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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 (2016Q3)
Portfolio Summary: 1,741 holdings with a total value of $5,386,590,000.
#
Name
Shares
Value ($)
%
Options
Notes
1701 DHT HOLDINGS INC 11,658 49,000 0.00%
1702 BIOTIME INC 12,355 48,000 0.00%
1703 IDERA PHARMACEUTICALS INCORPORATED COM NEW 18,000 46,000 0.00%
1704 PORTFOLIO RECOVERY ASSOCS IN 50,000 45,000 0.00%
1705 Abraxas Petroleum Corp 26,000 44,000 0.00%
1706 MICROVISION INC DEL 30,125 42,000 0.00%
1707 AMPIO PHARMACEUTICALS INC 54,715 41,000 0.00%
1708 AMARIN CORP PLC 12,465 40,000 0.00%
1709 ACELRX PHARMACEUTICALS INC 10,295 40,000 0.00%
1710 SEADRILL PARTNERS LLC 11,357 40,000 0.00%
1711 SANDRIDGE PERMIAN TR 11,956 34,000 0.00%
1712 TRANSGENOMIC INC COM NEW 113,900 32,000 0.00%
1713 PENGROWTH ENERGY CORP 19,210 31,000 0.00%
1714 ARCA BIOPHARMA INCORPORATED COM PAR .001 10,452 30,000 0.00%
1715 22ND CENTY GROUP INC 20,380 30,000 0.00%
1716 CERAGON NETWORKS LTD 11,735 28,000 0.00%
1717 POLYMET MINING CORP 34,190 27,000 0.00%
1718 Prospect Capital Corp 25,000 26,000 0.00%
1719 TICC CAPITAL CORP 25,000 25,000 0.00%
1720 ZION OIL & GAS INC 17,251 24,000 0.00%
1721 GERON CORP 10,025 23,000 0.00%
1722 QUANTUM CORP COM DSSG 30,800 23,000 0.00%
1723 TRANSENTERIX INC 12,900 22,000 0.00%
1724 Navidea Biopharm Inc 23,760 22,000 0.00%
1725 CONTRAVIR PHARMACEUTICALS IN 19,342 21,000 0.00%
1726 HARTE-HANKS INC 12,000 19,000 0.00%
1727 VAALCO ENERGY INC 20,130 19,000 0.00%
1728 PDL BIOPHARMA INC 20,000 19,000 0.00%
1729 XTANT MED HLDGS INC 16,200 18,000 0.00%
1730 PERNIX THERAPEUTICS HLDGS IN 28,000 17,000 0.00%
1731 NAVIOS MARITIME PARTNERS L P 11,278 16,000 0.00%
1732 HARRIS & HARRIS GROUP INC 10,325 14,000 0.00%
1733 PARNELL PHARMACEUTICALS HOLDINGS LTD 10,000 14,000 0.00%
1734 PROSPECT CAPITAL CORPORATION 10,000 10,000 0.00%
1735 WEB COM GROUP INC 10,000 9,000 0.00%
1736 OCEAN RIG 10,112 8,000 0.00%
1737 REX ENERGY CORPORATION 11,404 7,000 0.00%
1738 REXAHN PHARMACEUTICALS INC 34,000 7,000 0.00%
1739 BARCLAYS BANK PLC 12,622 7,000 0.00%
1740 NEURALSTEM INC COM 15,500 5,000 0.00%
1741 PROVECTUS 18,824 2,000 0.00%
Page 35 of 35

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001419186-16-000019, filed 2016.11.14).

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.