| # | % | |||||
|---|---|---|---|---|---|---|
| 1 | SANOFI | 15,940 | 7,000 | 0.00% | ||
| 2 | SYNTA PHARMACEUTICALS CORP | 11,000 | 33,000 | 0.00% | ||
| 3 | MFS HIGH YIELD MUN TR | 10,600 | 46,000 | 0.00% | ||
| 4 | Dendreon Corp | 34,000 | 49,000 | 0.00% | ||
| 5 | PEABODY ENERGY C 4.75 PERCENT 66 CONV BONDS DUE 12/15/66 | 82,000 | 56,000 | 0.00% | PRN | |
| 6 | PACIFIC BIOSCIENCES CALIF IN | 12,000 | 59,000 | 0.00% | ||
| 7 | ONCOTHYREON INC COM N/C EFF 6/ | 32,333 | 62,000 | 0.00% | ||
| 8 | ONCONOVA THERAPEUTICS | 18,000 | 77,000 | 0.00% | ||
| 9 | Novacopper Inc | 88,335 | 82,000 | 0.00% | ||
| 10 | PUTNAM HIGH INC SECURITIES FD N/C 7/24/18 42968F108 | 10,960 | 91,000 | 0.00% | ||
| 11 | MFS MUN INCOME TR | 14,211 | 93,000 | 0.00% | ||
| 12 | Vical Inc | 84,500 | 95,000 | 0.00% | ||
| 13 | BIOFUEL ENERGY CORP | 35,200 | 102,000 | 0.00% | ||
| 14 | SANOFI SPOND FUNSPONSORED ADR | 12,000 | 105,000 | 0.00% | ||
| 15 | BLACKROCK MUNIENHANCED FD IN | 10,198 | 114,000 | 0.00% | ||
| 16 | DREYFUS STRATEGIC MUN BD FD | 14,774 | 119,000 | 0.00% | ||
| 17 | OCH-ZIFF CAP MGMT GROUP CL A SHS | 11,200 | 120,000 | 0.00% | ||
| 18 | PUTNAM MANAGED MUN INCOME TR | 16,910 | 120,000 | 0.00% | ||
| 19 | NUVEEN PREFERRED SECURITIES | 13,933 | 121,000 | 0.00% | ||
| 20 | PIMCO CA Municipal Income II | 11,931 | 124,000 | 0.00% | ||
| 21 | MCDERMOTT INTL INC | 23,593 | 135,000 | 0.00% | ||
| 22 | PIMCO NEW YORK MUN INCOME FD | 14,800 | 140,000 | 0.00% | ||
| 23 | WESTERN ASSET MGD HI INCM FD | 25,600 | 141,000 | 0.00% | ||
| 24 | BLACKROCK MUNIHOLDINGS QUALI | 11,266 | 146,000 | 0.00% | ||
| 25 | BLACKROCK MUNI INTER DR FD I | 10,308 | 149,000 | 0.00% | ||
| 26 | FRANKLIN LTD DURATION INCOME | 12,261 | 152,000 | 0.00% | ||
| 27 | MFS CALIF MUN FD | 14,448 | 156,000 | 0.00% | ||
| 28 | EATON VANCE MUN BD FD | 12,840 | 161,000 | 0.00% | ||
| 29 | EATON VANCE CALIF MUN BD FD | 15,278 | 173,000 | 0.00% | ||
| 30 | NUVEEN CA DIV ADV MUNI FD 3 COM SH BEN INT | 13,767 | 176,000 | 0.00% | ||
| 31 | PIONEER MUN HIGH INCOME TR | 11,700 | 178,000 | 0.00% | ||
| 32 | COHEN STEERS TOTAL RETURN | 15,145 | 181,000 | 0.00% | ||
| 33 | Arena Pharmaceuticals, Inc | 45,000 | 189,000 | 0.00% | ||
| 34 | MFS HIGH INCOME MUN TR | 40,425 | 192,000 | 0.00% | ||
| 35 | CNOOC LTD | 1,179 | 203,000 | 0.00% | ||
| 36 | CARBO CERAMICS INC | 3,438 | 204,000 | 0.00% | ||
| 37 | NUVEEN QUALITY MUN FUND INC | 16,375 | 212,000 | 0.00% | ||
| 38 | BLACKROCK MUNIC BD INVST TR COM | 15,174 | 218,000 | 0.00% | ||
| 39 | BLACKROCK MUNIHLDGS NY QLTY | 16,390 | 219,000 | 0.00% | ||
| 40 | ALLIANCE NEW YORK MUN INC FD | 17,556 | 221,000 | 0.00% | ||
| 41 | NUVEEN NY DIV ADVANTG MUN FD | 16,960 | 223,000 | 0.00% | ||
| 42 | Van Eck | 7,293 | 224,000 | 0.00% | ||
| 43 | NUVEEN SELECT MAT MUN FD | 21,500 | 225,000 | 0.00% | ||
| 44 | OSIRIS THERAPEUTICS INC NEW COM | 18,000 | 227,000 | 0.00% | ||
| 45 | BLACKROCK REAL ASSET EQUITY | 26,804 | 227,000 | 0.00% | ||
| 46 | CENOVUS ENERGY INC | 8,510 | 229,000 | 0.00% | ||
| 47 | NUVEEN MTG OPPTY TERM FD 2 | 9,825 | 229,000 | 0.00% | ||
| 48 | AT&T INC | 6,653 | 234,000 | 0.00% | ||
| 49 | APOLLO INVT CORP | 28,610 | 234,000 | 0.00% | ||
| 50 | BLACKROCK CORPOR HI YLD FD I | 19,965 | 236,000 | 0.00% |
Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001519418-14-000017, filed 2014.11.13).
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.
