| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | SANOFI | 15,940 | 8,000 | 0.00% | ||
| 2 | SYNTA PHARMACEUTICALS CORP | 11,000 | 45,000 | 0.00% | ||
| 3 | PEABODY ENERGY C 4.75 PERCENT 66 CONV BONDS DUE 12/15/66 | 89,000 | 67,000 | 0.00% | PRN | |
| 4 | PACIFIC BIOSCIENCES CALIF IN | 12,000 | 74,000 | 0.00% | ||
| 5 | Dendreon Corp | 34,000 | 78,000 | 0.00% | ||
| 6 | MFS HIGH YIELD MUN TR | 18,050 | 78,000 | 0.00% | ||
| 7 | SANOFI SPOND FUNSPONSORED ADR | 12,000 | 87,000 | 0.00% | ||
| 8 | PUTNAM HIGH INC SECURITIES FD N/C 7/24/18 42968F108 | 11,013 | 96,000 | 0.00% | ||
| 9 | Novacopper Inc | 89,011 | 97,000 | 0.00% | ||
| 10 | ONCONOVA THERAPEUTICS | 18,000 | 98,000 | 0.00% | ||
| 11 | Vical Inc | 84,500 | 103,000 | 0.00% | ||
| 12 | ONCOTHYREON INC COM N/C EFF 6/ | 32,333 | 105,000 | 0.00% | ||
| 13 | BLACKROCK MUNIENHANCED FD IN | 10,198 | 114,000 | 0.00% | ||
| 14 | PUTNAM MANAGED MUN INCOME TR | 17,110 | 123,000 | 0.00% | ||
| 15 | CLAYMORE EXCHANGE TRD FD TR | 5,353 | 123,000 | 0.00% | ||
| 16 | BROOKFIELD HIGH INCOME FD IN | 11,743 | 124,000 | 0.00% | ||
| 17 | PIMCO CA Municipal Income II | 11,931 | 126,000 | 0.00% | ||
| 18 | NUVEEN PREFERRED SECURITIES | 13,933 | 126,000 | 0.00% | ||
| 19 | MFS MUN INCOME TR | 19,711 | 130,000 | 0.00% | ||
| 20 | PIMCO NEW YORK MUN INCOME FD | 14,800 | 143,000 | 0.00% | ||
| 21 | BLACKROCK MUNIHOLDINGS QUALI | 11,366 | 150,000 | 0.00% | ||
| 22 | BLACKROCK MUNI INTER DR FD I | 10,308 | 150,000 | 0.00% | ||
| 23 | DREYFUS STRATEGIC MUNS INCORPORATED | 18,220 | 154,000 | 0.00% | ||
| 24 | OCH-ZIFF CAP MGMT GROUP CL A SHS | 11,200 | 155,000 | 0.00% | ||
| 25 | DREYFUS STRATEGIC MUN BD FD | 19,074 | 158,000 | 0.00% | ||
| 26 | EATON VANCE MUN BD FD | 12,840 | 160,000 | 0.00% | ||
| 27 | WESTERN ASSET MGD HI INCM FD | 28,000 | 162,000 | 0.00% | ||
| 28 | MFS CALIF MUN FD | 16,248 | 180,000 | 0.00% | ||
| 29 | EATON VANCE CALIF MUN BD FD | 16,215 | 188,000 | 0.00% | ||
| 30 | COHEN STEERS TOTAL RETURN | 15,145 | 188,000 | 0.00% | ||
| 31 | NUVEEN CA DIV ADV MUNI FD 3 COM SH BEN INT | 15,119 | 193,000 | 0.00% | ||
| 32 | MCDERMOTT INTL INC | 24,322 | 197,000 | 0.00% | ||
| 33 | PIONEER MUN HIGH INCOME TR | 13,000 | 202,000 | 0.00% | ||
| 34 | PIMCO ETF TR | 4,000 | 202,000 | 0.00% | ||
| 35 | CASTLE BRANDS INC COM | 229,000 | 203,000 | 0.00% | ||
| 36 | BLACKROCK MUNIYIELD INVST FD | 13,900 | 204,000 | 0.00% | ||
| 37 | CNOOC LTD | 1,179 | 211,000 | 0.00% | ||
| 38 | KENNAMETAL INC | 4,633 | 214,000 | 0.00% | ||
| 39 | ANADARKO PETE CORP | 2,000 | 219,000 | 0.00% | ||
| 40 | POST HLDGS INC | 4,337 | 221,000 | 0.00% | ||
| 41 | NUVEEN SELECT MAT MUN FD | 21,500 | 221,000 | 0.00% | ||
| 42 | COLGATE PALMOLIVE CO | 3,344 | 228,000 | 0.00% | ||
| 43 | ALLIANCE NEW YORK MUN INC FD | 17,956 | 229,000 | 0.00% | ||
| 44 | APOLLO INVT CORP | 26,700 | 230,000 | 0.00% | ||
| 45 | AT&T INC | 6,653 | 235,000 | 0.00% | ||
| 46 | CREDIT SUISSE NASSAU BRH | 5,160 | 240,000 | 0.00% | ||
| 47 | BIOFUEL ENERGY CORP | 35,200 | 242,000 | 0.00% | ||
| 48 | Van Eck | 8,093 | 244,000 | 0.00% | ||
| 49 | BLACKROCK CORPOR HI YLD FD I | 19,965 | 245,000 | 0.00% | ||
| 50 | BLACKROCK REAL ASSET EQUITY | 26,804 | 252,000 | 0.00% |
Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001519418-14-000015, filed 2014.08.14).
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.
