CIK: 0001053994 · Show all filings
Period: Q3 2016 (← Previous) (Next →)
Filing Date: Oct 24, 2016
Total Value ($000): $329,565 (86.3% shares, 13.7% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| MAIN | MAIN STREET CAPITAL CORP | 1,744,766 | $59,898 | 18.2% | $29.05 | +16.4% | COM | 56035L104 |
| XOM | EXXON MOBIL CORP | 207,918 | $18,147 | 5.5% | $51.96 | +12.6% | COM | 30231G102 |
| EPD | ENTERPRISE PRODS PARTNERS L | 585,134 | $16,168 | 4.9% | $24.62 | — | COM | 293792107 |
| — | PDL BIOPHARMA INC | 79,452 | $14,935 | 4.5% | $0.06 | — | NOTE 4.000% 2/0 | 69329YAF1 |
| — | TELIGENT INC NEW | 1,810,279 | $13,758 | 4.2% | $5.09 | — | COM | 87960W104 |
| — | ECLIPSE RES CORP | 3,877,095 | $12,756 | 3.9% | $1.91 | — | COM | 27890G100 |
| — | EZCORP INC | 12,336 | $8,111 | 2.5% | $0.03 | — | NOTE 2.625% 6/1 | 302301AB2 |
| — | MEMORIAL PRODTN PARTNERS LP | 4,325,557 | $7,700 | 2.3% | $2.03 | — | COM U REP LTD | 586048100 |
| — | FLUIDIGM CORP DEL | 51,122 | $6,781 | 2.1% | $0.03 | — | NOTE 2.750% 2/0 | 34385PAA6 |
| BAC | BANK AMER CORP | 428,777 | $6,710 | 2.0% | $11.05 | +9.2% | COM | 060505104 |
| TRU | TRANSUNION | 180,800 | $6,238 | 1.9% | $29.63 | +9.0% | COM | 89400J107 |
| GM | GENERAL MTRS CO | 192,090 | $6,103 | 1.9% | $24.35 | +6.2% | COM | 37045V100 |
| ZTS | ZOETIS INC | 116,850 | $6,077 | 1.8% | $44.58 | +5.6% | CL A | 98978V103 |
| — | PROSPECT CAPITAL CORPORATION | 7,304 | $5,412 | 1.6% | $0.32 | — | NOTE 5.375%10/1 | 74348TAK8 |
| JYNT | JOINT CORP | 2,169,181 | $5,163 | 1.6% | $4.01 | -40.8% | COM | 47973J102 |
| — | COLONY CAP INC | 13,319 | $4,296 | 1.3% | $0.28 | — | NOTE 5.000% 4/1 | 19624RAA4 |
| — | POWERSHARES QQQ TRUST | 33,354 | $3,961 | 1.2% | $109.22 | — | UNIT SER 1 | 73935A104 |
| EZPW | EZCORP INC | 231,325 | $3,944 | 1.2% | $3.13 | +208.6% | CL A NON VTG | 302301106 |
| CNK | CINEMARK HOLDINGS INC | 100,600 | $3,852 | 1.2% | $27.17 | +21.2% | COM | 17243V102 |
| IEP | ICAHN ENTERPRISES LP | 72,787 | $3,680 | 1.1% | $59.85 | — | DEPOSITARY UNIT | 451100101 |
| — | BLACKSTONE GROUP L P | 143,710 | $3,670 | 1.1% | $26.05 | — | COM UNIT LTD | 09253U108 |
| SPY | SPDR S&P 500 ETF TR | 14,702 | $3,584 | 1.1% | $210.72 | — | TR UNIT | 78462F103 |
| PRGO | PERRIGO CO PLC | 38,000 | $3,509 | 1.1% | $102.26 | -9.9% | SHS | G97822103 |
| — | THERAPEUTICSMD INC | 506,100 | $3,446 | 1.0% | $7.94 | — | COM | 88338N107 |
| — | PFENEX INC | 372,628 | $3,335 | 1.0% | $9.12 | — | COM | 717071104 |
| MU | MICRON TECHNOLOGY INC | 162,000 | $2,881 | 0.9% | $10.90 | +36.5% | COM | 595112103 |
| — | APOLLO COML REAL EST FIN INC | 7,790 | $2,861 | 0.9% | $0.01 | — | NOTE 5.500% 3/1 | 03762UAA3 |
| — | GRAN TIERRA ENERGY INC | 939,245 | $2,827 | 0.9% | $2.47 | — | COM | 38500T101 |
| KMI | KINDER MORGAN INC DEL | 122,161 | $2,825 | 0.9% | $11.13 | +17.4% | COM | 49456B101 |
| — | OAKTREE CAP GROUP LLC | 44,521 | $2,771 | 0.8% | $32.27 | — | UNIT CL A | 674001201 |
| — | YUMA ENERGY INC | 10,776,557 | $2,694 | 0.8% | $0.21 | — | COM | 98872E108 |
| — | ENVESTNET INC | 2,802 | $2,676 | 0.8% | $0.09 | — | NOTE 1.750%12/1 | 29404KAA4 |
| ETN | EATON CORP PLC | 40,707 | $2,676 | 0.8% | $52.90 | 0.0% | SHS | G29183103 |
| — | SANCHEZ ENERGY CORP | 301,300 | $2,663 | 0.8% | $5.86 | — | COM | 79970Y105 |
| — | INTREXON CORP | 93,940 | $2,632 | 0.8% | $29.27 | — | COM | 46122T102 |
| IWR | ISHARES TR | 14,097 | $2,458 | 0.7% | $169.51 | — | RUS MID-CAP ETF | 464287499 |
| AAPL | APPLE INC | 20,900 | $2,365 | 0.7% | $22.55 | +7.5% | COM | 037833100 |
| MO | ALTRIA GROUP INC | 35,331 | $2,234 | 0.7% | $31.29 | +11.1% | COM | 02209S103 |
| GEL | GENESIS ENERGY L P | 51,000 | $1,937 | 0.6% | $31.80 | — | UNIT LTD PARTN | 371927104 |
| AER | AERCAP HOLDINGS NV | 50,100 | $1,929 | 0.6% | $33.90 | +9.6% | SHS | N00985106 |
| NRP | NATURAL RESOURCE PARTNERS L | 68,889 | $1,922 | 0.6% | $7.50 | — | COM UNIT LTD PAR | 63900P608 |
| IWM | ISHARES TR | 14,707 | $1,827 | 0.6% | $113.93 | — | RUSSELL 2000 ETF | 464287655 |
| T | AT&T INC | 38,700 | $1,572 | 0.5% | $13.84 | +17.7% | COM | 00206R102 |
| — | CONCHO RES INC | 9,960 | $1,368 | 0.4% | $101.05 | — | COM | 20605P101 |
| — | APOLLO GLOBAL MGMT LLC | 76 | $1,367 | 0.4% | $0.01 | — | CL A SHS | 037612306 |
| — | AMERICAN CAP LTD | 78 | $1,326 | 0.4% | $0.01 | — | COM | 02503y103 |
| RDI | READING INTERNATIONAL INC | 98,621 | $1,317 | 0.4% | $12.94 | +2.5% | CL A | 755408101 |
| — | ARGOS THERAPEUTICS INC | 241,512 | $1,201 | 0.4% | $5.65 | — | COM | 040221103 |
| SLRC | SOLAR CAP LTD | 57 | $1,171 | 0.4% | $6.63 | +26.0% | COM | 83413U100 |
| PSEC | PROSPECT CAPITAL CORPORATION | 1,136 | $1,107 | 0.3% | $2.00 | +32.6% | COM | 74348T102 |
| — | KATE SPADE & CO | 64,000 | $1,096 | 0.3% | $23.34 | — | COM | 485865109 |
| WM | WASTE MGMT INC DEL | 16,952 | $1,081 | 0.3% | $45.95 | +20.0% | COM | 94106L109 |
| CFR | CULLEN FROST BANKERS INC | 14,435 | $1,038 | 0.3% | $38.79 | +36.1% | COM | 229899109 |
| — | EQUITY COMWLTH | 34 | $1,026 | 0.3% | $0.03 | — | COM SH BEN INT | 294628102 |
| CVS | CVS HEALTH CORP | 11,383 | $1,013 | 0.3% | $72.35 | -2.0% | COM | 126650100 |
| — | ISHARES TR | 91 | $956 | 0.3% | $0.01 | — | MRG RL ES CP ETF | 464288539 |
| JNJ | JOHNSON & JOHNSON | 7,541 | $891 | 0.3% | $80.72 | +15.9% | COM | 478160104 |
| LVS | LAS VEGAS SANDS CORP | 15,300 | $881 | 0.3% | $35.35 | +15.7% | COM | 517834107 |
| JPM | JPMORGAN CHASE & CO | 13,023 | $868 | 0.3% | $44.86 | +13.4% | COM | 46625H100 |
| GPRO | GOPRO INC | 50,800 | $847 | 0.3% | $12.22 | +12.3% | CL A | 38268T103 |
| AGG | ISHARES TR | 3,443 | $827 | 0.3% | $99.16 | — | CORE US AGGBD ET | 464287226 |
| PAA | PLAINS ALL AMERN PIPELINE L | 24,985 | $784 | 0.2% | $21.70 | — | UNIT LTD PARTN | 726503105 |
| LLY | LILLY ELI & CO | 9,567 | $768 | 0.2% | $64.21 | +6.8% | COM | 532457108 |
| — | APOLLO INVT CORP | 129 | $749 | 0.2% | $0.01 | — | COM | 03761U106 |
| PG | PROCTER AND GAMBLE CO | 8,336 | $748 | 0.2% | $61.64 | +9.5% | COM | 742718109 |
| — | KKR & CO L P DEL | 52 | $745 | 0.2% | $0.02 | — | COM UNITS | 48248m102 |
| — | DOW CHEM CO | 14,352 | $744 | 0.2% | $50.84 | — | COM | 260543103 |
| — | ENERGY TRANSFER PRTNRS L P | 19,767 | $731 | 0.2% | $33.33 | — | UNIT LTD PARTN | 29273R109 |
| GLP | GLOBAL PARTNERS LP | 44,450 | $718 | 0.2% | $13.52 | — | COM UNITS | 37946R109 |
| TRGP | TARGA RES CORP | 14,121 | $693 | 0.2% | $15.18 | +90.2% | COM | 87612G101 |
| — | FIFTH STREET FINANCE CORP | 114 | $663 | 0.2% | $0.07 | — | COM | 31678A103 |
| FCX | FREEPORT-MCMORAN INC | 61,025 | $663 | 0.2% | $8.60 | +21.3% | CL B | 35671D857 |
| — | BLACKSTONE GROUP L P | 26 | $659 | 0.2% | $0.04 | — | COM UNIT LTD | 09253u108 |
| HD | HOME DEPOT INC | 4,935 | $635 | 0.2% | $98.46 | +8.0% | COM | 437076102 |
| XLV | SELECT SECTOR SPDR TR | 8,598 | $620 | 0.2% | $67.78 | — | SBI HEALTHCARE | 81369Y209 |
| CVX | CHEVRON CORP NEW | 5,880 | $606 | 0.2% | $57.42 | +19.3% | COM | 166764100 |
| — | CLIFFS NAT RES INC | 103,000 | $602 | 0.2% | $4.40 | — | COM | 18683K101 |
| XLP | SELECT SECTOR SPDR TR | 11,208 | $595 | 0.2% | $53.07 | — | SBI CONS STPLS | 81369Y308 |
| BMY | BRISTOL MYERS SQUIBB CO | 10,850 | $585 | 0.2% | $45.46 | +1.5% | COM | 110122108 |
| PM | PHILIP MORRIS INTL INC | 5,905 | $574 | 0.2% | $56.71 | +9.8% | COM | 718172109 |
| — | LANDMARK INFRASTRUCTURE LP | 30,680 | $539 | 0.2% | $15.15 | — | COM UNIT LTD | 51508J108 |
| — | ONEOK PARTNERS LP | 13,400 | $535 | 0.2% | $31.41 | — | UNIT LTD PARTN | 68268N103 |
| IBB | ISHARES TR | 1,800 | $521 | 0.2% | $289.44 | — | NASDQ BIOTEC ETF | 464287556 |
| — | GENERAL ELECTRIC CO | 17,569 | $521 | 0.2% | $31.80 | — | COM | 369604103 |
| — | HOLLY ENERGY PARTNERS L P | 14,612 | $496 | 0.2% | $33.81 | — | COM UT LTD PTN | 435763107 |
| XLY | SELECT SECTOR SPDR TR | 6,136 | $492 | 0.1% | $79.08 | — | SBI CONS DISCR | 81369Y407 |
| FEP | FIRST TR EXCH TRD ALPHA FD I | 16,079 | $474 | 0.1% | $29.01 | — | EUROPE ALPHA | 33737J117 |
| — | CANADIAN PAC RY LTD | 3,000 | $458 | 0.1% | $132.68 | — | COM | 13645T100 |
| VNQ | VANGUARD INDEX FDS | 5,072 | $440 | 0.1% | $83.79 | — | REIT ETF | 922908553 |
| FDN | FIRST TR EXCHANGE TRADED FD | 5,379 | $439 | 0.1% | $68.28 | — | DJ INTERNT IDX | 33733E302 |
| — | BUCKEYE PARTNERS L P | 6,000 | $430 | 0.1% | $68.00 | — | UNIT LTD PARTN | 118230101 |
| TYL | TYLER TECHNOLOGIES INC | 2,500 | $428 | 0.1% | $166.67 | 0.0% | COM | 902252105 |
| — | SPDR SERIES TRUST | 11,000 | $423 | 0.1% | $30.36 | — | S&P OILGAS EXP | 78464A730 |
| ROST | ROSS STORES INC | 6,500 | $418 | 0.1% | $50.42 | +11.2% | COM | 778296103 |
| VWO | VANGUARD INTL EQUITY INDEX F | 11 | $411 | 0.1% | $35.24 | — | FTSE EMR MKT ETF | 922042858 |
| TV | GRUPO TELEVISA SA | 16,000 | $411 | 0.1% | $27.50 | — | SPON ADR REP ORD | 40049J206 |
| KO | COCA COLA CO | 9,661 | $409 | 0.1% | $31.84 | +2.2% | COM | 191216100 |
| XLK | SELECT SECTOR SPDR TR | 8,536 | $408 | 0.1% | $44.36 | — | TECHNOLOGY | 81369Y803 |
| — | CUTWATER SELECT INCOME FD | 19,734 | $400 | 0.1% | $19.15 | — | COM | 232229104 |
| IEF | ISHARES TR | 3,559 | $398 | 0.1% | $110.34 | — | 7-10 Y TR BD ETF | 464287440 |
| AVT | AVNET INC | 9,570 | $393 | 0.1% | $32.81 | +0.1% | COM | 053807103 |
| — | PRAXAIR INC | 3,200 | $387 | 0.1% | $112.50 | — | COM | 74005P104 |
| BIV | VANGUARD BD INDEX FD INC | 4,394 | $386 | 0.1% | $86.28 | — | INTERMED TERM | 921937819 |
| PFE | PFIZER INC | 11,391 | $385 | 0.1% | $18.68 | +19.2% | COM | 717081103 |
| BND | VANGUARD BD INDEX FD INC | 2,011 | $371 | 0.1% | $38.29 | — | TOTAL BND MRKT | 921937835 |
| IBM | INTERNATIONAL BUSINESS MACHS | 2,330 | $370 | 0.1% | $84.07 | +21.0% | COM | 459200101 |
| FV | FIRST TR EXCHANGE TRADED FD | 16,129 | $369 | 0.1% | $21.61 | — | DORSEY WRT 5 ETF | 33738R605 |
| — | ALPS ETF TR | 28,927 | $367 | 0.1% | $10.93 | — | ALERIAN MLP | 00162Q866 |
| BSV | VANGUARD BD INDEX FD INC | 4,251 | $342 | 0.1% | $80.65 | — | SHORT TRM BOND | 921937827 |
| KHC | KRAFT HEINZ CO | 3,783 | $339 | 0.1% | $49.34 | +17.6% | COM | 500754106 |
| — | BLACKROCK CORE BD TR | 23,705 | $337 | 0.1% | $13.37 | — | SHS BEN INT | 09249E101 |
| DB | DEUTSCHE BANK AG | 25,000 | $327 | 0.1% | $10.58 | 0.0% | NAMEN AKT | D18190898 |
| — | EXCO RESOURCES INC | 303,975 | $325 | 0.1% | $0.99 | — | COM | 269279402 |
| — | TOTAL S A | 6,654 | $317 | 0.1% | $45.41 | — | SPONSORED ADR | 89151E109 |
| — | BARNES & NOBLE INC | 27,945 | $316 | 0.1% | $12.37 | — | COM | 067774109 |
| AZN | ASTRAZENECA PLC | 9,000 | $296 | 0.1% | $28.16 | — | SPONSORED ADR | 046353108 |
| MDLZ | MONDELEZ INTL INC | 6,607 | $290 | 0.1% | $32.41 | +8.7% | CL A | 609207105 |
| — | REYNOLDS AMERICAN INC | 6,016 | $283 | 0.1% | $50.37 | — | COM | 761713106 |
| EFX | EQUIFAX INC | 2,100 | $283 | 0.1% | $95.83 | +26.8% | COM | 294429105 |
| VZ | VERIZON COMMUNICATIONS INC | 5,235 | $273 | 0.1% | $30.04 | +9.5% | COM | 92343V104 |
| — | FOOT LOCKER INC | 4,000 | $271 | 0.1% | $61.67 | — | COM | 344849104 |
| EFA | ISHARES TR | 4,433 | $263 | 0.1% | $57.15 | — | MSCI EAFE ETF | 464287465 |
| — | POTASH CORP SASK INC | 15,000 | $245 | 0.1% | $16.76 | — | COM | 73755L107 |
| AN | AUTONATION INC | 5,000 | $244 | 0.1% | $48.43 | +1.5% | COM | 05329W102 |
| — | CONTAINER STORE GROUP INC | 48,500 | $243 | 0.1% | $5.88 | — | COM | 210751103 |
| MCD | MCDONALDS CORP | 2,100 | $242 | 0.1% | $93.96 | +0.6% | COM | 580135101 |
| CINF | CINCINNATI FINL CORP | 3,198 | $241 | 0.1% | $46.63 | +26.2% | COM | 172062101 |
| COP | CONOCOPHILLIPS | 5,300 | $230 | 0.1% | $28.10 | +10.8% | COM | 20825C104 |
| — | OASIS PETE INC NEW | 20,000 | $229 | 0.1% | $8.85 | — | COM | 674215108 |
| UNH | UNITEDHEALTH GROUP INC | 1,600 | $224 | 0.1% | $100.90 | +19.4% | COM | 91324P102 |
| WFC | WELLS FARGO & CO NEW | 4,974 | $220 | 0.1% | $37.11 | -0.7% | COM | 949746101 |
| — | NUVEEN AMT FREE QLTY MUN INC | 15 | $216 | 0.1% | $15.01 | — | COM | 670657105 |
| — | DOUBLELINE INCOME SOLUTIONS | 11,000 | $211 | 0.1% | $16.86 | — | COM | 258622109 |
| NKE | NIKE INC | 4,000 | $211 | 0.1% | $53.20 | -6.0% | CL B | 654106103 |
| — | NUVEEN ENHANCED AMT FREE MUN | 1,210 | $210 | 0.1% | $16.21 | — | COM | 67071L106 |
| VONV | VANGUARD SCOTTSDALE FDS | 2,262 | $209 | 0.1% | $89.74 | — | VNG RUS1000VAL | 92206C714 |
| CAT | CATERPILLAR INC DEL | 2,350 | $208 | 0.1% | $66.01 | 0.0% | COM | 149123101 |
| EW | EDWARDS LIFESCIENCES CORP | 1,700 | $205 | 0.1% | $37.66 | 0.0% | COM | 28176E108 |
| AXP | AMERICAN EXPRESS CO | 3,195 | $204 | 0.1% | $50.49 | +11.6% | COM | 025816109 |
| — | FENIX PTS INC | 50,250 | $199 | 0.1% | $4.60 | — | COM | 31446L100 |
| WMT | WAL-MART STORES INC | 2,754 | $199 | 0.1% | $18.31 | +12.5% | COM | 931142103 |
| — | ENLINK MIDSTREAM LLC | 11,334 | $190 | 0.1% | $11.29 | — | COM UNIT REP LTD | 29336T100 |
| — | MARATHON OIL CORP | 12,000 | $190 | 0.1% | $11.12 | — | COM | 565849106 |
| — | NAVIOS MARITIME PARTNERS L P | 136,650 | $190 | 0.1% | $1.24 | — | UNIT LPI | Y62267102 |
| MPT | MEDICAL PPTYS TRUST INC | 12,000 | $178 | 0.1% | $13.00 | — | COM | 58463J304 |
| — | IGNITE RESTAURANT GROUP INC | 225,000 | $149 | 0.0% | $0.66 | — | COM | 451730105 |
| — | APPROACH RESOURCES INC | 40,668 | $137 | 0.0% | $1.16 | — | COM | 03834A103 |
| — | DNP SELECT INCOME FD | 11,000 | $113 | 0.0% | $10.00 | — | COM | 23325P104 |
| — | EARTHSTONE ENERGY INC | 12,100 | $104 | 0.0% | $12.15 | — | COM NEW | 27032D205 |
| AMTX | AEMETIS INC | 86,048 | $93 | 0.0% | $0.49 | +241.9% | COM NEW | 00770K202 |
| — | CAPITAL PRODUCT PARTNERS L P | 26,700 | $88 | 0.0% | $3.30 | — | COM UNIT LP | Y11082107 |
| — | NORTH ATLANTIC DRILLING LTD | 26,056 | $79 | 0.0% | $2.87 | — | COM | G6613P129 |
| — | VOYA PRIME RATE TR | 12,400 | $65 | 0.0% | $5.00 | — | SH BEN INT | 92913A100 |
| — | MID CON ENERGY PARTNERS LP | 22,080 | $64 | 0.0% | $1.77 | — | COM UNIT REPST | 59560V109 |
| — | ZYNGA INC | 20,000 | $58 | 0.0% | $2.30 | — | CL A | 98986T108 |
| — | PEDEVCO CORP | 245,500 | $44 | 0.0% | $0.19 | — | COM NEW | 70532Y204 |
| — | SANDRIDGE MISSISSIPPIAN TR I | 23,050 | $32 | 0.0% | $1.74 | — | SH BEN INT | 80007V106 |
| — | AMERICAN DG ENERGY INC | 25,000 | $7 | 0.0% | $0.24 | — | COM | 025398108 |
| — | PERNIX THERAPEUTICS HLDGS IN | 10,000 | $6 | 0.0% | $1.10 | — | COM | 71426V108 |