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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 (2016Q4)
Portfolio Summary: 1,665 holdings with a total value of $5,335,657,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 REXAHN PHARMACEUTICALS INC 10,000 1,000 0.00%
2 NEURALSTEM INC COM 15,500 4,000 0.00%
3 REX ENERGY CORPORATION 10,204 5,000 0.00%
4 BARCLAYS BANK PLC 12,622 9,000 0.00%
5 PROSPECT CAPITAL CORPORATION 10,000 10,000 0.00%
6 WEB COM GROUP INC 10,000 10,000 0.00%
7 XTANT MED HLDGS INC 18,800 10,000 0.00%
8 HARRIS & HARRIS GROUP INC 10,325 14,000 0.00%
9 PARNELL PHARMACEUTICALS HOLDINGS LTD 19,999 14,000 0.00%
10 HARTE-HANKS INC 12,000 18,000 0.00%
11 Navidea Biopharm Inc 27,760 18,000 0.00%
12 OCEAN RIG 10,206 18,000 0.00%
13 PDL BIOPHARMA INC 20,000 19,000 0.00%
14 VAALCO ENERGY INC 20,130 21,000 0.00%
15 ATHERSYS INC NEW 14,000 21,000 0.00%
16 CONTRAVIR PHARMACEUTICALS IN 18,751 23,000 0.00%
17 ZION OIL & GAS INC 17,251 24,000 0.00%
18 TICC CAPITAL CORP 25,000 25,000 0.00%
19 POLYMET MINING CORP 34,190 25,000 0.00%
20 QUANTUM CORP COM DSSG 30,800 26,000 0.00%
21 TRANSENTERIX INC 19,900 26,000 0.00%
22 Prospect Capital Corp 25,000 26,000 0.00%
23 NEOVASC INC 15,800 27,000 0.00%
24 PENGROWTH ENERGY CORP 18,784 27,000 0.00%
25 IDERA PHARMACEUTICALS INCORPORATED COM NEW 18,000 27,000 0.00%
26 ACELRX PHARMACEUTICALS INC 10,295 27,000 0.00%
27 CERAGON NETWORKS LTD 10,735 28,000 0.00%
28 ARCA BIOPHARMA INCORPORATED COM PAR .001 10,452 30,000 0.00%
29 TRANSGENOMIC INC COM NEW 113,900 32,000 0.00%
30 VANGUARD NAT RES LLC COM UNIT 52,352 35,000 0.00%
31 22ND CENTY GROUP INC 34,380 37,000 0.00%
32 MICROVISION INC DEL 30,125 38,000 0.00%
33 IEC ELECTRS CORP NEW COM 10,853 39,000 0.00%
34 RESEARCH FRONTIERS INC 22,300 41,000 0.00%
35 SEACHANGE INTL INC 18,400 42,000 0.00%
36 TROVAGENE INC 19,843 42,000 0.00%
37 GENESIS HEALTHCARE INC 10,322 44,000 0.00%
38 AMPIO PHARMACEUTICALS INC 48,724 44,000 0.00%
39 SEADRILL PARTNERS LLC 10,650 45,000 0.00%
40 ENDEAVOUR SILVER CORP 13,225 47,000 0.00%
41 PORTFOLIO RECOVERY ASSOCS IN 50,000 47,000 0.00%
42 DHT HOLDINGS INC 11,608 48,000 0.00%
43 ATLANTIC PWR CORP 20,253 51,000 0.00%
44 ARES CAP CORP 50,000 52,000 0.00%
45 CUMBERLAND PHARMACEUTICALS I COM 10,000 55,000 0.00%
46 LIBERTY ALL STAR EQUITY FD 10,927 56,000 0.00%
47 Teekay Offshore Partners LP 11,058 56,000 0.00%
48 AWARE INC MASS 10,234 62,000 0.00%
49 MANNKIND CORP. 97,119 62,000 0.00%
50 POWERSHARES ETF WILDER HILL CLEAN ENERGY PORTFOLIO 17,765 65,000 0.00%
Page 1 of 34

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001419186-17-000005, filed 2017.02.13).

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.