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Institutional Investment Manager
Cambridge Investment Research Advisors, Inc.
Cambridge Investment Research Advisors, Inc. (CIK: 0001419186) incorporated in Iowa, located at 1776 Pleasant Plain Road, Fairfield, IA. Institutional holdings reported to the SEC.

Institutional Holdings (2015Q3)
Portfolio Summary: 1,435 holdings with a total value of $3,484,588,000.
#
Name
Shares
Value ($)
%
Options
Notes
1401 GOLD RESOURCE CORP 15,955 40,000 0.00%
1402 OCLARO INC 17,500 40,000 0.00%
1403 INFORMATION SERVICES GROUP I 10,247 40,000 0.00%
1404 GALENA BIOPHARMA INC 19,589 31,000 0.00%
1405 NATURAL RESOURCE PARTNERS 12,066 31,000 0.00%
1406 VAALCO ENERGY INC 17,630 30,000 0.00%
1407 ZION OIL & GAS INC 18,651 27,000 0.00%
1408 PENGROWTH ENERGY CORP 30,447 26,000 0.00%
1409 BLACKSTONE MTG TR INC 25,000 26,000 0.00%
1410 Ares Capital Corp 25,000 25,000 0.00%
1411 HECLA MNG CO 12,155 24,000 0.00%
1412 Prospect Capital Corp 25,000 24,000 0.00%
1413 POLYMET MINING CORP 34,098 23,000 0.00%
1414 TRIANGLE PETE CORP 14,375 20,000 0.00%
1415 SUPERCONDUCTOR TECHNOLOGIES 30,000 19,000 0.00%
1416 Capstone Turbine 54,700 19,000 0.00%
1417 Magnum Hunter Resources Corp 52,984 18,000 0.00%
1418 22ND CENTY GROUP INC 20,000 17,000 0.00%
1419 CERAGON NETWORKS LTD 10,250 16,000 0.00%
1420 Rubicon Minerals Corp 18,689 14,000 0.00%
1421 BARCLAYS BANK PLC 14,422 13,000 0.00%
1422 TANZANIAN ROYALTY EXPL CORP 43,750 13,000 0.00%
1423 ATHERSYS INC NEW 10,000 11,000 0.00%
1424 VRINGO INC 20,280 11,000 0.00%
1425 FUELCELL ENERGY INC COM 13,350 10,000 0.00%
1426 KINDER MORGAN INCORPORATED DEL WARRANT EXP 052517 10,436 10,000 0.00%
1427 PROVECTUS 16,264 9,000 0.00%
1428 MINES MGMT INC 34,200 9,000 0.00%
1429 THOMPSON CREEK METALS CO COM 19,063 8,000 0.00%
1430 GOLDEN STAR RES LTD CDA 40,110 8,000 0.00%
1431 * SANDRIDGE ENERGY INC COM 24,885 7,000 0.00%
1432 DRYSHIPS INC 36,246 6,000 0.00%
1433 REXAHN PHARMACEUTICALS INC 12,000 6,000 0.00%
1434 ENTEROMEDICS INC 15,825 4,000 0.00%
1435 JOES JEANS INC 12,400 4,000 0.00%
Page 29 of 29

Portfolio data is normalized using SEC Form 13F filings, including the Restatement filing (0001419186-15-000010, filed 2015.11.20).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.