M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2014

Share positions as resolved from 13F-HR 0001085146-14-002250, largest first. % of portfolio is the value over $902,050,000, the sum of the share positions whose value is usable for ratios (method).

Security	Shares	Value	% of portfolio	Change	Timeline
MADISON SQUARE GARDEN COMADISON SQUARE GARDEN CO	850	$57K	0.01%	-250
XCHYXCALAMOS CONV & HIGH INCOME F	3,948	$56K	0.01%	+54	Timeline
CIM COML TR CORPCIM COML TR CORP	2,557	$56K	0.01%	-375
HXLHEXCEL CORP NEW	1,385	$55K	0.01%	-135	Timeline
MACQUARIE INFRASTRUCTURE HO…MACQUARIE INFRASTRUCTURE HOLDI	825	$55K	0.01%	0
WORLD WRESTLING ENTMT INCWORLD WRESTLING ENTMT INC	4,024	$55K	0.01%	+4,000
COSTCOSTCO WHOLESALE CORPORATION	423	$54K	0.01%	-60	Timeline
DUNKIN BRANDS GROUP INCDUNKIN BRANDS GROUP INC	1,195	$54K	0.01%	+373
PRICELINE GRP INCPRICELINE GRP INC	46	$54K	0.01%	0
URSTADT BIDDLE PROPERTIESURSTADT BIDDLE PROPERTIES	2,675	$54K	0.01%	-600
TJXTJX COS INC NEW	901	$53K	0.01%	0	Timeline
ETRENTERGY CORP NEW	682	$53K	0.01%	+207	Timeline
XYLXYLEM INC	1,480	$53K	0.01%	0	Timeline
HIGHARTFORD INSURANCE GROUP INC	1,422	$53K	0.01%	0	Timeline
PHARMACYCLICS INCPHARMACYCLICS INC	450	$53K	0.01%	0
UPSUNITED PARCEL SVCS INC	534	$52K	0.01%	0	Timeline
Powershs Exch Trad Fd TrPowershs Exch Trad Fd Tr	8,200	$52K	0.01%	+5,600
POWERSHARES WILDERHILL PRGPOWERSHARES WILDERHILL PRG	1,750	$52K	0.01%	+1,225
AMGNAMGEN INC	362	$51K	0.01%	+300	Timeline
CSXCSX CORP	1,600	$51K	0.01%	0	Timeline
DSIISHARES TR	700	$51K	0.01%	0	Timeline
NFLXNETFLIX INC.	112	$51K	0.01%	0	Timeline
IWSISHARES TR	730	$51K	0.01%	0	Timeline
AZOAUTOZONE INC	100	$51K	0.01%	0	Timeline
PBAPEMBINA PIPELINE CORP	1,205	$50K	0.01%	-675	Timeline
PIONEER NATURAL RESOURCES COPIONEER NATURAL RESOURCES CO	256	$50K	0.01%	0
SPECTRA ENERGY CORPSPECTRA ENERGY CORP	1,293	$50K	0.01%	+78
AALAMERICAN AIRLINES GROUP INC	1,389	$49K	0.01%	0	Timeline
ROKROCKWELL AUTOMATION INC	438	$49K	0.01%	0	Timeline
PRUPRUDENTIAL FINL INC	545	$49K	0.01%	0	Timeline
ANNALY CAPITAL MANAGEMENTANNALY CAPITAL MANAGEMENT	4,593	$49K	0.01%	+1,177
REGENCY ENERGY PARTNERS MLREGENCY ENERGY PARTNERS ML	1,499	$49K	0.01%	+800
EOGEOG RES INC	474	$47K	0.01%	-476	Timeline
YUMYUM BRANDS INC	665	$47K	0.01%	+21	Timeline
KRESPDR SERIES TRUST	1,250	$47K	0.01%	0	Timeline
SHOOMADDEN STEVEN LTD	1,465	$47K	0.01%	0	Timeline
MCGRAW HILL FINL INCMCGRAW HILL FINL INC	551	$47K	0.01%	0
POWERSHARESPOWERSHARES	1,600	$47K	0.01%	+1,225
ELLAUDER ESTEE COS INC	620	$46K	0.01%	+150	Timeline
RDOGALPS ETF TR	1,125	$46K	0.01%	0	Timeline
WINDSTREAM HLDGS INCWINDSTREAM HLDGS INC	4,232	$46K	0.01%	+3,700
MSMORGAN STANLEY	1,295	$44K	<0.01%	+1,138	Timeline
VBVANGUARD INDEX FDS	399	$44K	<0.01%	0	Timeline
MUNIPIMCO ETF TR	830	$44K	<0.01%	0	Timeline
OSKOSHKOSH CORP	982	$43K	<0.01%	+317	Timeline
SCISERVICE CORP INTL	2,000	$42K	<0.01%	0	Timeline
PSLVSPROTT ASSET MANAGEMENT LP	6,100	$42K	<0.01%	-2,000	Timeline
LUVSOUTHWEST AIRLS CO	1,200	$41K	<0.01%	0	Timeline
WMBWILLIAMS COS INC	734	$41K	<0.01%	+502	Timeline
CBS CORP NEWCBS CORP NEW	754	$41K	<0.01%	-46
TEOTELECOM ARGENTINA SA	2,000	$41K	<0.01%	0	Timeline
SPIRIT AIRLS INCSPIRIT AIRLS INC	590	$41K	<0.01%	0
BWABORGWARNER INC	771	$40K	<0.01%	-24	Timeline
ADMARCHER DANIELS MIDLAND CO	790	$40K	<0.01%	+652	Timeline
DOVDOVER CORP	500	$40K	<0.01%	0	Timeline
WTWISDOMTREE INC	3,540	$40K	<0.01%	+1,363	Timeline
TECO ENERGY INCTECO ENERGY INC	2,303	$40K	<0.01%	0
SANDRIDGE MISSISSIPPIAN TR ISANDRIDGE MISSISSIPPIAN TR I	6,400	$40K	<0.01%	+350
PMMFRANKLIN MANAGED MUN INCOME	5,496	$39K	<0.01%	new	Timeline
BRKRBRUKER CORP	2,105	$39K	<0.01%	+360	Timeline
CERNER CORPCERNER CORP	655	$39K	<0.01%	0
TRANSCANADA CORPTRANSCANADA CORP	750	$39K	<0.01%	0
SCRIPPS NETWORKS INTERACT INSCRIPPS NETWORKS INTERACT IN	500	$39K	<0.01%	0
NGP CAPITAL RESOURCES CONGP CAPITAL RESOURCES CO	6,250	$39K	<0.01%	+3,000
ISHARES NYSE COMPOSITE INDEXISHARES NYSE COMPOSITE INDEX	395	$39K	<0.01%	0
SCZISHARES TR	773	$38K	<0.01%	+267	Timeline
ORLYOREILLY AUTOMOTIVE INC	250	$38K	<0.01%	0	Timeline
XRNPXCOHEN & STEERS REIT & PFD &	2,200	$38K	<0.01%	-15	Timeline
ETFETF	500	$38K	<0.01%	0
Etfs Phys Platinum EtfEtfs Phys Platinum Etf	303	$38K	<0.01%	-65
MRSHMARSH & MCLENNAN COS INC	706	$37K	<0.01%	0	Timeline
UNFIUNITED NAT FOODS INC	600	$37K	<0.01%	0	Timeline
AAGILENT TECHNOLOGIES INC	645	$37K	<0.01%	-285	Timeline
UHSUNIVERSAL HLTH SVCS INC	350	$37K	<0.01%	-322	Timeline
DISCOVERY INCDISCOVERY INC	1,000	$37K	<0.01%	+500
HATTERAS FINL CORPHATTERAS FINL CORP	2,050	$37K	<0.01%	+1,200
GGGGRACO INC	500	$36K	<0.01%	new	Timeline
BBVABANCO BILBAO VIZCAYA ARGENTA	3,000	$36K	<0.01%	new	Timeline
FEDERAL REALTY INVESTMENT T…FEDERAL REALTY INVESTMENT TRUS	300	$36K	<0.01%	0
CONTINENTAL RES INCCONTINENTAL RES INC	544	$36K	<0.01%	+272
CHICAGO BRIDGE & IRON CO NVCHICAGO BRIDGE & IRON CO NV	628	$36K	<0.01%	-95
PROGRESSIVE WASTE SOLUTIONSPROGRESSIVE WASTE SOLUTIONS	1,359	$35K	<0.01%	-778
BABOEING CO	263	$34K	<0.01%	0	Timeline
EDCONSOLIDATED EDISON INC	600	$34K	<0.01%	+100	Timeline
OHIOMEGA HEALTHCARE INVS INC	1,000	$34K	<0.01%	0	Timeline
OIIOCEANEERING INTL INC	515	$34K	<0.01%	new	Timeline
ALTERA CORPALTERA CORP	945	$34K	<0.01%	-185
APDAIR PRODUCTS AND CHEMICALS I	255	$33K	<0.01%	new	Timeline
FMCFMC CORP	585	$33K	<0.01%	-55	Timeline
IVZINVESCO LTD	838	$33K	<0.01%	0	Timeline
FBINFORTUNE BRANDS INNOVATIONS I	793	$33K	<0.01%	0	Timeline
VLOVALERO ENERGY CORP	700	$33K	<0.01%	0	Timeline
AEEAMEREN CORP	850	$33K	<0.01%	0	Timeline
MMUWESTERN ASSET MANAGED MUNS F	2,560	$33K	<0.01%	0	Timeline
ROCKWELL COLLINS INCROCKWELL COLLINS INC	419	$33K	<0.01%	0
ITT CORPITT CORP	740	$33K	<0.01%	0
BOARDWALK PIPELINE PARTNERSBOARDWALK PIPELINE PARTNERS	1,750	$33K	<0.01%	-1,000
UNILEVER PLCUNILEVER PLC	770	$32K	<0.01%	new
MATTRESS FIRM HLDG CORPMATTRESS FIRM HLDG CORP	525	$32K	<0.01%	0
WELLPOINT INCWELLPOINT INC	265	$32K	<0.01%	0
CVR Partners, LPCVR Partners, LP	2,300	$32K	<0.01%	-700
CENTRAL GOLDTRUSTCENTRAL GOLDTRUST	775	$32K	<0.01%	0
MCHPMICROCHIP TECHNOLOGY INC.	634	$31K	<0.01%	+393	Timeline
OISOIL STS INTL INC	506	$31K	<0.01%	0	Timeline
XMVTXBLACKROCK MUNIVEST FUND II	2,000	$31K	<0.01%	0	Timeline
IYWISHARES TR	300	$30K	<0.01%	new	Timeline
NEENEXTERA ENERGY INC	320	$30K	<0.01%	0	Timeline
TSMTAIWAN SEMICONDUCTOR MANUFAC	1,530	$30K	<0.01%	0	Timeline
URIUNITED RENTALS INC	269	$30K	<0.01%	0	Timeline
PRGOPERRIGO CO PLC	202	$30K	<0.01%	-37	Timeline
LEGACY RESERVES LPLEGACY RESERVES LP	1,000	$30K	<0.01%	0
Breitburn Energy Ptnr LpBreitburn Energy Ptnr Lp	1,500	$30K	<0.01%	0
SUNTRUST BANKS INCSUNTRUST BANKS INC	758	$29K	<0.01%	+628
IMATION CORPIMATION CORP	9,996	$29K	<0.01%	+100
ONEQFIDELITY COMWLTH TR	160	$28K	<0.01%	0	Timeline
MCOMOODYS CORP	300	$28K	<0.01%	0	Timeline
NORDSTROM INCNORDSTROM INC	405	$28K	<0.01%	0
Liberty Media CorpLiberty Media Corp	600	$28K	<0.01%	new
SCHPSCHWAB STRATEGIC TR	500	$27K	<0.01%	0	Timeline
GANNETT INCGANNETT INC	900	$27K	<0.01%	new
HWCHANCOCK WHITNEY CORPORATION	829	$27K	<0.01%	0	Timeline
SPRINT CORPSPRINT CORP	4,186	$27K	<0.01%	+2,617
CALUMET SPECIALTY PRODS PARTCALUMET SPECIALTY PRODS PART	1,000	$27K	<0.01%	0
LOWLOWES COS INC	484	$26K	<0.01%	-796	Timeline
TSCOTRACTOR SUPPLY CO	420	$26K	<0.01%	0	Timeline
CDWCDW CORP	844	$26K	<0.01%	new	Timeline
DRIDARDEN RESTAURANTS INC	504	$26K	<0.01%	0	Timeline
LinnCo, LLCLinnCo, LLC	925	$26K	<0.01%	0
ALLIANT TECHSYSTEMS INCALLIANT TECHSYSTEMS INC	202	$26K	<0.01%	0
ITOTISHARES TR	280	$25K	<0.01%	0	Timeline
AVYAVERY DENNISON CORP	552	$25K	<0.01%	+4	Timeline
CCLCARNIVAL CORP	615	$25K	<0.01%	0	Timeline
LIBERTY GLOBAL PLCLIBERTY GLOBAL PLC	600	$25K	<0.01%	-200
VITAL ENERGY INCVITAL ENERGY INC	1,127	$25K	<0.01%	new
DRYSHIPS INCDRYSHIPS INC	10,000	$25K	<0.01%	new
PPLPPL CORP	729	$24K	<0.01%	+305	Timeline
VISVANGUARD WORLD FD	240	$24K	<0.01%	0	Timeline
GUNRFLEXSHARES TR	692	$24K	<0.01%	0	Timeline
Phillips 66 Partners LPPhillips 66 Partners LP	360	$24K	<0.01%	0
IYYISHARES TR	245	$24K	<0.01%	0	Timeline
Chubb CorporationChubb Corporation	260	$24K	<0.01%	0
HEALTHSOUTH CORPHEALTHSOUTH CORP	659	$24K	<0.01%	0
EXELIS INCEXELIS INC	1,480	$24K	<0.01%	0
SEASPAN CORPSEASPAN CORP	1,092	$24K	<0.01%	0
BARCLAYS IPTH SRS B S&P SHR…BARCLAYS IPTH SRS B S&P SHRT TRM …	784	$24K	<0.01%	+742
VXUSVANGUARD STAR FDS	460	$23K	<0.01%	new	Timeline
UTFCOHEN & STEERS INFRASTRUCTUR	1,008	$23K	<0.01%	0	Timeline
HPHELMERICH & PAYNE INC	240	$23K	<0.01%	0	Timeline
ALCOA INCALCOA INC	1,392	$23K	<0.01%	+1,292
MARKET VECTORS ETF TR JR GO…MARKET VECTORS ETF TR JR GOLD	683	$23K	<0.01%	0
AXPAMERICAN EXPRESS CO	254	$22K	<0.01%	0	Timeline
HEDJWISDOMTREE TR	383	$22K	<0.01%	0	Timeline
VTRVENTAS INC	355	$22K	<0.01%	0	Timeline
MYGNMYRIAD GENETICS INC	575	$22K	<0.01%	+246	Timeline
SBRSABINE RTY TR	400	$22K	<0.01%	0	Timeline
BLACKROCK INCBLACKROCK INC	66	$22K	<0.01%	0
COHEN & STEERS GLOBAL INC B…COHEN & STEERS GLOBAL INC BLDR	1,810	$22K	<0.01%	0
JOY GLOBAL INCJOY GLOBAL INC	405	$22K	<0.01%	0
NORTHEAST UTILSNORTHEAST UTILS	489	$22K	<0.01%	+4
B/E AEROSPACE INCB/E AEROSPACE INC	263	$22K	<0.01%	+13
RENREN INCRENREN INC	6,379	$22K	<0.01%	+2,778
NUVEEN TEXAS QUAL MUN INNUVEEN TEXAS QUAL MUN IN	1,495	$22K	<0.01%	0
VRTXVERTEX PHARMACEUTICALS INC	185	$21K	<0.01%	new	Timeline
PFGPRINCIPAL FINANCIAL GROUP IN	396	$21K	<0.01%	0	Timeline
TSNTYSON FOODS INC	535	$21K	<0.01%	new	Timeline
JBLUJETBLUE AIRWAYS CORP	2,000	$21K	<0.01%	new	Timeline
ETENERGY TRANSFER L P	346	$21K	<0.01%	0	Timeline
RSRELIANCE INC	300	$21K	<0.01%	0	Timeline
IAC INTERACTIVECORPIAC INTERACTIVECORP	321	$21K	<0.01%	0
HSBC HLDGS PLCHSBC HLDGS PLC	800	$21K	<0.01%	0
TIME WARNER CABLE INCTIME WARNER CABLE INC	147	$21K	<0.01%	0
ENCANA CORPENCANA CORP	1,000	$21K	<0.01%	0
POWERSHARES DB MULTISECT CPOWERSHARES DB MULTISECT C	775	$21K	<0.01%	0
CLAYMORE GUGGENHEIMCLAYMORE GUGGENHEIM	524	$21K	<0.01%	0
ISHARES MSCIISHARES MSCI	2,257	$21K	<0.01%	0
PFFISHARES TR	500	$20K	<0.01%	+490	Timeline
CMGCHIPOTLE MEXICAN GRILL INC	30	$20K	<0.01%	0	Timeline
IYMISHARES TR	228	$20K	<0.01%	0	Timeline
SLVPISHARES INC	2,036	$20K	<0.01%	0	Timeline
NIELSEN HOLDINGS N VNIELSEN HOLDINGS N V	443	$20K	<0.01%	0
COVANCE INCCOVANCE INC	250	$20K	<0.01%	new
IHS INCIHS INC	158	$20K	<0.01%	0
NORTHERN TIER ENERGY LPNORTHERN TIER ENERGY LP	850	$20K	<0.01%	-200
BARCLAYS BANK PLC 8.125% PBARCLAYS BANK PLC 8.125% P	770	$20K	<0.01%	0
EGA EMERGING GLOBAL SHS TREGA EMERGING GLOBAL SHS TR	1,270	$20K	<0.01%	-180
BNYBANK OF NY MELLON CORP	500	$19K	<0.01%	0	Timeline
VACMARRIOTT VACATIONS WORLDWIDE	295	$19K	<0.01%	+40	Timeline
VRSKVERISK ANALYTICS INC	307	$19K	<0.01%	0	Timeline
SCMSTELLUS CAP INVT CORP	1,347	$19K	<0.01%	+21	Timeline
FRCBFIRST REP BK SAN FRANCISCO CAL	375	$19K	<0.01%	0	Timeline
ALLIANZGI CONV INCOME FD IIALLIANZGI CONV INCOME FD II	2,051	$19K	<0.01%	0
ARLPALLIANCE RESOURCE PARTNERS L	440	$19K	<0.01%	0	Timeline
TEEKAY CORPORATIONTEEKAY CORPORATION	280	$19K	<0.01%	0
EUDGWISDOMTREE TR	800	$19K	<0.01%	0	Timeline
CASH AMER INTL INCCASH AMER INTL INC	439	$19K	<0.01%	+77
DOW 30SM ENHANCED PREM & INCDOW 30SM ENHANCED PREM & INC	1,449	$19K	<0.01%	0
CHINA JO-JO DRUGSTORES INCCHINA JO-JO DRUGSTORES INC	10,000	$19K	<0.01%	0
SAPSAP SE	245	$18K	<0.01%	new	Timeline
GAPGAP INC	440	$18K	<0.01%	0	Timeline
IDUISHARES TR	172	$18K	<0.01%	0	Timeline
PDTHANCOCK JOHN PREM DIVID FD	1,385	$18K	<0.01%	+135	Timeline
MONOTYPE IMAGING HOLDINGS, …MONOTYPE IMAGING HOLDINGS, INC	650	$18K	<0.01%	-650
CXEMFS HIGH INCOME MUN TR	3,700	$18K	<0.01%	new	Timeline
POWERSHARES ETF TR IIPOWERSHARES ETF TR II	600	$18K	<0.01%	0
YAMANA GOLD INCYAMANA GOLD INC	3,000	$18K	<0.01%	0
KODIAK OIL & GAS CORPKODIAK OIL & GAS CORP	1,300	$18K	<0.01%	0
EG DJ EMRG MKT CNSUMR TITAEG DJ EMRG MKT CNSUMR TITA	705	$18K	<0.01%	0
SPDR INDEX SHS FDSSPDR INDEX SHS FDS	563	$18K	<0.01%	0
SCHWCHARLES SCHWAB CORP (THE)	592	$17K	<0.01%	-209	Timeline
SHYISHARES TR	201	$17K	<0.01%	0	Timeline
VEUVANGUARD INTL EQUITY INDEX F	350	$17K	<0.01%	0	Timeline
EENI SPA	355	$17K	<0.01%	+309	Timeline
XBISPDR SERIES TRUST	106	$17K	<0.01%	0	Timeline
NBISNEBIUS GROUP N.V.	617	$17K	<0.01%	+310	Timeline
KSSKOHLS CORP	290	$17K	<0.01%	0	Timeline
MFINMEDALLION FINANCIAL CORP	1,500	$17K	<0.01%	new	Timeline
NATIONSTAR MORTGAGE HOLDINGSNATIONSTAR MORTGAGE HOLDINGS	481	$17K	<0.01%	+52
COCA COLA ENTERPRISES INC NECOCA COLA ENTERPRISES INC NE	392	$17K	<0.01%	0
KINDER MORGAN MANAGEMENT LLCKINDER MORGAN MANAGEMENT LLC	177	$17K	<0.01%	+3
WHITING PETE CORP NEWWHITING PETE CORP NEW	225	$17K	<0.01%	new
POWERSHS DB MULTI SECT COMM…POWERSHS DB MULTI SECT COMM DB	1,033	$17K	<0.01%	0
EGA EMERGING GLOBAL SHS TREGA EMERGING GLOBAL SHS TR	1,334	$17K	<0.01%	-503
SEVENTY SEVEN ENERGY INCSEVENTY SEVEN ENERGY INC	709	$17K	<0.01%	new
MFCMANULIFE FINL CORP	785	$16K	<0.01%	+2	Timeline
IBBISHARES TR	60	$16K	<0.01%	0	Timeline
EMNEASTMAN CHEM CO	200	$16K	<0.01%	new	Timeline
THE COOPER COMPANIESTHE COOPER COMPANIES	105	$16K	<0.01%	new
BGRBLACKROCK ENERGY & RES TR	656	$16K	<0.01%	+361	Timeline
VARIAN MED SYS INCVARIAN MED SYS INC	200	$16K	<0.01%	0
SGMOQSANGAMO THERAPEUTICS INC	1,500	$16K	<0.01%	0	Timeline
SODASTREAM INTERNATIONALSODASTREAM INTERNATIONAL	538	$16K	<0.01%	-312
BLDRS INDEX FDS TRBLDRS INDEX FDS TR	400	$16K	<0.01%	0
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST	350	$16K	<0.01%	0
HYPERDYNAMICS CORPHYPERDYNAMICS CORP	8,437	$16K	<0.01%	0
ZAFGEN INCZAFGEN INC	800	$16K	<0.01%	new
IOOISHARES TR	200	$15K	<0.01%	new	Timeline
PANWPALO ALTO NETWORKS INC	150	$15K	<0.01%	0	Timeline
VOEVANGUARD INDEX FDS	179	$15K	<0.01%	0	Timeline
VTVANGUARD INTL EQUITY INDEX F	250	$15K	<0.01%	0	Timeline
ATOATMOS ENERGY CORP	317	$15K	<0.01%	new	Timeline
PEGPUBLIC SVC ENTERPRISE GROUP	394	$15K	<0.01%	new	Timeline
STTSTATE STR CORP	200	$15K	<0.01%	0	Timeline
RYNRAYONIER INC	484	$15K	<0.01%	0	Timeline
NDSNNORDSON CORP	191	$15K	<0.01%	0	Timeline
XIGDXVOYA GLBL EQTY DIV & PREM OP	1,653	$15K	<0.01%	+26	Timeline
SJMSMUCKER J M CO	151	$15K	<0.01%	+1	Timeline
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INC	2,100	$15K	<0.01%	+100
WHOLE FOODS MKT INCWHOLE FOODS MKT INC	400	$15K	<0.01%	0
IFNABERDEEN INDIA FD INC	560	$15K	<0.01%	-27	Timeline
DELPHI AUTOMOTIVE PLCDELPHI AUTOMOTIVE PLC	243	$15K	<0.01%	0
INVESCO FINANCIAL PREFERRED…INVESCO FINANCIAL PREFERRED ETF	841	$15K	<0.01%	new
HANCOCK JOHN INVT TRHANCOCK JOHN INVT TR	1,250	$15K	<0.01%	0
FAMILY DLR STORES INCFAMILY DLR STORES INC	200	$15K	<0.01%	0
ITC HLDGS CORPITC HLDGS CORP	435	$15K	<0.01%	0
ALLIANCEBERNSTEIN INCOME FUNALLIANCEBERNSTEIN INCOME FUN	2,000	$15K	<0.01%	0
GLOBAL X FDSGLOBAL X FDS	1,435	$15K	<0.01%	0
DLTRDOLLAR TREE INC	252	$14K	<0.01%	0	Timeline
HBANHUNTINGTON BANCSHARES INC	1,496	$14K	<0.01%	+8	Timeline
IGRCBRE GBL REAL ESTATE INC FD	1,620	$14K	<0.01%	0	Timeline
WBSWEBSTER FINL CORP	481	$14K	<0.01%	0	Timeline
IEZISHARES TR	205	$14K	<0.01%	0	Timeline
PRAXAIR INCPRAXAIR INC	105	$14K	<0.01%	-400
VOYA INTL HIGH DIVID EQTY INVOYA INTL HIGH DIVID EQTY IN	1,534	$14K	<0.01%	0
FRONTIER COMMUNICATIONS CORPFRONTIER COMMUNICATIONS CORP	2,087	$14K	<0.01%	+1,552
LIBERTY MEDIA CORP DELAWARELIBERTY MEDIA CORP DELAWARE	300	$14K	<0.01%	-100
ION GEOPHYSICAL CORPION GEOPHYSICAL CORP	5,000	$14K	<0.01%	0
HUBBELL INC -CL AHUBBELL INC -CL A	111	$14K	<0.01%	0
RYDEX S&P EQ WEIGHT TECHN E…RYDEX S&P EQ WEIGHT TECHN ETF(RYT)	160	$14K	<0.01%	0
CAGCONAGRA BRANDS INC	386	$13K	<0.01%	new	Timeline
SYYSYSCO CORP	337	$13K	<0.01%	-26,662	Timeline
HOGHARLEY DAVIDSON INC	224	$13K	<0.01%	+1	Timeline
WATWATERS CORP	135	$13K	<0.01%	-45	Timeline
TAPMOLSON COORS BEVERAGE CO	175	$13K	<0.01%	0	Timeline
PBR-APETROLEO BRASILEIRO S A	890	$13K	<0.01%	+840	Timeline
FCFFIRST COMWLTH FINL CORP PA	1,566	$13K	<0.01%	new	Timeline
DFEWISDOMTREE TR	250	$13K	<0.01%	new	Timeline
STONEMOR PARTNERS LPSTONEMOR PARTNERS LP	511	$13K	<0.01%	new
QEP RESOURCES INCQEP RESOURCES INC	415	$13K	<0.01%	0
TRW AUTOMOTIVE HLDGS CORPTRW AUTOMOTIVE HLDGS CORP	125	$13K	<0.01%	0
VDCVANGUARD WORLD FD	105	$12K	<0.01%	0	Timeline
PAYXPAYCHEX INC	280	$12K	<0.01%	-420	Timeline
LNTALLIANT ENERGY CORP	225	$12K	<0.01%	0	Timeline
PVHPVH CORPORATION	100	$12K	<0.01%	-150	Timeline
WYNDHAM DESTINATIONS INCWYNDHAM DESTINATIONS INC	145	$12K	<0.01%	0
DSW INC-CLASS ADSW INC-CLASS A	400	$12K	<0.01%	0
NIMNUVEEN SELECT MAT MUN FD	1,100	$12K	<0.01%	0	Timeline
AshlandAshland	119	$12K	<0.01%	0
KAYNE ANDERSON ENRGY TTL RTKAYNE ANDERSON ENRGY TTL RT	366	$12K	<0.01%	0
EL PASO PIPELINE PARTNERSEL PASO PIPELINE PARTNERS	300	$12K	<0.01%	0
YAHOO INCYAHOO INC	305	$12K	<0.01%	0
SUSQUEHANNA BANCSHARES INC PSUSQUEHANNA BANCSHARES INC P	1,234	$12K	<0.01%	0
CIVEO CORPCIVEO CORP	1,012	$12K	<0.01%	0
EWWISHARES INC	165	$11K	<0.01%	0	Timeline
MUMICRON TECHNOLOGY INC	300	$11K	<0.01%	+50	Timeline
MLMMARTIN MARIETTA MATLS INC	82	$11K	<0.01%	0	Timeline
FASTFASTENAL CO	247	$11K	<0.01%	0	Timeline
SCHFSCHWAB STRATEGIC TR	356	$11K	<0.01%	0	Timeline
IYZISHARES TR	354	$11K	<0.01%	0	Timeline
PARSLEY ENERGY INCPARSLEY ENERGY INC	500	$11K	<0.01%	0
LUBYS CAFETERIAS INC COMLUBYS CAFETERIAS INC COM	2,000	$11K	<0.01%	0
BAKER HUGHES INCBAKER HUGHES INC	173	$11K	<0.01%	0
CHARTER COMMUNICATION - ACHARTER COMMUNICATION - A	75	$11K	<0.01%	0
NUVEEN PREM INCOME MUN FDNUVEEN PREM INCOME MUN FD	800	$11K	<0.01%	new
KEURIG GREEN MTN INCKEURIG GREEN MTN INC	83	$11K	<0.01%	0
LEALEAR CORP	110	$10K	<0.01%	0	Timeline
TXTTEXTRON INC	280	$10K	<0.01%	new	Timeline
GRMNGARMIN LTD	200	$10K	<0.01%	0	Timeline
SWKSSKYWORKS SOLUTIONS INC	179	$10K	<0.01%	-1,100	Timeline
EWBCEAST WEST BANCORP INC	283	$10K	<0.01%	0	Timeline
XLBSELECT SECTOR SPDR TR	196	$10K	<0.01%	0	Timeline
WWWWOLVERINE WORLD WIDE INC	400	$10K	<0.01%	0	Timeline
TATA MTRS LTDTATA MTRS LTD	234	$10K	<0.01%	0
KANSAS CITY SOUTHERNKANSAS CITY SOUTHERN	80	$10K	<0.01%	0
EZAISHARES INC	150	$10K	<0.01%	0	Timeline
KATE SPADE & COMPANYKATE SPADE & COMPANY	400	$10K	<0.01%	0
XEROX CORPXEROX CORP	720	$10K	<0.01%	+360
ACE LTDACE LTD	100	$10K	<0.01%	0
WISDOMTREE TRUST CHINESE YU…WISDOMTREE TRUST CHINESE YUAN	404	$10K	<0.01%	-441
MARKET VECTORS ETF TRMARKET VECTORS ETF TR	325	$10K	<0.01%	0
GLOBAL X GOLD(GLDX)GLOBAL X GOLD(GLDX)	806	$10K	<0.01%	0
IEMGISHARES INC	170	$9K	<0.01%	0	Timeline
IXNISHARES TR	100	$9K	<0.01%	0	Timeline
WALGREEN COWALGREEN CO	150	$9K	<0.01%	0
KRKROGER CO	168	$9K	<0.01%	0	Timeline
ZTSZOETIS INC	239	$9K	<0.01%	-7,500	Timeline
OGSONE GAS INC	250	$9K	<0.01%	0	Timeline
CHKPCHECK POINT SOFTWARE TECH LT	124	$9K	<0.01%	0	Timeline
CARAVIS BUDGET GROUP INC	157	$9K	<0.01%	0	Timeline
AMERICA MOVIL SAB DE CVAMERICA MOVIL SAB DE CV	360	$9K	<0.01%	0
BED BATH & BEYOND INCBED BATH & BEYOND INC	135	$9K	<0.01%	0
BKUBANKUNITED INC	300	$9K	<0.01%	new	Timeline
PGCPEAPACK-GLADSTONE FINL CORP	534	$9K	<0.01%	0	Timeline
LRR ENERGY LPLRR ENERGY LP	500	$9K	<0.01%	new
ZNOGZION OIL & GAS INC COM	5,105	$9K	<0.01%	0	Timeline
DENTSPLY INTL INCDENTSPLY INTL INC	200	$9K	<0.01%	0
CREE INCCREE INC	215	$9K	<0.01%	-65
COVIDIEN PLCCOVIDIEN PLC	99	$9K	<0.01%	-450
MYLAN INCMYLAN INC	200	$9K	<0.01%	0
INVENSENSE INCINVENSENSE INC	441	$9K	<0.01%	new
LMP REAL ESTATE INCOME FD INLMP REAL ESTATE INCOME FD IN	814	$9K	<0.01%	new
VOXELJET AGVOXELJET AG	674	$9K	<0.01%	0
TOLTOLL BROTHERS INC	269	$8K	<0.01%	0	Timeline
TDGTRANSDIGM GROUP INC	44	$8K	<0.01%	0	Timeline
IYCISHARES TR	65	$8K	<0.01%	0	Timeline
BOHBANK OF HI CORP	142	$8K	<0.01%	new	Timeline
FTFRANKLIN UNVL TR	1,188	$8K	<0.01%	new	Timeline
HESS CORPHESS CORP	80	$8K	<0.01%	0
COACH INCCOACH INC	215	$8K	<0.01%	+173
RAYTHEON CORAYTHEON CO	80	$8K	<0.01%	0
SCANA CORP NEWSCANA CORP NEW	155	$8K	<0.01%	new
SMITH & WESSON BRANDS, INC.SMITH & WESSON BRANDS, INC.	753	$8K	<0.01%	+125
TECHNIPFMC PLCTECHNIPFMC PLC	146	$8K	<0.01%	0
JARDEN CORPJARDEN CORP	133	$8K	<0.01%	new
AGL RES INCAGL RES INC	154	$8K	<0.01%	+1
ROCKWOOD HLDGS INCROCKWOOD HLDGS INC	100	$8K	<0.01%	0
FLOTISHARES TR	141	$7K	<0.01%	0	Timeline
NOKNOKIA CORP	768	$7K	<0.01%	+100	Timeline
RCLROYAL CARIBBEAN GROUP	100	$7K	<0.01%	0	Timeline
DXJWISDOMTREE TR	137	$7K	<0.01%	0	Timeline
NMFCNEW MTN FIN CORP	500	$7K	<0.01%	new	Timeline
STERICYCLE INCSTERICYCLE INC	57	$7K	<0.01%	0
OSURORASURE TECHNOLOGIES INC	949	$7K	<0.01%	0	Timeline
LIBERTY PROPERTY TRUSTLIBERTY PROPERTY TRUST	200	$7K	<0.01%	new
OIAINVESCO MUNI INCOME OPP TRST	1,094	$7K	<0.01%	new	Timeline
CIT GROUP INC COM NEWCIT GROUP INC COM NEW	158	$7K	<0.01%	0
NEXPOINT CR STRATEGIES FDNEXPOINT CR STRATEGIES FD	690	$7K	<0.01%	0
TIME INC NEWTIME INC NEW	292	$7K	<0.01%	0
ISRGINTUITIVE SURGICAL INC	12	$6K	<0.01%	0	Timeline
CRMSALESFORCE INC	96	$6K	<0.01%	0	Timeline
CMACOMERICA INC	130	$6K	<0.01%	0	Timeline
IWVISHARES TR	50	$6K	<0.01%	0	Timeline
WHRWHIRLPOOL CORP	42	$6K	<0.01%	0	Timeline
SRESEMPRA	55	$6K	<0.01%	+31	Timeline
XJQCXNUVEEN CR STRATEGIES INCOME	670	$6K	<0.01%	0	Timeline
BGSB & G FOODS INC	218	$6K	<0.01%	new	Timeline
PNWPINNACLE WEST CAP CORP	126	$6K	<0.01%	0	Timeline
TORCHMARK CORPTORCHMARK CORP	112	$6K	<0.01%	0
DNOWDNOW INC	184	$6K	<0.01%	+22	Timeline
NUANCE COMMUNICATIONS INCNUANCE COMMUNICATIONS INC	423	$6K	<0.01%	0
CATAMARAN CORPCATAMARAN CORP	136	$6K	<0.01%	0
GENERAL STEEL HOLDINGS INCGENERAL STEEL HOLDINGS INC	5,650	$6K	<0.01%	new
XHBSPDR SERIES TRUST	166	$5K	<0.01%	0	Timeline
VAWVANGUARD WORLD FD	49	$5K	<0.01%	0	Timeline
NUVEEN INSD QUALITY MUN FD INUVEEN INSD QUALITY MUN FD I	383	$5K	<0.01%	0
NRGNRG ENERGY INC	188	$5K	<0.01%	+139	Timeline
WYWEYERHAEUSER CO	153	$5K	<0.01%	0	Timeline
NWSANEWS CORP NEW	283	$5K	<0.01%	0	Timeline
ATIATI INC	125	$5K	<0.01%	0	Timeline
GGNGAMCO GLOBAL GOLD NAT RES &	500	$5K	<0.01%	0	Timeline
HLHECLA MINING COMPANY	2,100	$5K	<0.01%	new	Timeline
XNEAXNUVEEN AMT FREE QLTY MUN INC	374	$5K	<0.01%	0	Timeline
NADNUVEEN QUALITY MUNCP INCOME	357	$5K	<0.01%	0	Timeline
DNPDNP SELECT INCOME FD INC	503	$5K	<0.01%	0	Timeline
RYAMRAYONIER ADVANCED MATLS INC	161	$5K	<0.01%	new	Timeline
GASLOG LTDGASLOG LTD	242	$5K	<0.01%	0
SEARS HOLDINGS CORP XXXSEARS HOLDINGS CORP XXX	207	$5K	<0.01%	new
DXLGDESTINATION XL GROUP INC	1,000	$5K	<0.01%	new	Timeline
DFJWISDOMTREE TR	107	$5K	<0.01%	new	Timeline
COLUMBIA PROPERTY TRUST INCCOLUMBIA PROPERTY TRUST INC	219	$5K	<0.01%	0
BIOMED REALTY TRUST COMBIOMED REALTY TRUST COM	230	$5K	<0.01%	0
ALPINE TOTAL DYNAMIC DIVID FALPINE TOTAL DYNAMIC DIVID F	635	$5K	<0.01%	0
KINDER MORGAN INC DELKINDER MORGAN INC DEL	1,408	$5K	<0.01%	0
CALAMOS ASSET MANAGEMENT ACALAMOS ASSET MANAGEMENT A	437	$5K	<0.01%	+82
NUVEEN MUN MKT OPPORTUNITYNUVEEN MUN MKT OPPORTUNITY	383	$5K	<0.01%	0
NUVEEN PREM INCOME MUN FDNUVEEN PREM INCOME MUN FD	362	$5K	<0.01%	0
POWERSHARES NASDAQ INTERNEPOWERSHARES NASDAQ INTERNE	75	$5K	<0.01%	0
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST	150	$5K	<0.01%	0
ABERDEEN INDONESIA FUND INC…ABERDEEN INDONESIA FUND INC(IF)	532	$5K	<0.01%	0
FEFIRSTENERGY CORP	125	$4K	<0.01%	0	Timeline
PHMPULTE GROUP INC	220	$4K	<0.01%	0	Timeline
HEIHEICO CORP NEW	85	$4K	<0.01%	0	Timeline
GMGENERAL MTRS CO	108	$4K	<0.01%	-416	Timeline
NYTNEW YORK TIMES CO MTN BE	355	$4K	<0.01%	0	Timeline
EXPEEXPEDIA GROUP INC	50	$4K	<0.01%	0	Timeline
IYRISHARES TR	58	$4K	<0.01%	0	Timeline
GNRCGENERAC HLDGS INC	108	$4K	<0.01%	0	Timeline
ILFISHARES TR	112	$4K	<0.01%	0	Timeline
EWZISHARES INC	90	$4K	<0.01%	0	Timeline
NVGNUVEEN AMT FREE MUN CR INC F	286	$4K	<0.01%	-81	Timeline
NZFNUVEEN MUN CR INCOME FD	296	$4K	<0.01%	-79	Timeline
CHECHEMED CORP NEW	36	$4K	<0.01%	0	Timeline
HAINHAIN CELESTIAL GROUP INC	39	$4K	<0.01%	0	Timeline
EWLISHARES INC	109	$4K	<0.01%	0	Timeline
TDCTERADATA CORP DEL	100	$4K	<0.01%	new	Timeline
DANDANA INC	189	$4K	<0.01%	0	Timeline
ZYNGA INC.ZYNGA INC.	1,300	$4K	<0.01%	0
LABORATORY CRP OF AMER HLDGSLABORATORY CRP OF AMER HLDGS	40	$4K	<0.01%	0
UNILEVER N VUNILEVER N V	103	$4K	<0.01%	0
BIGGQBIG LOTS INC.	100	$4K	<0.01%	0	Timeline
NVRIENVIRI CORP	168	$4K	<0.01%	+1	Timeline
VIACOM INCVIACOM INC	54	$4K	<0.01%	new
MERITOR INCMERITOR INC	370	$4K	<0.01%	0
ZWEIG TOTAL RETURN FD INCZWEIG TOTAL RETURN FD INC	318	$4K	<0.01%	new
ACTAVIS PLCACTAVIS PLC	17	$4K	<0.01%	0
HARMAN INTL INDS INCHARMAN INTL INDS INC	39	$4K	<0.01%	0
LEUCADIA NATL CORPLEUCADIA NATL CORP	170	$4K	<0.01%	0
IYFISHARES TR	41	$3K	<0.01%	0	Timeline
VNQIVANGUARD INTL EQUITY INDEX F	57	$3K	<0.01%	0	Timeline
ITGARTNER INC	39	$3K	<0.01%	0	Timeline
MIDDMIDDLEBY CORP	36	$3K	<0.01%	0	Timeline
AWRAMER STATES WTR CO	90	$3K	<0.01%	0	Timeline
CXCEMEX SAB DE CV	199	$3K	<0.01%	0	Timeline
HSBCHSBC HLDGS PLC	58	$3K	<0.01%	0	Timeline
OMCOMNICOM GROUP INC	44	$3K	<0.01%	0	Timeline
PSMTPRICESMART INC	38	$3K	<0.01%	0	Timeline
ULTAULTA BEAUTY INC	29	$3K	<0.01%	0	Timeline
MSIMOTOROLA SOLUTIONS INC	59	$3K	<0.01%	0	Timeline
ROSTROSS STORES INC	40	$3K	<0.01%	0	Timeline
RSGREPUBLIC SVCS INC	78	$3K	<0.01%	0	Timeline
KKELLANOVA	52	$3K	<0.01%	0	Timeline
RQICOHEN & STEERS QUALITY INCOM	297	$3K	<0.01%	new	Timeline
JRSNUVEEN REAL ESTATE INCOME FD	280	$3K	<0.01%	0	Timeline
SNVSYNOVUS FINANCIAL CORP	142	$3K	<0.01%	new	Timeline
AMCXAMC GLOBAL MEDIA INC	59	$3K	<0.01%	0	Timeline
LELANDS END INC NEW	62	$3K	<0.01%	new	Timeline
HCP INCHCP INC	63	$3K	<0.01%	0
VREVERIS RESIDENTIAL INC	180	$3K	<0.01%	0	Timeline
HUDSON CITY BANCORPHUDSON CITY BANCORP	300	$3K	<0.01%	0
GT ADVANCED TECHNOLOGIES INCGT ADVANCED TECHNOLOGIES INC	250	$3K	<0.01%	0
KEY ENERGY SVCS INCKEY ENERGY SVCS INC	520	$3K	<0.01%	+240
FURMANITE CORPORATIONFURMANITE CORPORATION	460	$3K	<0.01%	0
SIRONA DENTAL SYSTEMS INCSIRONA DENTAL SYSTEMS INC	36	$3K	<0.01%	0
AOL INCAOL INC	60	$3K	<0.01%	-9
NUVEEN QUALITY INC MUNI FUNDNUVEEN QUALITY INC MUNI FUND	247	$3K	<0.01%	-124
MACQUARIE FT TR GB INF UT DIMACQUARIE FT TR GB INF UT DI	200	$3K	<0.01%	0
MARKET VECTORS ETF TRMARKET VECTORS ETF TR	98	$3K	<0.01%	0
MARKET VECTORS ETF TRMARKET VECTORS ETF TR	106	$3K	<0.01%	0
ADBEADOBE INC	25	$2K	<0.01%	0	Timeline
KLACKLA CORP	21	$2K	<0.01%	0	Timeline
SNASNAP ON INC	13	$2K	<0.01%	0	Timeline
INGRINGREDION INC	32	$2K	<0.01%	0	Timeline
WABWABTEC	22	$2K	<0.01%	0	Timeline
SONYSONY GROUP CORP	100	$2K	<0.01%	new	Timeline
TXNMTXNM ENERGY INC	70	$2K	<0.01%	0	Timeline
JLLJONES LANG LASALLE INC	18	$2K	<0.01%	0	Timeline
AWIARMSTRONG WORLD INDS INC NEW	44	$2K	<0.01%	0	Timeline
COTYCOTY INC	100	$2K	<0.01%	-100	Timeline
ICFISHARES TR	26	$2K	<0.01%	0	Timeline
JUNIPER NETWORKS INCJUNIPER NETWORKS INC	90	$2K	<0.01%	0
WPX ENERGY INCWPX ENERGY INC	70	$2K	<0.01%	0
CST BRANDS INCCST BRANDS INC	44	$2K	<0.01%	0
DSGRDISTRIBUTION SOLUTIONS GRP I	104	$2K	<0.01%	0	Timeline
NPKNATIONAL PRESTO INDS INC	40	$2K	<0.01%	0	Timeline
CYHCOMMUNITY HEALTH SYS INC NEW	30	$2K	<0.01%	0	Timeline
HOSPITALITY PROPERTIES TRUSTHOSPITALITY PROPERTIES TRUST	65	$2K	<0.01%	0
VOYA PRIME RATE TRUSTVOYA PRIME RATE TRUST	400	$2K	<0.01%	0
EMIFISHARES TR	48	$2K	<0.01%	0	Timeline
NOBLE CORP PLCNOBLE CORP PLC	111	$2K	<0.01%	+2
GREAT PLAINS ENERGY INCGREAT PLAINS ENERGY INC	100	$2K	<0.01%	new
POLYCOMPOLYCOM	200	$2K	<0.01%	0
WESTAR ENERGY INCWESTAR ENERGY INC	57	$2K	<0.01%	0
WHITEWAVE FOODS COMPANYWHITEWAVE FOODS COMPANY	47	$2K	<0.01%	0
VERITIV CORPVERITIV CORP	37	$2K	<0.01%	new
ENERPLUS CORPENERPLUS CORP	103	$2K	<0.01%	0
CONSOL ENERGY INCCONSOL ENERGY INC	50	$2K	<0.01%	0
FOSTER WHEELER AGFOSTER WHEELER AG	50	$2K	<0.01%	0
ELIZABETH ARDEN INCELIZABETH ARDEN INC	100	$2K	<0.01%	new
QUALITY SYS INCQUALITY SYS INC	140	$2K	<0.01%	0
MENTOR GRAPHICS CORPMENTOR GRAPHICS CORP	86	$2K	<0.01%	0
SIGMA DESIGNS INCSIGMA DESIGNS INC	570	$2K	<0.01%	0

Principal amounts

Notes and convertibles filed as a face amount (PRN). A face amount is never added to a share count (H6).

Security	Type	Amount	Value	Change
PDLI 4 2/1/18PDLI 4 2/1/18 Bond 30/360P2 U	principal	45,357,000	$44.3M	+44,320,000
COLONY CAP INCCOLONY CAP INC NOTE 3.875% 1/1	principal	43,739,000	$43M	+42,676,000
ARES CAP CORPARES CAP CORP NOTE 5.125% 6/0	principal	41,060,000	$42.8M	+40,059,000
VIPSHOP HLDGS LTDVIPSHOP HLDGS LTD NOTE 1.500% 3/1	principal	32,869,000	$38.9M	+32,291,000
PROSPECT CAPITAL CORPPROSPECT CAPITAL CORP NOTE	principal	37,263,000	$38.4M	+36,368,000
STANDARD BIOTOOLS INCSTANDARD BIOTOOLS INC NOTE 2.750% 2/0	principal	17,570,000	$15.6M	+17,543,000
PROSPECT CAPITAL CORPORATIO…PROSPECT CAPITAL CORPORATION 5.75… Convertible	principal	3,726,000	$3.83M	+3,609,000
CHIQUITA BRANDS INTL INCCHIQUITA BRANDS INTL INC NOTE 4.250% 8/1	principal	1,000	$1K	0

Sold out in Q3 2014

Positions in the previous quarter's report that this quarter's report no longer lists.

Security	Shares before	Value before	Type
PDLI 4 2/1/18PDLI 4 2/1/18	47,439,000	$53.7M	shares
COLONY CAP INCCOLONY CAP INC	45,588,000	$46.8M	shares
ARES CAP CORPARES CAP CORP	43,502,000	$46.8M	shares
PROSPECT CAPITAL CORPPROSPECT CAPITAL CORP	40,539,000	$42.3M	shares
VIPSHOP HLDGS LTDVIPSHOP HLDGS LTD	22,828,000	$26.9M	shares
PROSPECT CAPITAL CORPORATIO…PROSPECT CAPITAL CORPORATION 5.75…	3,136,000	$3.32M	shares
COMMONWEALTH REITCOMMONWEALTH REIT	68,300	$1.8M	shares
MTR GAMING GROUP INCMTR GAMING GROUP INC	90,000	$428K	shares
KITE REALTY GROUP TRUSTKITE REALTY GROUP TRUST	66,515	$419K	shares
HILLSHIRE BRANDS COHILLSHIRE BRANDS CO	2,816	$176K	shares
THERAPEUTICSMD INCTHERAPEUTICSMD INC	30,000	$139K	shares
LXULSB INDS INC	2,500	$97K	shares
EWNISHARES INC	2,913	$75K	shares
SPLUNK INCSPLUNK INC	1,000	$48K	shares
DISCOVERY INCDISCOVERY INC	400	$30K	shares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR	590	$30K	shares
ALERE INCALERE INC	680	$27K	shares
SONIC CORPSONIC CORP	1,200	$26K	shares
FFIVF5 INC	191	$21K	shares
RRCRANGE RES CORP	197	$17K	shares
PENN WEST PETE LTD NEWPENN WEST PETE LTD NEW	1,600	$15K	shares
SBSCOMPANHIA DE SANEAMENTO BASI	1,428	$14K	shares
JBHTHUNT J B TRANS SVCS INC	180	$13K	shares
GOVERNMENT PPTYS INCOME TRGOVERNMENT PPTYS INCOME TR	500	$12K	shares
ABRDN PHYSICAL SILVER SHARE…ABRDN PHYSICAL SILVER SHARES ETF	600	$12K	shares
CREDIT SUISSE AG NASSAU BRHCREDIT SUISSE AG NASSAU BRH	285	$11K	shares
OFFICE DEPOT INCOFFICE DEPOT INC	1,300	$7K	shares
NOCNORTHROP GRUMMAN CORP	45	$6K	shares
TBRGTRUBRIDGE INC	95	$6K	shares
KNKNOWLES CORP	150	$5K	shares
SWEDISH EXPT CR CORPSWEDISH EXPT CR CORP	590	$5K	shares
Mallinckrodt PlcMallinckrodt Plc	56	$4K	shares
NTTYYNTT, INC. AMERICAN DEPOSITARY	100	$3K	shares
NOODLES & CONOODLES & CO	60	$2K	shares
ISHARES INC MSCI ITALY CAPISHARES INC MSCI ITALY CAP	104	$2K	shares
PNRPENTAIR PLC	12	$1K	shares
FOXFFOX FACTORY HLDG CORP	84	$1K	shares
JIVE SOFTWARE INCJIVE SOFTWARE INC	130	$1K	shares
FRANCESCAS HLDGS CORPFRANCESCAS HLDGS CORP	42	$1K	shares

How Q3 2014 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

Filing	Role	Amendment	Filed	Accepted	Ingested
13F-HR 0001085146-14-002250	base		2014-11-13	acceptance time not in the bulk data set	2026-10-07 19:26:03 UTC