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Institutional Investment Manager
Cetera Advisors LLC
Cetera Advisors LLC (CIK: 0001534400) incorporated in Delaware, located at 4600 S. Syracuse St., Denver, CO. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q4)
Portfolio Summary: 723 holdings with a total value of $1,328,393,000.
#
Name
Shares
Value ($)
%
Options
Notes
701 GABELLI EQUITY TR INC 10,479 58,000 0.00%
702 SIRIUS XM HOLDINGS INC 13,335 57,000 0.00%
703 ORGANOVO HLDGS INC 16,202 55,000 0.00%
704 KOPIN CORP 19,000 53,000 0.00%
705 STARWOOD PPTY TR INC SR CV NT 3.75 17 50,000 51,000 0.00% PRN
706 SANDRIDGE PERMIAN TR 14,298 42,000 0.00%
707 LEGACY RESVS LP 20,000 42,000 0.00%
708 AMARIN CORP PLC 13,200 41,000 0.00%
709 SEADRILL LIMITED 11,959 41,000 0.00%
710 PENN WEST PETE LTD NEW 20,437 40,000 0.00%
711 HARMONY GOLD MINING CO LTD 18,000 40,000 0.00%
712 GOLD FIELDS LTD NEW 12,500 38,000 0.00%
713 PDL BIOPHARMA INC 15,000 31,000 0.00%
714 GLOBALSTAR INC 16,930 27,000 0.00%
715 GLOWPOINT INC 94,020 25,000 0.00%
716 CHESAPEAKE GRANITE WASH TR COM 10,000 24,000 0.00%
717 PROSPECT CAPITAL CORPORATION 22,000 22,000 0.00% PRN
718 WEB COM GROUP INC 15,000 14,000 0.00% PRN
719 CORINDUS VASCULAR ROBOTICS INCORPORATED 13,000 9,000 0.00%
720 MANNKIND CORP. 15,150 9,000 0.00%
721 INTERNATIONAL TOWER HILL MIN 13,075 8,000 0.00%
722 PALATIN TECHNOLOGIES INC COM 16,155 8,000 0.00%
723 PARETEUM CORP 14,122 2,000 0.00%
Page 15 of 15

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001085146-17-000797, filed 2017.02.15).

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.