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Disclosery

Pinnacle Summer Investments, Inc.

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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 (acceptance time not in the bulk data set), ingested 13F-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

SecurityShares changeApprox. 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

SecurityShares changeApprox. 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).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
NORTHWEST NATURAL GAS CONORTHWEST NATURAL GAS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 53 shares; 2014Q2: 53 shares; 2014Q3: 53 shares 53$2K<0.01%0
iShares Msci SingaporeiShares Msci SingaporeQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 1,099 shares; 2014Q2: 306 shares; 2014Q3: 168 shares 168$2K<0.01%-138
ESRTEMPIRE ST RLTY TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 75 shares; 2014Q2: 75 shares; 2014Q3: 75 shares 75$1K<0.01%0Timeline
KBHKB HOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 48 shares; 2014Q2: 48 shares; 2014Q3: 48 shares 48$1K<0.01%0Timeline
KGCKINROSS GOLD CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 311 shares; 2014Q2: 311 shares; 2014Q3: 311 shares 311$1K<0.01%0Timeline
BLDPBALLARD PWR SYS INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 300 shares; 2014Q2: 300 shares; 2014Q3: 300 shares 300$1K<0.01%0Timeline
PRTAPROTHENA CORP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 24 shares; 2014Q2: 24 shares; 2014Q3: 24 shares 24$1K<0.01%0Timeline
SCHLSCHOLASTIC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 22 shares; 2014Q2: 22 shares; 2014Q3: 22 shares 22$1K<0.01%0Timeline
MOSMOSAIC COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 25,325 shares; 2014Q2: 29 shares; 2014Q3: 29 shares 29$1K<0.01%0Timeline
MTZMASTEC INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 47 shares; 2014Q2: 47 shares; 2014Q3: 47 shares 47$1K<0.01%0Timeline
CRUSCIRRUS LOGIC INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 60 shares; 2014Q2: 60 shares; 2014Q3: 60 shares 60$1K<0.01%0Timeline
AWKAMERICAN WTR WKS CO INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 30 shares; 2014Q2: 30 shares; 2014Q3: 30 shares 30$1K<0.01%0Timeline
VRTSVIRTUS INVT PARTNERS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 5 shares; 2014Q2: 5 shares; 2014Q3: 5 shares 5$1K<0.01%0Timeline
LYGLLOYDS BANKING GROUP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 160 shares; 2014Q2: 160 shares; 2014Q3: 160 shares 160$1K<0.01%0Timeline
ADSKAUTODESK INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 21 shares; 2014Q2: 21 shares; 2014Q3: 21 shares 21$1K<0.01%0Timeline
CUBECUBESMARTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 63 shares; 2014Q2: 63 shares; 2014Q3: 63 shares 63$1K<0.01%0Timeline
MTDMETTLER TOLEDO INTERNATIONALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 4 shares; 2014Q2: 4 shares; 2014Q3: 4 shares 4$1K<0.01%0Timeline
RIGTRANSOCEAN LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 99,940 shares; 2014Q2: 53,533 shares; 2014Q3: 40 shares 40$1K<0.01%-53,493Timeline
DLBDOLBY LABORATORIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 26 shares; 2014Q2: 26 shares; 2014Q3: 26 shares 26$1K<0.01%0Timeline
CIGCIA ENERGETICA DE MINAS GERAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 130 shares 130$1K<0.01%newTimeline
ORANYORANGE-SPON ADRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 100 shares 100$1K<0.01%newTimeline
CXHMFS INVT GRADE MUN TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 120 shares 120$1K<0.01%newTimeline
QTS RLTY TR INCQTS RLTY TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 48 shares; 2014Q2: 48 shares; 2014Q3: 48 shares 48$1K<0.01%0
RDWRRADWARE LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 42 shares; 2014Q2: 42 shares; 2014Q3: 42 shares 42$1K<0.01%0Timeline
GALTGALECTIN THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 167 shares; 2014Q2: 167 shares; 2014Q3: 167 shares 167$1K<0.01%0Timeline
ENLINK MIDSTREAM LLCENLINK MIDSTREAM LLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 30 shares 30$1K<0.01%new
EQSEQUUS TOTAL RETURN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 331 shares; 2014Q2: 331 shares; 2014Q3: 331 shares 331$1K<0.01%0Timeline
MICROSEMI CORPMICROSEMI CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 39 shares; 2014Q2: 39 shares; 2014Q3: 39 shares 39$1K<0.01%0
KOREA EQUITY FUNDKOREA EQUITY FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 66 shares; 2014Q2: 66 shares; 2014Q3: 66 shares 66$1K<0.01%0
PORTUGAL TELECOM SGPSPORTUGAL TELECOM SGPSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: 494 shares; 2014Q3: 494 shares 494$1K<0.01%0
SAFEGUARD SCIENTIFICS INCSAFEGUARD SCIENTIFICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 50 shares; 2014Q2: 50 shares; 2014Q3: 50 shares 50$1K<0.01%0
HANGER INCHANGER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 52 shares; 2014Q2: 52 shares; 2014Q3: 52 shares 52$1K<0.01%0
INOVIO PHARMACEUTICALS INCINOVIO PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: 125 shares; 2014Q3: 125 shares 125$1K<0.01%0
CAPSTEAD MTG CORPCAPSTEAD MTG CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 56 shares; 2014Q2: 55 shares; 2014Q3: 55 shares 55$1K<0.01%0
ENSCO PLCENSCO PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 170 shares; 2014Q2: 70 shares; 2014Q3: 20 shares 20$1K<0.01%-50
AIR METHODS CORPAIR METHODS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 18 shares; 2014Q2: 18 shares; 2014Q3: 18 shares 18$1K<0.01%0
CHINA FD INCCHINA FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 65 shares; 2014Q2: 65 shares; 2014Q3: 65 shares 65$1K<0.01%0
ENDOLOGIX INCENDOLOGIX INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 80 shares 80$1K<0.01%new
PARKWAY PPTYS INCPARKWAY PPTYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 78 shares; 2014Q2: 78 shares; 2014Q3: 78 shares 78$1K<0.01%0
TIBCO SOFTWARE INCTIBCO SOFTWARE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 40 shares; 2014Q2: 40 shares; 2014Q3: 40 shares 40$1K<0.01%0
ARM HLDGS PLCARM HLDGS PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 31 shares; 2014Q2: 31 shares; 2014Q3: 31 shares 31$1K<0.01%0
DUPONT FABROS TECHNOLOGY INCDUPONT FABROS TECHNOLOGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 42 shares; 2014Q2: 42 shares; 2014Q3: 42 shares 42$1K<0.01%0
UTSTARCOM HOLDINGS CORPUTSTARCOM HOLDINGS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 166 shares; 2014Q2: 166 shares; 2014Q3: 166 shares 166$1K<0.01%0
ALCATEL-LUCENTALCATEL-LUCENTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 342 shares; 2014Q2: 342 shares; 2014Q3: 482 shares 482$1K<0.01%+140
TRIQUINT SEMICONDUCTOR INCTRIQUINT SEMICONDUCTOR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 63 shares 63$1K<0.01%new
BIO REFERENCE LABS INCBIO REFERENCE LABS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 37 shares; 2014Q2: 37 shares; 2014Q3: 37 shares 37$1K<0.01%0
ALON USA ENERGY INCALON USA ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 100 shares 100$1K<0.01%new
GOODRICH PETE CORPGOODRICH PETE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 76 shares; 2014Q2: 76 shares; 2014Q3: 76 shares 76$1K<0.01%0
GLOBAL X FDSGLOBAL X FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 100 shares 100$1K<0.01%new
MARKET VECTORS ETF TRMARKET VECTORS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 138 shares; 2014Q2: 84 shares; 2014Q3: 52 shares 52$1K<0.01%-32
AMERICAN RIVER BANKSHRS (CA)AMERICAN RIVER BANKSHRS (CA)Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: 120 shares; 2014Q3: 120 shares 120$1K<0.01%0
SPDR INDEX SHS FDSSPDR INDEX SHS FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 162 shares; 2014Q2: 36 shares; 2014Q3: 16 shares 16$1K<0.01%-20
DEAN FOODS CO NEWDEAN FOODS CO NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 39 shares; 2014Q2: 39 shares; 2014Q3: 39 shares 39$1K<0.01%0
NANOVIRICIDES INCNANOVIRICIDES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 286 shares; 2014Q2: 286 shares; 2014Q3: 286 shares 286$1K<0.01%0
ROCK CREEK PHARMACEUTICALS …ROCK CREEK PHARMACEUTICALS INC CO…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: 2,000 shares; 2014Q3: 2,000 shares 2,000$1K<0.01%0
Swisher Hygiene IncSwisher Hygiene IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: 450 shares; 2014Q3: 450 shares 450$1K<0.01%0
Washington Prime GroupWashington Prime GroupQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: 50 shares; 2014Q3: 50 shares 50$1K<0.01%0
CIENCIENA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 14 shares; 2014Q2: 14 shares; 2014Q3: 14 shares 14$00%0Value filed as zero, left out of ratios.Timeline
EXELEXELIXIS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 70 shares; 2014Q2: 70 shares; 2014Q3: 70 shares 70$00%0Value filed as zero, left out of ratios.Timeline
EATBRINKER INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 7 shares; 2014Q2: 7 shares; 2014Q3: 7 shares 7$00%0Value filed as zero, left out of ratios.Timeline
GOODGLADSTONE COMMERCIAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 3 shares; 2014Q2: 3 shares; 2014Q3: 3 shares 3$00%0Value filed as zero, left out of ratios.Timeline
GOGOGOGO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: 10 shares; 2014Q3: 10 shares 10$00%0Value filed as zero, left out of ratios.Timeline
M.D.C. HOLDINGS INCM.D.C. HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 15 shares; 2014Q2: 15 shares; 2014Q3: 15 shares 15$00%0Value filed as zero, left out of ratios.
ACTGACACIA RESH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 22 shares; 2014Q2: 22 shares; 2014Q3: 22 shares 22$00%0Value filed as zero, left out of ratios.Timeline
CLNECLEAN ENERGY FUELS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 667 shares; 2014Q2: 667 shares; 2014Q3: 27 shares 27$00%-640Value filed as zero, left out of ratios.Timeline
PARAGON OFFSHORE PLC XXXPARAGON OFFSHORE PLC XXXQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 36 shares 36$00%newValue filed as zero, left out of ratios.
DYNEGY INC NEW DELDYNEGY INC NEW DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 1 shares; 2014Q2: 1 shares; 2014Q3: 1 shares 1$00%0Value filed as zero, left out of ratios.
LIGHTBRIDGE CORPLIGHTBRIDGE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 200 shares; 2014Q2: 200 shares; 2014Q3: 200 shares 200$00%0Value filed as zero, left out of ratios.
OCEAN RIG UDW INCOCEAN RIG UDW INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 7 shares 7$00%newValue filed as zero, left out of ratios.
AMARIN CORP PLCAMARIN CORP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 53 shares 53$00%newValue filed as zero, left out of ratios.
MONEYGRAM INTL INCMONEYGRAM INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 12 shares 12$00%newValue filed as zero, left out of ratios.
Bowater IncBowater IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 150 shares; 2014Q2: 150 shares; 2014Q3: 150 shares 150$00%0Value filed as zero, left out of ratios.
AMERICAN INTL GROUP INCAMERICAN INTL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 19 shares; 2014Q2: 19 shares; 2014Q3: 19 shares 19$00%0Value filed as zero, left out of ratios.
VONAGE HLDGS CORPVONAGE HLDGS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 100 shares 100$00%newValue filed as zero, left out of ratios.
THE ADT CORPORATIONTHE ADT CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 9 shares; 2014Q2: 35 shares; 2014Q3: 10 shares 10$00%-25Value filed as zero, left out of ratios.
AVON PRODS INCAVON PRODS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 25 shares 25$00%newValue filed as zero, left out of ratios.
GENERAL MTRS COGENERAL MTRS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 28 shares; 2014Q2: 28 shares; 2014Q3: 17 shares 17$00%-11Value filed as zero, left out of ratios.
GENERAL MTRS COGENERAL MTRS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 28 shares; 2014Q2: 28 shares; 2014Q3: 17 shares 17$00%-11Value filed as zero, left out of ratios.
JDS UNIPHASE CORPJDS UNIPHASE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 11 shares; 2014Q2: 11 shares; 2014Q3: 11 shares 11$00%0Value filed as zero, left out of ratios.
SUPERVALU INCSUPERVALU INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 18 shares; 2014Q2: 18 shares; 2014Q3: 18 shares 18$00%0Value filed as zero, left out of ratios.
ODYSSEY MARINE EXPLORATION IODYSSEY MARINE EXPLORATION IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 200 shares; 2014Q2: 200 shares; 2014Q3: 200 shares 200$00%0Value filed as zero, left out of ratios.
TEEKAY TANKERS LTDTEEKAY TANKERS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 100 shares 100$00%newValue filed as zero, left out of ratios.
STEMCELLS INCSTEMCELLS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 10 shares 10$00%newValue filed as zero, left out of ratios.
BSD MEDICAL CORPBSD MEDICAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 100 shares; 2014Q2: 100 shares; 2014Q3: 100 shares 100$00%0Value filed as zero, left out of ratios.
ONCOTHYREON INCONCOTHYREON INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 166 shares; 2014Q2: 166 shares; 2014Q3: 166 shares 166$00%0Value filed as zero, left out of ratios.
ENDEAVOUR INTERNATIONAL CORPENDEAVOUR INTERNATIONAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 300,578 shares; 2014Q2: 10,400 shares; 2014Q3: 650 shares 650$00%-9,750Value filed as zero, left out of ratios.
TICC CAPITAL CORPTICC CAPITAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 38 shares; 2014Q2: 39 shares; 2014Q3: 41 shares 41$00%+2Value filed as zero, left out of ratios.
NATIONAL BK GREECE S ANATIONAL BK GREECE S AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 100 shares 100$00%newValue filed as zero, left out of ratios.
ELEPHANT TALK COMM CORPELEPHANT TALK COMM CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 1 shares; 2014Q2: 1 shares; 2014Q3: 1 shares 1$00%0Value filed as zero, left out of ratios.
DYNEGY INC WARRANTDYNEGY INC WARRANTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2012Q4: restricted; 2013Q1: restricted; 2013Q2: restricted; 2013Q3: restricted; 2013Q4: restricted; 2014Q1: 30 shares; 2014Q2: 30 shares; 2014Q3: 30 shares 30$00%0Value filed as zero, left out of ratios.

Principal amounts

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

SecurityTypeAmountValueChange
PDLI 4 2/1/18PDLI 4 2/1/18 Bond 30/360P2 Uprincipal45,357,000$44.3M+44,320,000
COLONY CAP INCCOLONY CAP INC NOTE 3.875% 1/1principal43,739,000$43M+42,676,000
ARES CAP CORPARES CAP CORP NOTE 5.125% 6/0principal41,060,000$42.8M+40,059,000
VIPSHOP HLDGS LTDVIPSHOP HLDGS LTD NOTE 1.500% 3/1principal32,869,000$38.9M+32,291,000
PROSPECT CAPITAL CORPPROSPECT CAPITAL CORP NOTEprincipal37,263,000$38.4M+36,368,000
STANDARD BIOTOOLS INCSTANDARD BIOTOOLS INC NOTE 2.750% 2/0principal17,570,000$15.6M+17,543,000
PROSPECT CAPITAL CORPORATIO…PROSPECT CAPITAL CORPORATION 5.75… Convertibleprincipal3,726,000$3.83M+3,609,000
CHIQUITA BRANDS INTL INCCHIQUITA BRANDS INTL INC NOTE 4.250% 8/1principal1,000$1K0

Sold out in Q3 2014

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

SecurityShares beforeValue beforeType
PDLI 4 2/1/18PDLI 4 2/1/1847,439,000$53.7Mshares
COLONY CAP INCCOLONY CAP INC45,588,000$46.8Mshares
ARES CAP CORPARES CAP CORP43,502,000$46.8Mshares
PROSPECT CAPITAL CORPPROSPECT CAPITAL CORP40,539,000$42.3Mshares
VIPSHOP HLDGS LTDVIPSHOP HLDGS LTD22,828,000$26.9Mshares
PROSPECT CAPITAL CORPORATIO…PROSPECT CAPITAL CORPORATION 5.75…3,136,000$3.32Mshares
COMMONWEALTH REITCOMMONWEALTH REIT68,300$1.8Mshares
MTR GAMING GROUP INCMTR GAMING GROUP INC90,000$428Kshares
KITE REALTY GROUP TRUSTKITE REALTY GROUP TRUST66,515$419Kshares
HILLSHIRE BRANDS COHILLSHIRE BRANDS CO2,816$176Kshares
THERAPEUTICSMD INCTHERAPEUTICSMD INC30,000$139Kshares
LXULSB INDS INC2,500$97Kshares
EWNISHARES INC2,913$75Kshares
SPLUNK INCSPLUNK INC1,000$48Kshares
DISCOVERY INCDISCOVERY INC400$30Kshares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR590$30Kshares
ALERE INCALERE INC680$27Kshares
SONIC CORPSONIC CORP1,200$26Kshares
FFIVF5 INC191$21Kshares
RRCRANGE RES CORP197$17Kshares
PENN WEST PETE LTD NEWPENN WEST PETE LTD NEW1,600$15Kshares
SBSCOMPANHIA DE SANEAMENTO BASI1,428$14Kshares
JBHTHUNT J B TRANS SVCS INC180$13Kshares
GOVERNMENT PPTYS INCOME TRGOVERNMENT PPTYS INCOME TR500$12Kshares
ABRDN PHYSICAL SILVER SHARE…ABRDN PHYSICAL SILVER SHARES ETF600$12Kshares
CREDIT SUISSE AG NASSAU BRHCREDIT SUISSE AG NASSAU BRH285$11Kshares
OFFICE DEPOT INCOFFICE DEPOT INC1,300$7Kshares
NOCNORTHROP GRUMMAN CORP45$6Kshares
TBRGTRUBRIDGE INC95$6Kshares
KNKNOWLES CORP150$5Kshares
SWEDISH EXPT CR CORPSWEDISH EXPT CR CORP590$5Kshares
Mallinckrodt PlcMallinckrodt Plc56$4Kshares
NTTYYNTT, INC. AMERICAN DEPOSITARY100$3Kshares
NOODLES & CONOODLES & CO60$2Kshares
ISHARES INC MSCI ITALY CAPISHARES INC MSCI ITALY CAP104$2Kshares
PNRPENTAIR PLC12$1Kshares
FOXFFOX FACTORY HLDG CORP84$1Kshares
JIVE SOFTWARE INCJIVE SOFTWARE INC130$1Kshares
FRANCESCAS HLDGS CORPFRANCESCAS HLDGS CORP42$1Kshares

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).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001085146-14-002250 base2014-11-13acceptance time not in the bulk data set