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Disclosery

First Allied Advisory Services, Inc.

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13F filer, CIK 1512647, SAN DIEGO, CA

First Allied Advisory Services, Inc. reported $2,324,907,000 across 1,061 holdings for the quarter ended 2020-03-31, in a 13F-HR filed 2020-05-08. Its ten largest share positions make up 18.89% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-20-001362

Period
2020-03-31
Reported value
$2.32B
Holdings
1,061
Top 10 weight
18.89%
New
70
Sold out
215

Largest buys vs the previous quarter

SecurityShares changeApprox. value
BILadded+161,054$14.8M
SHYadded+167,820$14.5M
LMBSadded+282,281$14.4M
USMVadded+163,803$8.85M
DGRWadded+176,442$6.87M

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
ITOTreduced-198,364-$11.3M
FNCLexited-212,306-$9.43M
IEFreduced-70,417-$8.55M
GBILreduced-77,767-$7.84M
ICVTexited-117,995-$7.4M

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, Q1 2020

Share positions as resolved from 13F-HR 0001085146-20-001362, largest first. % of portfolio is the value over $2,324,907,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
EVFEATON VANCE SR INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 30,916 shares; 2019Q1: 28,569 shares; 2019Q2: 29,319 shares; 2019Q3: 27,769 shares; 2019Q4: 27,769 shares; 2020Q1: 22,930 shares 22,930$106K<0.01%-4,839Timeline
XEFRXEATON VANCE SR FLTNG RTE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: not reported; 2020Q1: 10,073 shares 10,073$100K<0.01%newTimeline
HTGCHERCULES CAPITAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 15,747 shares; 2019Q1: 14,356 shares; 2019Q2: 12,556 shares; 2019Q3: 13,456 shares; 2019Q4: 13,456 shares; 2020Q1: 12,789 shares 12,789$98K<0.01%-667Timeline
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 37,860 shares; 2019Q1: 39,023 shares; 2019Q2: 40,148 shares; 2019Q3: 50,044 shares; 2019Q4: 55,354 shares; 2020Q1: 63,349 shares 63,349$98K<0.01%+7,995
FLEXFLEX LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: not reported; 2020Q1: 11,569 shares 11,569$97K<0.01%newTimeline
GLOBAL X FDSGLOBAL X FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: not reported; 2020Q1: 14,739 shares 14,739$97K<0.01%new
ABERDEEN ASIA-PACIFIC INCOM…ABERDEEN ASIA-PACIFIC INCOME FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 18,713 shares; 2019Q1: 26,007 shares; 2019Q2: 32,465 shares; 2019Q3: 30,854 shares; 2019Q4: 27,582 shares; 2020Q1: 28,230 shares 28,230$95K<0.01%+648
GNWGENWORTH FINL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 41,141 shares; 2019Q1: 40,275 shares; 2019Q2: 38,490 shares; 2019Q3: 31,584 shares; 2019Q4: 30,902 shares; 2020Q1: 28,249 shares 28,249$94K<0.01%-2,653Timeline
XMCRXMFS CHARTER INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 14,805 shares; 2019Q1: 14,845 shares; 2019Q2: 19,373 shares; 2019Q3: 15,983 shares; 2019Q4: 12,275 shares; 2020Q1: 12,218 shares 12,218$90K<0.01%-57Timeline
JP MORGAN CHASE &amp; COJP MORGAN CHASE &amp; COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 16,305 shares; 2019Q1: 15,946 shares; 2019Q2: 14,138 shares; 2019Q3: 11,762 shares; 2019Q4: 10,792 shares; 2020Q1: 10,018 shares 10,018$90K<0.01%-774
EHIWESTERN ASSET GBL HIGH INC FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 12,124 shares; 2019Q1: 12,995 shares; 2019Q2: 13,581 shares; 2019Q3: 12,578 shares; 2019Q4: 12,546 shares; 2020Q1: 11,908 shares 11,908$89K<0.01%-638Timeline
HALHALLIBURTON COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 11,111 shares; 2019Q1: 10,933 shares; 2019Q2: 9,648 shares; 2019Q3: not reported; 2019Q4: 14,643 shares; 2020Q1: 12,772 shares 12,772$87K<0.01%-1,871Timeline
PCFHIGH INCOME SECS FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 13,100 shares; 2019Q4: 13,100 shares; 2020Q1: 13,100 shares 13,100$86K<0.01%0Timeline
AGENUS INCAGENUS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 40,000 shares; 2019Q1: 40,000 shares; 2019Q2: 40,000 shares; 2019Q3: 40,000 shares; 2019Q4: 40,000 shares; 2020Q1: 35,000 shares 35,000$86K<0.01%-5,000
FDUSFIDUS INVT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 14,410 shares; 2019Q1: 14,410 shares; 2019Q2: 14,410 shares; 2019Q3: 12,870 shares; 2019Q4: 12,870 shares; 2020Q1: 12,870 shares 12,870$85K<0.01%0Timeline
GFIGOLD FIELDS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: 19,394 shares; 2019Q2: 19,287 shares; 2019Q3: 17,428 shares; 2019Q4: 15,470 shares; 2020Q1: 17,638 shares 17,638$84K<0.01%+2,168Timeline
BDJBLACKROCK ENHANCED EQUITY DIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 17,500 shares; 2019Q1: 16,700 shares; 2019Q2: 13,625 shares; 2019Q3: not reported; 2019Q4: 13,120 shares; 2020Q1: 12,857 shares 12,857$84K<0.01%-263Timeline
VVRINVESCO SR INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 27,075 shares; 2019Q1: 27,075 shares; 2019Q2: 27,075 shares; 2019Q3: 27,075 shares; 2019Q4: 24,695 shares; 2020Q1: 25,022 shares 25,022$81K<0.01%+327Timeline
KYNKAYNE ANDERSON ENERGY INFRSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 25,698 shares; 2019Q1: 23,894 shares; 2019Q2: 22,553 shares; 2019Q3: 21,922 shares; 2019Q4: 20,158 shares; 2020Q1: 21,791 shares 21,791$79K<0.01%+1,633Timeline
GTGOODYEAR TIRE & RUBR COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 25,269 shares; 2019Q1: 27,274 shares; 2019Q2: 25,564 shares; 2019Q3: 21,102 shares; 2019Q4: 19,028 shares; 2020Q1: 13,550 shares 13,550$79K<0.01%-5,478Timeline
TEITEMPLETON EMERGING MKTS INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 11,085 shares; 2019Q1: 10,730 shares; 2019Q2: not reported; 2019Q3: 13,730 shares; 2019Q4: 16,805 shares; 2020Q1: 10,416 shares 10,416$78K<0.01%-6,389Timeline
GLOCLOUGH GLOBAL OPPORTUNITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 11,447 shares; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: 13,373 shares; 2020Q1: 10,699 shares 10,699$77K<0.01%-2,674Timeline
OIO-I GLASS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: 13,421 shares; 2020Q1: 10,891 shares 10,891$77K<0.01%-2,530Timeline
CLFCLEVELAND-CLIFFS INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 10,463 shares; 2019Q1: 15,583 shares; 2019Q2: 18,463 shares; 2019Q3: 13,461 shares; 2019Q4: 22,246 shares; 2020Q1: 19,061 shares 19,061$75K<0.01%-3,185Timeline
MINABERDEEN INTER INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 12,677 shares; 2019Q1: 12,144 shares; 2019Q2: 15,973 shares; 2019Q3: 19,971 shares; 2019Q4: 20,123 shares; 2020Q1: 20,061 shares 20,061$72K<0.01%-62Timeline
SVCSERVICE PPTYS TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 17,790 shares; 2019Q4: 18,087 shares; 2020Q1: 13,087 shares 13,087$71K<0.01%-5,000Timeline
MMACYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 11,762 shares; 2019Q1: 8,542 shares; 2019Q2: 11,578 shares; 2019Q3: 20,918 shares; 2019Q4: 18,232 shares; 2020Q1: 13,606 shares 13,606$67K<0.01%-4,626Timeline
DCP MIDSTREAM LPDCP MIDSTREAM LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 15,292 shares; 2019Q1: 17,003 shares; 2019Q2: 17,412 shares; 2019Q3: 16,099 shares; 2019Q4: 16,019 shares; 2020Q1: 16,543 shares 16,543$67K<0.01%+524
MARATHON OIL CORPMARATHON OIL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 23,562 shares; 2019Q1: 23,381 shares; 2019Q2: 33,362 shares; 2019Q3: 26,118 shares; 2019Q4: 20,308 shares; 2020Q1: 19,317 shares 19,317$64K<0.01%-991
NATNORDIC AMERICAN TANKERS LIMIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 19,950 shares; 2019Q1: 19,950 shares; 2019Q2: 20,450 shares; 2019Q3: 19,450 shares; 2019Q4: 13,450 shares; 2020Q1: 13,450 shares 13,450$61K<0.01%0Timeline
SMFGSUMITOMO MITSUI FIN GRP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 23,933 shares; 2019Q1: 22,521 shares; 2019Q2: 24,698 shares; 2019Q3: 24,809 shares; 2019Q4: 25,426 shares; 2020Q1: 12,334 shares 12,334$59K<0.01%-13,092Timeline
RWTREDWOOD TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: 10,344 shares; 2020Q1: 10,906 shares 10,906$55K<0.01%+562Timeline
GLOBAL X FDSGLOBAL X FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 9,989 shares; 2019Q4: not reported; 2020Q1: 10,239 shares 10,239$55K<0.01%new
UNITED STATES OIL FUND LPUNITED STATES OIL FUND LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 25,365 shares; 2019Q1: 25,475 shares; 2019Q2: 25,435 shares; 2019Q3: 25,330 shares; 2019Q4: 22,030 shares; 2020Q1: 12,800 shares 12,800$54K<0.01%-9,230
NUVEEN ENERGY MLP TOTL RTRNFNUVEEN ENERGY MLP TOTL RTRNFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 26,221 shares; 2019Q1: 27,480 shares; 2019Q2: 27,480 shares; 2019Q3: 27,844 shares; 2019Q4: 53,194 shares; 2020Q1: 36,398 shares 36,398$52K<0.01%-16,796
PPTFRANKLIN PREMIER INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 35,912 shares; 2019Q1: 33,662 shares; 2019Q2: 33,662 shares; 2019Q3: 33,662 shares; 2019Q4: 33,662 shares; 2020Q1: 11,386 shares 11,386$52K<0.01%-22,276Timeline
HIOWESTERN ASSET HIGH INCOME OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 17,707 shares; 2019Q1: 17,696 shares; 2019Q2: 12,248 shares; 2019Q3: 12,119 shares; 2019Q4: 12,053 shares; 2020Q1: 12,276 shares 12,276$52K<0.01%+223Timeline
CIKUBS ASSET MGMT INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: 11,000 shares; 2019Q3: 16,000 shares; 2019Q4: 16,000 shares; 2020Q1: 21,433 shares 21,433$51K<0.01%+5,433Timeline
SBSWSIBANYE STILLWATER LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: not reported; 2020Q1: 10,806 shares 10,806$51K<0.01%newTimeline
MFA FINL INCMFA FINL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: not reported; 2020Q1: 32,800 shares 32,800$51K<0.01%new
SKTTANGER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: not reported; 2020Q1: 10,090 shares 10,090$50K<0.01%newTimeline
BBBLACKBERRY LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 20,215 shares; 2019Q1: 19,605 shares; 2019Q2: 16,605 shares; 2019Q3: 12,105 shares; 2019Q4: 12,105 shares; 2020Q1: 12,105 shares 12,105$50K<0.01%0Timeline
GCVGABELLI CONV & INC SECS FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 11,000 shares; 2019Q4: 11,000 shares; 2020Q1: 11,000 shares 11,000$49K<0.01%0Timeline
TWO HARBORS INVESTMENT CORPTWO HARBORS INVESTMENT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 19,588 shares; 2019Q1: 20,449 shares; 2019Q2: 14,488 shares; 2019Q3: 13,982 shares; 2019Q4: 13,637 shares; 2020Q1: 12,632 shares 12,632$48K<0.01%-1,005
RESOLUTE FOREST PRODUCTSRESOLUTE FOREST PRODUCTSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 39,565 shares; 2019Q1: 40,230 shares; 2019Q2: 39,776 shares; 2019Q3: 38,433 shares; 2019Q4: 37,048 shares; 2020Q1: 35,340 shares 35,340$45K<0.01%-1,708
AURORA CANNABIS INCAURORA CANNABIS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 19,244 shares; 2019Q1: 25,742 shares; 2019Q2: 35,504 shares; 2019Q3: 41,562 shares; 2019Q4: 42,562 shares; 2020Q1: 38,784 shares 38,784$34K<0.01%-3,778
LYGLLOYDS BANKING GROUP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 25,371 shares; 2019Q1: 25,217 shares; 2019Q2: 23,703 shares; 2019Q3: 18,844 shares; 2019Q4: 16,470 shares; 2020Q1: 20,808 shares 20,808$31K<0.01%+4,338Timeline
NANTKWEST INCNANTKWEST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 12,742 shares; 2019Q1: 15,773 shares; 2019Q2: 15,773 shares; 2019Q3: 15,773 shares; 2019Q4: 15,773 shares; 2020Q1: 10,176 shares 10,176$29K<0.01%-5,597
OPKOPKO HEALTH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: 11,397 shares; 2020Q1: 15,110 shares 15,110$20K<0.01%+3,713Timeline
HLHECLA MINING COMPANYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: 22,500 shares; 2019Q3: 10,000 shares; 2019Q4: 10,000 shares; 2020Q1: 10,000 shares 10,000$18K<0.01%0Timeline
CHESEPEAKE ENERGY CORPCHESEPEAKE ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 129,100 shares; 2019Q1: 129,700 shares; 2019Q2: 129,700 shares; 2019Q3: 74,325 shares; 2019Q4: 112,125 shares; 2020Q1: 79,425 shares 79,425$14K<0.01%-32,700
TUSKMAMMOTH ENERGY SVCS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: not reported; 2019Q4: not reported; 2020Q1: 18,000 shares 18,000$13K<0.01%newTimeline
WASHINGTON PRIME GROUP NEWWASHINGTON PRIME GROUP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 20,146 shares; 2019Q1: 23,277 shares; 2019Q2: 23,146 shares; 2019Q3: 22,570 shares; 2019Q4: 15,805 shares; 2020Q1: 14,166 shares 14,166$11K<0.01%-1,639
DNNDENISON MINES CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 34,500 shares; 2019Q1: 34,500 shares; 2019Q2: 34,500 shares; 2019Q3: 34,500 shares; 2019Q4: 34,500 shares; 2020Q1: 34,500 shares 34,500$9K<0.01%0Timeline
HI-CRUSH PARTNERS LPHI-CRUSH PARTNERS LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 26,871 shares; 2019Q1: 54,871 shares; 2019Q2: 54,871 shares; 2019Q3: 40,302 shares; 2019Q4: 56,251 shares; 2020Q1: 36,250 shares 36,250$9K<0.01%-20,001
PENNEY J C INCPENNEY J C INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 19,000 shares; 2019Q1: 19,500 shares; 2019Q2: 18,500 shares; 2019Q3: 18,500 shares; 2019Q4: 17,500 shares; 2020Q1: 20,500 shares 20,500$7K<0.01%+3,000

Principal amounts

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

SecurityTypeAmountValueChange
PROSPECT CAP CORPPROSPECT CAP CORP NOTE 4.950% 7/1principal71,000$61K0
SPYSTATE STR SPDR S&P 500 ETF T SHSprincipal4,700$36Knew
LIBERTY INTERACTIVE LLCLIBERTY INTERACTIVE LLC DEB 4.000%11/1principal40,000$28Knew
TCP Cap Corp Sr Conv NtTCP Cap Corp Sr Conv Nt CONVprincipal26,000$23K+11,000
METAMETA PLATFORMS INC COMprincipal500$1Knew

Sold out in Q1 2020

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

The largest 100 of 215. All 215

SecurityShares beforeValue beforeType
FNCLFIDELITY COVINGTON TRUST212,306$9.43Mshares
ICVTISHARES TR117,995$7.4Mshares
QLDPROSHARES TR43,204$5.27Mshares
GCOWPACER FDS TR128,380$4.04Mshares
GLOBAL X MLP & ENERGY INFRASGLOBAL X MLP & ENERGY INFRAS301,995$3.73Mshares
DGTSPDR SERIES TRUST35,915$3.21Mshares
KIESPDR SERIES TRUST90,400$3.2Mshares
EVERBRIDGE INCEVERBRIDGE INC34,751$2.71Mshares
UOCTINNOVATOR ETFS TRUST103,862$2.59Mshares
IWCISHARES TR25,953$2.58Mshares
RPVINVESCO EXCHANGE TRADED FD T34,567$2.4Mshares
KRESPDR SERIES TRUST39,006$2.27Mshares
DLNWISDOMTREE TR21,126$2.24Mshares
CDCVICTORY PORTFOLIOS II38,178$1.87Mshares
CFOVICTORY PORTFOLIOS II35,101$1.85Mshares
FNBF N B CORP112,570$1.43Mshares
SYBTSTOCK YDS BANCORP INC34,625$1.42Mshares
PSCTINVESCO EXCH TRADED FD TR II14,686$1.41Mshares
CREDIT SUISSE NASSAU BRHCREDIT SUISSE NASSAU BRH27,520$1.41Mshares
VSDAVICTORY PORTFOLIOS II30,559$1.09Mshares
SPDR SERIES TRUSTSPDR SERIES TRUST44,568$1.05Mshares
DWMWISDOMTREE TR18,801$1Mshares
INVESCO MORTGAGE CAPITAL INCINVESCO MORTGAGE CAPITAL INC58,082$966Kshares
ETF MANAGERS TRETF MANAGERS TR78,100$966Kshares
VIOOVANGUARD ADMIRAL FDS INC6,170$937Kshares
NEWTNEWTEKONE INC39,548$888Kshares
VSTVISTRA CORP37,943$877Kshares
ITBISHARES TR18,341$815Kshares
CIENCIENA CORP18,884$804Kshares
AQUA AMERICA INCAQUA AMERICA INC16,535$777Kshares
EPREPR PPTYS10,870$763Kshares
BKRBAKER HUGHES COMPANY29,214$746Kshares
ANGLVANECK ETF TRUST23,950$711Kshares
WTPIWISDOMTREE TR23,625$671Kshares
GTOINVESCO ACTIVELY MANAGED EXC11,603$628Kshares
UALUNITED AIRLS HLDGS INC7,005$617Kshares
DBX ETF TRDBX ETF TR21,173$611Kshares
GSLCGOLDMAN SACHS ETF TR9,343$603Kshares
FNFFIDELITY NATL FINL INC12,330$558Kshares
VCLTVANGUARD SCOTTSDALE FDS5,424$549Kshares
AON PLCAON PLC2,596$536Kshares
PDIPIMCO DYNAMIC INCOME FD15,978$521Kshares
TOLTOLL BROTHERS INC12,847$510Kshares
ITGARTNER INC3,260$504Kshares
INGERSOLL-RAND PLCINGERSOLL-RAND PLC3,684$493Kshares
ARCONIC INCARCONIC INC15,840$489Kshares
IATISHARES TR9,377$477Kshares
LENLENNAR CORP8,308$466Kshares
ASPEN TECHNOLOGY INCASPEN TECHNOLOGY INC3,766$457Kshares
PHMPULTE GROUP INC11,123$430Kshares
PTLCPACER FDS TR12,685$425Kshares
FLJPFRANKLIN TEMPLETON ETF TR16,245$424Kshares
PFLTPENNANTPARK FLOATING RATE CA34,784$421Kshares
TPVGTRIPLEPOINT VENTURE GROWTH B29,296$416Kshares
AFGAMERICAN FINANCIAL GROUP INC3,546$391Kshares
ORLYOREILLY AUTOMOTIVE INC884$387Kshares
Cyber Security ETFCyber Security ETF9,186$380Kshares
FANGDIAMONDBACK ENERGY INC4,074$376Kshares
MOSMOSAIC CO17,078$374Kshares
PCARPACCAR INC4,730$373Kshares
SNVSYNOVUS FINANCIAL CORP9,490$372Kshares
ACWIISHARES TR4,551$361Kshares
PACWEST BANCORP DELPACWEST BANCORP DEL9,451$361Kshares
DGSWISDOMTREE TR7,492$360Kshares
PTNQPACER FDS TR8,850$358Kshares
QTECFIRST TR EXCHANGE-TRADED FD3,547$356Kshares
AMCOR PLCAMCOR PLC33,319$356Kshares
RFVINVESCO EXCHANGE TRADED FD T5,149$355Kshares
PDBCINVESCO ACTVELY MNGD ETC FD21,280$354Kshares
PFGPRINCIPAL FINANCIAL GROUP IN6,319$353Kshares
LTCLTC PPTYS INC7,936$351Kshares
IXJISHARES TR5,021$344Kshares
HXLHEXCEL CORP NEW4,680$344Kshares
ATHENE HOLDING LTDATHENE HOLDING LTD7,163$337Kshares
RCLROYAL CARIBBEAN GROUP2,520$333Kshares
RLRALPH LAUREN CORP2,792$333Kshares
CDK GLOBAL INCCDK GLOBAL INC5,989$331Kshares
IPATH DJ-UBS COCOA SUBINDEXIPATH DJ-UBS COCOA SUBINDEX11,341$331Kshares
FYCFIRST TR EXCHANGE-TRADED ALP7,026$327Kshares
MTBM & T BK CORP1,890$325Kshares
KMXCARMAX INC3,745$324Kshares
KSSKOHLS CORP6,473$324Kshares
CTASCINTAS CORP1,190$323Kshares
STORE CAP CORPSTORE CAP CORP8,674$323Kshares
LPLALPL FINL HLDGS INC3,489$321Kshares
STESTERIS PLC2,113$321Kshares
CCLCARNIVAL CORP6,428$321Kshares
GOLDEN STAR RES LTD CDAGOLDEN STAR RES LTD CDA82,400$313Kshares
FAFFIRST AMERN FINL CORP5,346$312Kshares
ELANELANCO ANIMAL HEALTH INC10,410$309Kshares
SEICSEI INVTS CO4,686$309Kshares
SPRSPIRIT AEROSYSTEMS HLDGS INC4,165$305Kshares
WSOWATSCO INC1,695$302Kshares
FXRFIRST TR EXCHANGE-TRADED FD6,656$302Kshares
DXJWISDOMTREE TR5,634$302Kshares
IPKWINVESCO EXCH TRADED FD TR II9,038$302Kshares
NUSCNUSHARES ETF TR9,631$300Kshares
DRIDARDEN RESTAURANTS INC2,760$299Kshares
AMEAMETEK INC2,970$294Kshares
SPOTSPOTIFY TECHNOLOGY S A1,961$289Kshares

How Q1 2020 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 0001085146-20-001362 base2020-05-08acceptance time not in the bulk data set