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Disclosery

Relative Value Partners, LLC

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13F filer, CIK 1356223, NORTHBROOK, IL

Relative Value Partners, LLC reported $860,784,000 across 126 holdings for the quarter ended 2014-12-31, in a 13F-HR filed 2015-02-12. Its ten largest share positions make up 48% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001356223-15-000001

Period
2014-12-31
Reported value
$861M
Holdings
126
Top 10 weight
48%
New
23
Sold out
7

Largest buys vs the previous quarter

SecurityShares changeApprox. value
BSLadded+603,365$10.1M
XLEnew+118,064$9.35M
XEVVXadded+574,162$8.11M
BLACKROCK DEFINED OPPRTY CRadded+463,670$5.93M
JGHnew+326,158$5.63M

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
VDEexited-81,177-$10.6M
ETJreduced-361,864-$3.86M
DIVERSIFIED REAL ASSET INC …reduced-207,782-$3.6M
Vaneck Vectors Gold Miners …exited-139,967-$2.99M
DFPreduced-122,532-$2.73M

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, Q4 2014

Share positions as resolved from 13F-HR 0001356223-15-000001, largest first. % of portfolio is the value over $860,784,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
OEFISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 734,598 shares; 2013Q3: 713,885 shares; 2013Q4: 718,376 shares; 2014Q1: 717,621 shares; 2014Q2: 808,423 shares; 2014Q3: 800,061 shares; 2014Q4: 824,404 shares 824,404$75M8.71%+24,343Timeline
BTZBLACKROCK CR ALLOCATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 4,050,070 shares; 2013Q3: 4,253,490 shares; 2013Q4: 4,403,571 shares; 2014Q1: 4,539,563 shares; 2014Q2: 4,603,286 shares; 2014Q3: 4,871,163 shares; 2014Q4: 4,939,843 shares 4,939,843$63.8M7.41%+68,680Timeline
TYTRI CONTL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 1,736,798 shares; 2013Q3: 1,792,026 shares; 2013Q4: 1,814,309 shares; 2014Q1: 1,809,232 shares; 2014Q2: 1,843,852 shares; 2014Q3: 1,881,718 shares; 2014Q4: 1,922,312 shares 1,922,312$41.2M4.78%+40,594Timeline
BDJBLACKROCK ENHANCED EQUITY DIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 2,899,537 shares; 2013Q3: 3,076,542 shares; 2013Q4: 3,948,418 shares; 2014Q1: 4,077,956 shares; 2014Q2: 4,559,996 shares; 2014Q3: 4,695,146 shares; 2014Q4: 4,785,804 shares 4,785,804$38.9M4.51%+90,658Timeline
SPESPECIAL OPPORTUNITIES FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 1,377,225 shares; 2013Q3: 1,473,878 shares; 2013Q4: 1,459,057 shares; 2014Q1: 2,243,466 shares; 2014Q2: 2,380,860 shares; 2014Q3: 2,382,654 shares; 2014Q4: 2,455,716 shares 2,455,716$37.7M4.38%+73,062Timeline
ZWEIG TOTAL RETURN FD INCZWEIG TOTAL RETURN FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 2,091,018 shares; 2013Q3: 2,221,648 shares; 2013Q4: 2,254,478 shares; 2014Q1: 2,262,953 shares; 2014Q2: 2,243,037 shares; 2014Q3: 2,318,284 shares; 2014Q4: 2,366,868 shares 2,366,868$33.2M3.85%+48,584
ALLIANCEBERNSTEIN INCOME FUNALLIANCEBERNSTEIN INCOME FUNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 5,056,951 shares; 2013Q3: 5,253,848 shares; 2013Q4: 5,397,456 shares; 2014Q1: 4,191,221 shares; 2014Q2: 4,320,653 shares; 2014Q3: 4,341,140 shares; 2014Q4: 4,418,074 shares 4,418,074$33M3.83%+76,934
PPTFRANKLIN PREMIER INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 2,462,277 shares; 2013Q3: 3,822,309 shares; 2013Q4: 4,330,150 shares; 2014Q1: 4,506,213 shares; 2014Q2: 5,183,297 shares; 2014Q3: 5,674,436 shares; 2014Q4: 5,957,497 shares 5,957,497$31.3M3.63%+283,061Timeline
VTIVANGUARD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 247,095 shares; 2013Q3: 335,723 shares; 2013Q4: 356,360 shares; 2014Q1: 393,372 shares; 2014Q2: 248,314 shares; 2014Q3: 277,955 shares; 2014Q4: 287,562 shares 287,562$30.5M3.54%+9,607Timeline
DIVERSIFIED REAL ASSET INC …DIVERSIFIED REAL ASSET INC FD COM…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 1,861,778 shares; 2014Q4: 1,653,996 shares 1,653,996$28.7M3.33%-207,782
BNDVANGUARD BD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 375,166 shares; 2013Q3: 163,025 shares; 2013Q4: 101,113 shares; 2014Q1: 245,025 shares; 2014Q2: 358,305 shares; 2014Q3: 351,618 shares; 2014Q4: 343,762 shares 343,762$28.3M3.29%-7,856Timeline
ETJEATON VANCE RISK-MANAGED DIVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 2,899,049 shares; 2013Q3: 3,012,212 shares; 2013Q4: 3,067,141 shares; 2014Q1: 3,047,101 shares; 2014Q2: 3,076,016 shares; 2014Q3: 2,885,640 shares; 2014Q4: 2,523,776 shares 2,523,776$26.9M3.13%-361,864Timeline
XMCRXMFS CHARTER INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 521,692 shares; 2013Q3: 1,735,132 shares; 2013Q4: 2,055,178 shares; 2014Q1: 2,105,317 shares; 2014Q2: 2,233,261 shares; 2014Q3: 2,550,897 shares; 2014Q4: 2,873,618 shares 2,873,618$26.4M3.07%+322,721Timeline
RVTROYCE SMALL CAP TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 2,145,856 shares; 2013Q3: 2,234,947 shares; 2013Q4: 2,251,199 shares; 2014Q1: 2,271,666 shares; 2014Q2: 2,218,907 shares; 2014Q3: 1,873,452 shares; 2014Q4: 1,806,701 shares 1,806,701$25.9M3.01%-66,751Timeline
WESTERN ASSET VAR RT STRG FDWESTERN ASSET VAR RT STRG FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 100,863 shares; 2013Q3: 297,101 shares; 2013Q4: 421,100 shares; 2014Q1: 463,103 shares; 2014Q2: 742,840 shares; 2014Q3: 1,189,382 shares; 2014Q4: 1,368,889 shares 1,368,889$22.8M2.65%+179,507
MMTABERDEEN MULTI-MARKET INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 1,041,239 shares; 2013Q3: 2,418,031 shares; 2013Q4: 3,296,042 shares; 2014Q1: 3,265,150 shares; 2014Q2: 3,274,314 shares; 2014Q3: 3,475,549 shares; 2014Q4: 3,422,810 shares 3,422,810$22.2M2.58%-52,739Timeline
XEVGXEATON VANCE SHORT DURATION DQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 41,787 shares; 2013Q3: 288,123 shares; 2013Q4: 307,817 shares; 2014Q1: 605,844 shares; 2014Q2: 1,241,857 shares; 2014Q3: 1,498,078 shares; 2014Q4: 1,513,990 shares 1,513,990$21.4M2.49%+15,912Timeline
MGFABERDEEN GOVT MARKETS INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 1,148,657 shares; 2013Q3: 1,786,018 shares; 2013Q4: 2,458,989 shares; 2014Q1: 2,898,863 shares; 2014Q2: 3,179,832 shares; 2014Q3: 3,185,707 shares; 2014Q4: 3,291,613 shares 3,291,613$18.7M2.17%+105,906Timeline
MINABERDEEN INTER INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 442,025 shares; 2013Q3: 1,947,217 shares; 2013Q4: 3,381,006 shares; 2014Q1: 3,494,914 shares; 2014Q2: 3,445,731 shares; 2014Q3: 3,308,112 shares; 2014Q4: 3,872,485 shares 3,872,485$18.5M2.15%+564,373Timeline
XEVVXEATON VANCE LIMITED DURATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: 331,511 shares; 2013Q4: 961,842 shares; 2014Q1: 956,556 shares; 2014Q2: 669,008 shares; 2014Q3: 669,754 shares; 2014Q4: 1,243,916 shares 1,243,916$17.6M2.04%+574,162Timeline
USALIBERTY ALL STAR EQUITY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 4,013,764 shares; 2013Q3: 3,115,347 shares; 2013Q4: 3,068,607 shares; 2014Q1: 3,005,715 shares; 2014Q2: 2,951,495 shares; 2014Q3: 2,901,540 shares; 2014Q4: 2,893,043 shares 2,893,043$17.3M2.01%-8,497Timeline
BSLBLACKSTONE SENI FLTN RAT 202Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 389,566 shares; 2014Q4: 992,931 shares 992,931$16.6M1.93%+603,365Timeline
TSITCW STRATEGIC INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 534,526 shares; 2014Q2: 1,641,046 shares; 2014Q3: 2,364,794 shares; 2014Q4: 3,078,941 shares 3,078,941$16.6M1.93%+714,147Timeline
XBOEXBLACKROCK ENHANCED GLOBALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 1,057,691 shares; 2013Q3: 1,144,904 shares; 2013Q4: 1,227,260 shares; 2014Q1: 1,282,123 shares; 2014Q2: 1,256,354 shares; 2014Q3: 1,236,998 shares; 2014Q4: 1,224,671 shares 1,224,671$16.1M1.87%-12,327Timeline
XETYXEATON VANCE TAX-MANAGED DIVEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 4,109,341 shares; 2013Q3: 3,461,158 shares; 2013Q4: 3,404,270 shares; 2014Q1: 3,287,835 shares; 2014Q2: 2,509,568 shares; 2014Q3: 1,502,678 shares; 2014Q4: 1,263,972 shares 1,263,972$14.1M1.64%-238,706Timeline
ZWEIG FUND INC.ZWEIG FUND INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 852,930 shares; 2013Q3: 833,557 shares; 2013Q4: 811,187 shares; 2014Q1: 792,686 shares; 2014Q2: 783,655 shares; 2014Q3: 771,954 shares; 2014Q4: 756,013 shares 756,013$11.7M1.36%-15,941
VGTVANGUARD WORLD FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 104,306 shares; 2013Q3: 103,799 shares; 2013Q4: 103,575 shares; 2014Q1: 106,379 shares; 2014Q2: 97,842 shares; 2014Q3: 96,827 shares; 2014Q4: 97,606 shares 97,606$10.2M1.18%+779Timeline
XLESELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 118,064 shares 118,064$9.35M1.09%newTimeline
BLACKROCK ENHANCED GOVT FD …BLACKROCK ENHANCED GOVT FD (EGF)Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 56,509 shares; 2013Q3: 56,509 shares; 2013Q4: 57,294 shares; 2014Q1: 155,543 shares; 2014Q2: 462,167 shares; 2014Q3: 506,235 shares; 2014Q4: 481,906 shares 481,906$6.87M0.8%-24,329
BLACKROCK DEFINED OPPRTY CRBLACKROCK DEFINED OPPRTY CRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 48,615 shares; 2014Q4: 512,285 shares 512,285$6.55M0.76%+463,670
FPFFIRST TR INTER DURATN PFD &Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 251,444 shares; 2014Q1: 246,284 shares; 2014Q2: 243,348 shares; 2014Q3: 283,959 shares; 2014Q4: 280,483 shares 280,483$6.37M0.74%-3,476Timeline
BGXBLACKSTONE LONG SHORT CR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 45,274 shares; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 58,224 shares; 2014Q4: 382,811 shares 382,811$5.95M0.69%+324,587Timeline
JGHNUVEEN GLOBAL HIGH INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 326,158 shares 326,158$5.63M0.65%newTimeline
BITBLACKROCK MULTI SECTOR INC TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 269,204 shares; 2014Q1: 290,331 shares; 2014Q2: 287,384 shares; 2014Q3: 287,419 shares; 2014Q4: 286,635 shares 286,635$4.81M0.56%-784Timeline
BLWBLACKROCK LTD DURATION INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 276,078 shares 276,078$4.34M0.5%newTimeline
ALLIANZGI EQUITY & CONV INCOALLIANZGI EQUITY & CONV INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 254,525 shares; 2013Q3: 243,662 shares; 2013Q4: 241,447 shares; 2014Q1: 235,005 shares; 2014Q2: 225,960 shares; 2014Q3: 204,264 shares; 2014Q4: 196,669 shares 196,669$4.07M0.47%-7,595
FCTFIRST TR SR FLTG RATE INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 26,682 shares; 2014Q4: 241,750 shares 241,750$3.15M0.37%+215,068Timeline
GDOWSTRN AST GLBL CORP OPP FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 159,457 shares; 2014Q1: 173,985 shares; 2014Q2: 171,710 shares; 2014Q3: 176,455 shares; 2014Q4: 176,308 shares 176,308$3.13M0.36%-147Timeline
XJQCXNUVEEN CR STRATEGIES INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 31,762 shares; 2013Q3: 31,763 shares; 2013Q4: 955,356 shares; 2014Q1: 484,455 shares; 2014Q2: 114,966 shares; 2014Q3: 360,685 shares; 2014Q4: 356,299 shares 356,299$3.12M0.36%-4,386Timeline
XSSPXNUVEEN S&P 500 DYNAMIC OVERWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 355,694 shares; 2013Q3: 256,273 shares; 2013Q4: 200,443 shares; 2014Q1: 193,811 shares; 2014Q2: 187,770 shares; 2014Q3: 183,990 shares; 2014Q4: 179,401 shares 179,401$2.56M0.3%-4,589Timeline
NUVEEN FLOATING RATE INCOME…NUVEEN FLOATING RATE INCOME OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 223,682 shares 223,682$2.52M0.29%new
ECFELLSWORTH GROWTH & INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 299,401 shares; 2013Q3: 296,360 shares; 2013Q4: 295,591 shares; 2014Q1: 293,392 shares; 2014Q2: 288,399 shares; 2014Q3: 270,923 shares; 2014Q4: 270,673 shares 270,673$2.36M0.27%-250Timeline
APOLLO TACTICAL INCOME FD I…APOLLO TACTICAL INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 159,872 shares; 2014Q1: 151,328 shares; 2014Q2: 150,997 shares; 2014Q3: 149,114 shares; 2014Q4: 147,751 shares 147,751$2.36M0.27%-1,363
MARKET VECTORS ETF TR JR GO…MARKET VECTORS ETF TR JR GOLDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 91,970 shares 91,970$2.2M0.26%new
PROSHARES TRPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 124,268 shares; 2013Q3: 113,928 shares; 2013Q4: 131,405 shares; 2014Q1: 138,767 shares; 2014Q2: 134,932 shares; 2014Q3: 112,846 shares; 2014Q4: 99,141 shares 99,141$2.19M0.25%-13,705
MADISON STRTG SECTOR PREM FDMADISON STRTG SECTOR PREM FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: 30,075 shares; 2014Q3: 59,869 shares; 2014Q4: 147,385 shares 147,385$1.75M0.2%+87,516
XFRAXBLACKROCK FLOATING RATE INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 124,503 shares 124,503$1.67M0.19%newTimeline
GLOCLOUGH GLOBAL OPPORTUNITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 124,348 shares; 2013Q3: 124,348 shares; 2013Q4: 124,348 shares; 2014Q1: 123,198 shares; 2014Q2: 119,881 shares; 2014Q3: 116,120 shares; 2014Q4: 101,651 shares 101,651$1.3M0.15%-14,469Timeline
NUVNUVEEN MUN VALUE FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 42,000 shares; 2013Q3: 27,000 shares; 2013Q4: 434,714 shares; 2014Q1: 256,357 shares; 2014Q2: 114,733 shares; 2014Q3: 113,610 shares; 2014Q4: 113,610 shares 113,610$1.1M0.13%0Timeline
JMMNUVEEN MULTI-MKT INCOME FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 88,173 shares; 2014Q4: 127,587 shares 127,587$979K0.11%+39,414Timeline
EVFEATON VANCE SR INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 41,683 shares; 2014Q4: 154,477 shares 154,477$964K0.11%+112,794Timeline
RGTROYCE GLOBAL TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 284,544 shares; 2014Q1: 205,337 shares; 2014Q2: 147,954 shares; 2014Q3: 127,969 shares; 2014Q4: 113,356 shares 113,356$911K0.11%-14,613Timeline
ARCCARES CAPITAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: 12,680 shares; 2014Q3: 40,588 shares; 2014Q4: 52,284 shares 52,284$816K0.09%+11,696Timeline
BXMXNUVEEN S&P 500 BUY-WRITE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 236,536 shares; 2013Q3: 73,305 shares; 2013Q4: 72,921 shares; 2014Q1: 69,294 shares; 2014Q2: 69,027 shares; 2014Q3: 67,880 shares; 2014Q4: 65,476 shares 65,476$793K0.09%-2,404Timeline
TWO HARBORS INVESTMENT CORPTWO HARBORS INVESTMENT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: 19,567 shares; 2014Q3: 61,978 shares; 2014Q4: 75,820 shares 75,820$760K0.09%+13,842
INTCINTEL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 23,531 shares; 2013Q3: 23,531 shares; 2013Q4: 24,031 shares; 2014Q1: 22,731 shares; 2014Q2: 22,743 shares; 2014Q3: 21,743 shares; 2014Q4: 20,743 shares 20,743$753K0.09%-1,000Timeline
PFLTPENNANTPARK FLOATING RATE CAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: 13,790 shares; 2014Q3: not reported; 2014Q4: 54,852 shares 54,852$753K0.09%newTimeline
LLOEWS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 17,200 shares; 2013Q3: 17,200 shares; 2013Q4: 17,200 shares; 2014Q1: 17,200 shares; 2014Q2: 17,590 shares; 2014Q3: 17,590 shares; 2014Q4: 17,590 shares 17,590$739K0.09%0Timeline
EOIEATON VANCE ENHANCED EQUITYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 160,981 shares; 2013Q3: 161,092 shares; 2013Q4: 160,327 shares; 2014Q1: 150,336 shares; 2014Q2: 146,755 shares; 2014Q3: 54,190 shares; 2014Q4: 53,560 shares 53,560$739K0.09%-630Timeline
BLACKROCK INCOME TR INCBLACKROCK INCOME TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 107,455 shares 107,455$688K0.08%new
ACREARES COML REAL ESTATE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 47,189 shares; 2014Q4: 59,153 shares 59,153$679K0.08%+11,964Timeline
WHFWHITEHORSE FIN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 28,874 shares; 2014Q4: 58,819 shares 58,819$679K0.08%+29,945Timeline
MARKIT LTDMARKIT LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 25,060 shares; 2014Q4: 25,060 shares 25,060$662K0.08%0
MSFTMICROSOFT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 16,039 shares; 2013Q3: 16,039 shares; 2013Q4: 15,970 shares; 2014Q1: 13,970 shares; 2014Q2: 13,970 shares; 2014Q3: 13,970 shares; 2014Q4: 13,970 shares 13,970$649K0.08%0Timeline
FTFFRANKLIN LTD DURATION INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 50,991 shares 50,991$622K0.07%newTimeline
Polonia Bancorp, Inc.Polonia Bancorp, Inc.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 58,366 shares; 2013Q3: 58,366 shares; 2013Q4: 58,366 shares; 2014Q1: 58,366 shares; 2014Q2: 58,366 shares; 2014Q3: 57,551 shares; 2014Q4: 57,551 shares 57,551$601K0.07%0
VNQVANGUARD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 4,441 shares; 2014Q4: 7,302 shares 7,302$591K0.07%+2,861Timeline
ANWORTH MORTGAGE ASSET CPANWORTH MORTGAGE ASSET CPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 16,419 shares; 2014Q2: 37,900 shares; 2014Q3: 101,065 shares; 2014Q4: 110,890 shares 110,890$582K0.07%+9,825
CVXCHEVRON CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 4,000 shares; 2013Q3: 4,000 shares; 2013Q4: 4,500 shares; 2014Q1: 5,000 shares; 2014Q2: 5,000 shares; 2014Q3: 4,000 shares; 2014Q4: 5,160 shares 5,160$579K0.07%+1,160Timeline
BXMTBLACKSTONE MORTGAGE TRUST INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 19,122 shares; 2014Q4: 19,122 shares 19,122$557K0.06%0Timeline
HATTERAS FINL CORPHATTERAS FINL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 25,351 shares; 2014Q4: 29,180 shares 29,180$538K0.06%+3,829
JNJJOHNSON & JOHNSONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 5,120 shares; 2013Q3: 5,120 shares; 2013Q4: 5,120 shares; 2014Q1: 5,120 shares; 2014Q2: 5,120 shares; 2014Q3: 5,120 shares; 2014Q4: 5,120 shares 5,120$535K0.06%0Timeline
SARSARATOGA INVT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 13,613 shares; 2014Q4: 35,763 shares 35,763$531K0.06%+22,150Timeline
PMOFRANKLIN MUN OPPORTUNITIES TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 41,000 shares; 2013Q3: 41,000 shares; 2013Q4: 41,000 shares; 2014Q1: 41,000 shares; 2014Q2: 41,000 shares; 2014Q3: 41,000 shares; 2014Q4: 41,000 shares 41,000$492K0.06%0Timeline
DFPFLAHERTY & CRUMRINE DYNAMICQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 201,710 shares; 2014Q1: 157,845 shares; 2014Q2: 152,396 shares; 2014Q3: 144,248 shares; 2014Q4: 21,716 shares 21,716$483K0.06%-122,532Timeline
NMFCNEW MTN FIN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 10,543 shares; 2014Q4: 31,457 shares 31,457$470K0.05%+20,914Timeline
FS KKR CAPITAL CORPFS KKR CAPITAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: 12,430 shares; 2014Q3: 35,066 shares; 2014Q4: 46,440 shares 46,440$461K0.05%+11,374
TLTISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 3,574 shares 3,574$450K0.05%newTimeline
Guggenheim S&P 500 Equal We…Guggenheim S&P 500 Equal Weighted…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 5,758 shares; 2014Q4: 5,506 shares 5,506$441K0.05%-252
PIMFRANKLIN MASTER INTER INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 91,037 shares; 2014Q1: 91,037 shares; 2014Q2: 91,037 shares; 2014Q3: 91,037 shares; 2014Q4: 91,037 shares 91,037$438K0.05%0Timeline
MFA FINL INCMFA FINL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 45,000 shares; 2014Q4: 54,681 shares 54,681$437K0.05%+9,681
PNNTPENNANTPARK INVTS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 28,517 shares; 2014Q4: 45,491 shares 45,491$434K0.05%+16,974Timeline
CCITIGROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 8,024 shares; 2013Q3: 8,024 shares; 2013Q4: 8,000 shares; 2014Q1: 8,000 shares; 2014Q2: 8,000 shares; 2014Q3: 8,000 shares; 2014Q4: 8,003 shares 8,003$433K0.05%+3Timeline
XLUSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 9,700 shares; 2013Q3: 9,700 shares; 2013Q4: 8,900 shares; 2014Q1: 8,900 shares; 2014Q2: 8,900 shares; 2014Q3: 8,900 shares; 2014Q4: 8,900 shares 8,900$420K0.05%0Timeline
EFAISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 7,568 shares; 2013Q3: 9,064 shares; 2013Q4: 4,769 shares; 2014Q1: 7,558 shares; 2014Q2: 5,094 shares; 2014Q3: 6,616 shares; 2014Q4: 6,780 shares 6,780$412K0.05%+164Timeline
EATON VANCE FLTG RATE INCOMEATON VANCE FLTG RATE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 25,161 shares 25,161$406K0.05%new
PFEPFIZER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 10,955 shares; 2013Q3: 10,955 shares; 2013Q4: 10,955 shares; 2014Q1: 12,455 shares; 2014Q2: 12,706 shares; 2014Q3: 12,956 shares; 2014Q4: 12,956 shares 12,956$404K0.05%0Timeline
COLONY CAP INCCOLONY CAP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 16,715 shares 16,715$398K0.05%new
INTERVEST BANCSHARES CORP-AINTERVEST BANCSHARES CORP-AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 24,000 shares; 2013Q3: 21,000 shares; 2013Q4: 23,227 shares; 2014Q1: 24,227 shares; 2014Q2: 34,300 shares; 2014Q3: 41,455 shares; 2014Q4: 39,264 shares 39,264$395K0.05%-2,191
MRKMERCK & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 6,500 shares; 2013Q3: 6,500 shares; 2013Q4: 6,500 shares; 2014Q1: 6,500 shares; 2014Q2: 6,500 shares; 2014Q3: 6,500 shares; 2014Q4: 6,500 shares 6,500$369K0.04%0Timeline
CUTWATER SELECT INCOME FDCUTWATER SELECT INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 19,057 shares 19,057$369K0.04%new
SHYISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 4,314 shares 4,314$364K0.04%newTimeline
FEZSPDR INDEX SHS FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 9,542 shares; 2013Q3: 13,587 shares; 2013Q4: 7,690 shares; 2014Q1: 6,875 shares; 2014Q2: 7,116 shares; 2014Q3: 7,370 shares; 2014Q4: 9,293 shares 9,293$343K0.04%+1,923Timeline
SPDR SERIES TRUST BLOOMBERG…SPDR SERIES TRUST BLOOMBERG BRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 6,859 shares; 2014Q2: 7,096 shares; 2014Q3: 7,266 shares; 2014Q4: 8,766 shares 8,766$338K0.04%+1,500
NNYNUVEEN N Y MUN VALUE FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 65,201 shares; 2014Q1: 65,201 shares; 2014Q2: 51,800 shares; 2014Q3: 37,870 shares; 2014Q4: 33,931 shares 33,931$332K0.04%-3,939Timeline
SBSISOUTHSIDE BANCSHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 11,447 shares 11,447$331K0.04%newTimeline
BACBANK OF AMER CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 18,226 shares; 2013Q3: 18,226 shares; 2013Q4: 18,226 shares; 2014Q1: 18,226 shares; 2014Q2: 18,226 shares; 2014Q3: 18,226 shares; 2014Q4: 18,226 shares 18,226$326K0.04%0Timeline
GENERAL ELEC COGENERAL ELEC COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 10,559 shares; 2013Q3: 10,559 shares; 2013Q4: 10,560 shares; 2014Q1: 11,559 shares; 2014Q2: 11,559 shares; 2014Q3: 12,559 shares; 2014Q4: 12,559 shares 12,559$317K0.04%0
JPMJPMORGAN CHASE & COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 5,750 shares; 2013Q3: 5,750 shares; 2013Q4: 5,750 shares; 2014Q1: 5,750 shares; 2014Q2: 5,750 shares; 2014Q3: 5,000 shares; 2014Q4: 5,000 shares 5,000$313K0.04%0Timeline
ALLIANZGI DIVIDEND INT & PRMALLIANZGI DIVIDEND INT & PRMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 76,406 shares; 2013Q3: 20,300 shares; 2013Q4: 20,300 shares; 2014Q1: 19,540 shares; 2014Q2: 19,540 shares; 2014Q3: 19,540 shares; 2014Q4: 19,540 shares 19,540$313K0.04%0
INVESCO MORTGAGE CAPITAL INCINVESCO MORTGAGE CAPITAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 16,040 shares; 2014Q4: 19,586 shares 19,586$303K0.04%+3,546
L BRANDS INCL BRANDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 3,465 shares 3,465$300K0.03%new
NEXPOINT CR STRATEGIES FDNEXPOINT CR STRATEGIES FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 678,188 shares; 2013Q3: 656,439 shares; 2013Q4: 615,882 shares; 2014Q1: 225,995 shares; 2014Q2: 21,378 shares; 2014Q3: 21,378 shares; 2014Q4: 25,399 shares 25,399$285K0.03%+4,021
GDLGDL FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 27,485 shares; 2013Q3: 27,485 shares; 2013Q4: 27,485 shares; 2014Q1: 27,485 shares; 2014Q2: 27,485 shares; 2014Q3: 27,485 shares; 2014Q4: 27,485 shares 27,485$281K0.03%0Timeline
BGBBLACKSTONE STRATEGIC CRED 20Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 16,960 shares 16,960$280K0.03%newTimeline
PGPROCTER & GAMBLE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 2,700 shares; 2013Q3: 3,000 shares; 2013Q4: 3,000 shares; 2014Q1: 3,000 shares; 2014Q2: 3,000 shares; 2014Q3: 3,000 shares; 2014Q4: 3,000 shares 3,000$273K0.03%0Timeline
UNPUNION PAC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 1,090 shares; 2014Q2: 2,180 shares; 2014Q3: 2,180 shares; 2014Q4: 2,180 shares 2,180$260K0.03%0Timeline
ARIAPOLLO COML REAL ESTATE FINQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: 12,770 shares; 2014Q4: 15,833 shares 15,833$259K0.03%+3,063Timeline
XOMEXXON MOBIL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 2,772 shares 2,772$256K0.03%newTimeline
CSCOCISCO SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 10,400 shares; 2013Q3: 10,100 shares; 2013Q4: 10,600 shares; 2014Q1: 10,800 shares; 2014Q2: 10,800 shares; 2014Q3: 10,800 shares; 2014Q4: 8,800 shares 8,800$245K0.03%-2,000Timeline
GLDSPDR GOLD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 2,000 shares; 2013Q3: 2,181 shares; 2013Q4: 2,000 shares; 2014Q1: 4,292 shares; 2014Q2: 2,000 shares; 2014Q3: 4,427 shares; 2014Q4: 2,000 shares 2,000$227K0.03%-2,427Timeline
LQDISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 1,838 shares 1,838$219K0.03%newTimeline
EMBISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: 3,004 shares; 2014Q3: not reported; 2014Q4: 1,928 shares 1,928$211K0.02%newTimeline
ALPS ETF TRALPS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 11,892 shares; 2013Q3: 11,892 shares; 2013Q4: not reported; 2014Q1: 11,892 shares; 2014Q2: 11,892 shares; 2014Q3: 11,892 shares; 2014Q4: 11,892 shares 11,892$208K0.02%0
UNMUNUM GROUPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: 5,750 shares; 2014Q1: 5,750 shares; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 5,750 shares 5,750$201K0.02%newTimeline
COPCONOCOPHILLIPSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: 2,900 shares; 2013Q4: 2,900 shares; 2014Q1: 2,900 shares; 2014Q2: 2,900 shares; 2014Q3: 2,900 shares; 2014Q4: 2,900 shares 2,900$200K0.02%0Timeline
BCXBLACKROCK RES & COMMODITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 20,038 shares; 2014Q2: 20,038 shares; 2014Q3: 18,600 shares; 2014Q4: 20,470 shares 20,470$199K0.02%+1,870Timeline
GBDCGOLUB CAP BDC INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 10,335 shares 10,335$185K0.02%newTimeline
GFNEW GERMANY FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 16,290 shares; 2013Q3: 14,974 shares; 2013Q4: 14,974 shares; 2014Q1: 13,103 shares; 2014Q2: 12,691 shares; 2014Q3: 12,691 shares; 2014Q4: 12,919 shares 12,919$181K0.02%+228Timeline
MFS INTERMARKET INCOME TRUSTMFS INTERMARKET INCOME TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 34,733 shares; 2013Q3: 27,191 shares; 2013Q4: 26,880 shares; 2014Q1: 26,224 shares; 2014Q2: 21,637 shares; 2014Q3: 21,637 shares; 2014Q4: 21,637 shares 21,637$180K0.02%0
TCP CAP CORPTCP CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: not reported; 2014Q3: not reported; 2014Q4: 10,385 shares 10,385$174K0.02%new
TALMER BANCORP INCTALMER BANCORP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: 11,268 shares; 2014Q2: 11,268 shares; 2014Q3: 11,268 shares; 2014Q4: 11,268 shares 11,268$158K0.02%0
ALPINE TOTAL DYNAMIC DIVID FALPINE TOTAL DYNAMIC DIVID FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: not reported; 2013Q3: not reported; 2013Q4: not reported; 2014Q1: not reported; 2014Q2: 16,123 shares; 2014Q3: 16,947 shares; 2014Q4: 16,972 shares 16,972$144K0.02%+25
ISHARESISHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 26,572 shares; 2013Q3: 26,645 shares; 2013Q4: 20,412 shares; 2014Q1: 11,225 shares; 2014Q2: 12,154 shares; 2014Q3: 12,660 shares; 2014Q4: 12,665 shares 12,665$142K0.02%+5
VIRTUS TOTALVIRTUS TOTALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 143,519 shares; 2013Q3: 146,599 shares; 2013Q4: 127,783 shares; 2014Q1: 105,841 shares; 2014Q2: 107,841 shares; 2014Q3: 38,211 shares; 2014Q4: 26,985 shares 26,985$122K0.01%-11,226
XBGYXBLACKROCK ENHANCED INTL DIVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2013Q1: restricted; 2013Q2: 92,274 shares; 2013Q3: 89,674 shares; 2013Q4: 80,681 shares; 2014Q1: 65,074 shares; 2014Q2: 13,808 shares; 2014Q3: 13,358 shares; 2014Q4: 13,358 shares 13,358$90K0.01%0Timeline

Sold out in Q4 2014

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

SecurityShares beforeValue beforeType
VDEVANGUARD WORLD FD81,177$10.6Mshares
Vaneck Vectors Gold Miners …Vaneck Vectors Gold Miners ETF139,967$2.99Mshares
OMNIAMERICAN BANCORP INCOMNIAMERICAN BANCORP INC39,780$1.03Mshares
NUVEEN EQUITY PREM ADV FDNUVEEN EQUITY PREM ADV FD42,186$551Kshares
VBVANGUARD INDEX FDS3,487$386Kshares
POWERSHARESPOWERSHARES16,266$378Kshares
NUVEEN GLOBAL INCOME OPPTYNUVEEN GLOBAL INCOME OPPTY11,369$141Kshares

How Q4 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 0001356223-15-000001 base2015-02-12acceptance time not in the bulk data set