CIK: 0001096978 · Show all filings
Period: Q1 2016 (← Previous) (Next →)
Filing Date: May 3, 2016
Total Value ($000): $362,549 (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | NUVEEN CR STRATEGIES INCM FD | 1,861,336 | $14,723 | 4.1% | $9.04 | — | COM SHS | 67073D102 |
| — | INVESCO DYNAMIC CR OPP FD | 1,295,835 | $13,930 | 3.8% | $12.33 | — | COM | 46132R104 |
| GILD | GILEAD SCIENCES INC | 115,300 | $10,591 | 2.9% | $68.06 | -6.8% | COM | 375558103 |
| — | BOULDER GROWTH & INCOME FD I | 1,268,583 | $9,958 | 2.7% | $8.07 | — | COM | 101507101 |
| — | BLACKSTONE GSO STRATEGIC CR | 641,465 | $8,743 | 2.4% | $17.61 | — | COM SHS BEN IN | 09257R101 |
| — | RMR REAL ESTATE INCOME FUND | 431,470 | $8,326 | 2.3% | $19.51 | — | COM | 76970B101 |
| — | CENTRAL FD CDA LTD | 685,000 | $8,213 | 2.3% | $11.00 | — | CL A | 153501101 |
| — | NUVEEN SR INCOME FD | 1,184,492 | $6,989 | 1.9% | $6.51 | — | COM | 67067Y104 |
| — | CELGENE CORP | 66,000 | $6,606 | 1.8% | $111.13 | — | COM | 151020104 |
| IBB | ISHARES TR | 465,900 | $6,478 | 1.8% | $260.82 | — | Put | 464287556 |
| — | APOLLO SR FLOATING RATE FD I | 426,085 | $6,476 | 1.8% | $15.52 | — | COM | 037636107 |
| BMRN | BIOMARIN PHARMACEUTICAL INC | 76,672 | $6,324 | 1.7% | $98.14 | -17.1% | COM | 09061G101 |
| — | BLACKSTONE GSO LNG SHRT CR I | 449,069 | $6,107 | 1.7% | $17.31 | — | COM SHS BN INT | 09257D102 |
| — | PIMCO DYNAMIC CR INCOME FD | 347,411 | $6,059 | 1.7% | $19.40 | — | COM SHS | 72202D106 |
| JAZZ | JAZZ PHARMACEUTICALS PLC | 45,000 | $5,875 | 1.6% | $156.23 | -20.3% | SHS USD | G50871105 |
| — | NUVEEN SHT DUR CR OPP FD | 383,198 | $5,794 | 1.6% | $17.69 | — | COM | 67074X107 |
| — | BAXALTA INC | 142,000 | $5,737 | 1.6% | $39.82 | — | COM | 07177M103 |
| — | ARES DYNAMIC CR ALLOCATION F | 407,626 | $5,454 | 1.5% | $16.43 | — | COM | 04014F102 |
| — | ALEXION PHARMACEUTICALS INC | 38,500 | $5,360 | 1.5% | $154.92 | — | COM | 015351109 |
| BMY | BRISTOL MYERS SQUIBB CO | 83,700 | $5,347 | 1.5% | $45.28 | -1.0% | COM | 110122108 |
| — | NEUBERGER BERMAN RE ES SEC F | 1,013,559 | $5,159 | 1.4% | $5.03 | — | COM | 64190A103 |
| PFE | PFIZER INC | 172,500 | $5,113 | 1.4% | $19.05 | -2.0% | COM | 717081103 |
| — | EATON VANCE SR INCOME TR | 868,682 | $5,030 | 1.4% | $6.34 | — | SH BEN INT | 27826S103 |
| — | BLACKROCK FLOAT RATE OME STR | 383,740 | $5,015 | 1.4% | $13.46 | — | COM | 09255X100 |
| BIIB | BIOGEN INC | 18,682 | $4,863 | 1.3% | $321.09 | -17.7% | COM | 09062X103 |
| — | ISHARES TR | 470,000 | $4,545 | 1.3% | $9.67 | — | MRG RL ES CP ETF | 464288539 |
| VRTX | VERTEX PHARMACEUTICALS INC | 54,500 | $4,332 | 1.2% | $116.23 | -22.2% | COM | 92532F100 |
| HCA | HCA HOLDINGS INC | 55,000 | $4,293 | 1.2% | $67.34 | -3.6% | COM | 40412C101 |
| — | ADVENT CLAYMORE ENH GRW & IN | 517,546 | $4,249 | 1.2% | $8.22 | — | COM | 00765E104 |
| — | NUVEEN FLOATING RATE INCOME | 393,377 | $3,961 | 1.1% | $10.71 | — | COM | 67072T108 |
| — | SHIRE PLC | 23,000 | $3,954 | 1.1% | $207.44 | — | SPONSORED ADR | 82481R106 |
| XPHDX | PIONEER FLOATING RATE TR | 332,695 | $3,723 | 1.0% | $11.43 | — | COM | 72369J102 |
| — | NUVEEN FLTNG RTE INCM OPP FD | 369,561 | $3,655 | 1.0% | $10.06 | — | COM SHS | 6706EN100 |
| THC | TENET HEALTHCARE CORP | 125,700 | $3,637 | 1.0% | $42.87 | -39.3% | COM NEW | 88033G407 |
| — | COHEN & STEERS REIT & PFD IN | 191,098 | $3,616 | 1.0% | $19.07 | — | COM | 19247X100 |
| — | INVESCO SR INCOME TR | 881,650 | $3,562 | 1.0% | $4.14 | — | COM | 46131H107 |
| — | NUVEEN DIVID ADV MUN FD 3 | 231,927 | $3,472 | 1.0% | $13.18 | — | COM SH BEN INT | 67070X101 |
| — | MEDIVATION INC | 73,400 | $3,375 | 0.9% | $58.68 | — | COM | 58501N101 |
| XMUIX | BLACKROCK MUNI INTER DR FD I | 222,844 | $3,267 | 0.9% | $13.94 | — | COM | 09253X102 |
| — | LMP CORPORATE LN FD INC | 309,197 | $3,018 | 0.8% | $11.35 | — | COM | 50208B100 |
| — | CALAMOS CONV & HIGH INCOME F | 287,117 | $2,983 | 0.8% | $10.46 | — | COM SHS | 12811P108 |
| — | WESTERN ASSET CLYM INFL SEC | 260,200 | $2,964 | 0.8% | $11.91 | — | COM SH BEN INT | 95766Q106 |
| — | NUVEEN LG/SHT COMMODITY TOTR | 192,811 | $2,904 | 0.8% | $16.59 | — | COM UT BEN INT | 670731108 |
| REGN | REGENERON PHARMACEUTICALS | 8,048 | $2,901 | 0.8% | $444.57 | -7.8% | COM | 75886F107 |
| — | HORIZON PHARMA PLC | 169,700 | $2,812 | 0.8% | $19.56 | — | SHS | G4617B105 |
| — | CALAMOS GBL DYN INCOME FUND | 397,634 | $2,795 | 0.8% | $7.11 | — | COM | 12811L107 |
| — | LIBERTY ALL STAR EQUITY FD | 527,959 | $2,624 | 0.7% | $5.76 | — | SH BEN INT | 530158104 |
| — | EATON VANCE FLTG RATE INCOM | 178,935 | $2,609 | 0.7% | $17.20 | — | COM SHS BEN INT | 278284104 |
| IBB | ISHARES TR | 9,800 | $2,556 | 0.7% | $260.82 | — | NASDQ BIOTEC ETF | 464287556 |
| — | NUVEEN MUN OPPORTUNITY FD IN | 172,653 | $2,541 | 0.7% | $13.63 | — | COM | 670984103 |
| — | CALAMOS CONV OPP AND INC FD | 266,948 | $2,533 | 0.7% | $9.68 | — | SH BEN INT | 128117108 |
| — | BLACKROCK MULTI-SECTOR INC T | 154,417 | $2,441 | 0.7% | $16.17 | — | COM | 09258A107 |
| — | FIRST TR STRATEGIC HIGH INC | 213,365 | $2,426 | 0.7% | $11.67 | — | COM SHS NEW | 337353304 |
| — | IVY HIGH INC OPPORTUNITIES F | 184,752 | $2,352 | 0.6% | $12.87 | — | COM | 465893105 |
| INCY | INCYTE CORP | 31,900 | $2,312 | 0.6% | $86.90 | -14.2% | COM | 45337C102 |
| — | AETNA INC NEW | 20,000 | $2,247 | 0.6% | $112.35 | — | COM | 00817Y108 |
| — | NUVEEN MUN MKT OPPORTUNITY F | 152,859 | $2,174 | 0.6% | $13.00 | — | COM | 67062W103 |
| — | ADEPTUS HEALTH INC | 38,500 | $2,138 | 0.6% | $55.53 | — | CL A | 006855100 |
| — | APOLLO TACTICAL INCOME FD IN | 152,931 | $2,081 | 0.6% | $14.61 | — | COM | 037638103 |
| — | APOLLO RESIDENTIAL MTG INC | 151,634 | $2,035 | 0.6% | $13.42 | — | COM | 03763V102 |
| A | AGILENT TECHNOLOGIES INC | 51,000 | $2,032 | 0.6% | $36.64 | -3.8% | COM | 00846U101 |
| — | ALLIANZGI CONV & INCOME FD | 345,439 | $1,914 | 0.5% | $6.44 | — | COM | 018828103 |
| — | EATON VANCE FLTING RATE INC | 132,992 | $1,750 | 0.5% | $13.77 | — | COM | 278279104 |
| KMI | KINDER MORGAN INC DEL | 97,000 | $1,732 | 0.5% | $9.95 | 0.0% | COM | 49456B101 |
| — | BARCLAYS BK PLC | 1,051,500 | $1,683 | 0.5% | — | — | Put | 06742E711 |
| — | DEUTSCHE HIGH INCOME OPPORT | 124,823 | $1,664 | 0.5% | $13.15 | — | COM | 25158Y102 |
| — | BROOKFIELD MTG OPP INC FD IN | 110,282 | $1,615 | 0.4% | $15.45 | — | COM | 112792106 |
| — | VOYA PRIME RATE TR | 316,885 | $1,597 | 0.4% | $5.04 | — | SH BEN INT | 92913A100 |
| — | WESTERN ASSET CLYM INFL OPP | 144,408 | $1,597 | 0.4% | $11.92 | — | COM | 95766R104 |
| PRTA | PROTHENA CORP PLC | 38,104 | $1,568 | 0.4% | $35.62 | +9.9% | SHS | G72800108 |
| — | THL CR SR LN FD | 97,712 | $1,551 | 0.4% | $15.88 | — | COM | 87244R103 |
| — | NUVEEN PREM INCOME MUN FD | 105,498 | $1,537 | 0.4% | $13.75 | — | COM | 67062T100 |
| MASI | MASIMO CORP | 36,600 | $1,531 | 0.4% | $26.99 | +39.4% | COM | 574795100 |
| — | JUNO THERAPEUTICS INC | 39,000 | $1,486 | 0.4% | $47.27 | — | COM | 48205A109 |
| — | CLOUGH GLOBAL OPPORTUNITIES | 152,223 | $1,458 | 0.4% | $10.00 | — | SH BEN INT | 18914E106 |
| — | CALAMOS STRATEGIC TOTL RETN | 152,843 | $1,454 | 0.4% | $9.51 | — | COM SH BEN INT | 128125101 |
| — | EATON VANCE SR FLTNG RTE TR | 112,530 | $1,443 | 0.4% | $12.82 | — | COM | 27828Q105 |
| EPD | ENTERPRISE PRODS PARTNERS L | 57,900 | $1,425 | 0.4% | $24.61 | — | COM | 293792107 |
| — | CALAMOS GLOBAL TOTAL RETURN | 127,256 | $1,409 | 0.4% | $11.34 | — | COM SH BEN INT | 128118106 |
| — | ADVENT CLAYMORE CV SECS & IN | 105,983 | $1,400 | 0.4% | $13.32 | — | COM | 00764C109 |
| — | CORNERSTONE STRATEGIC VALUE | 93,518 | $1,369 | 0.4% | $15.29 | — | COM | 21924B302 |
| — | EATON VANCE LTD DUR INCOME F | 101,999 | $1,344 | 0.4% | $12.69 | — | COM | 27828H105 |
| — | MALLINCKRODT PUB LTD CO | 21,000 | $1,287 | 0.4% | $68.28 | — | SHS | G5785G107 |
| — | AVENUE INCOME CR STRATEGIES | 116,336 | $1,275 | 0.4% | $12.71 | — | COM | 05358E106 |
| — | NUVEEN PREMIER MUN INCOME FD | 88,822 | $1,254 | 0.3% | $13.20 | — | COM | 670988104 |
| — | FIDUCIARY CLAYMORE MLP OPP F | 114,225 | $1,253 | 0.3% | $12.98 | — | COM | 31647Q106 |
| — | BLUEBIRD BIO INC | 29,000 | $1,233 | 0.3% | $64.21 | — | COM | 09609G100 |
| — | FIFTH STR SR FLOATNG RATE CO | 152,979 | $1,213 | 0.3% | $7.93 | — | COM | 31679F101 |
| IONS | IONIS PHARMACEUTICALS INC | 28,820 | $1,167 | 0.3% | $53.96 | -24.7% | COM | 462222100 |
| — | NUVEEN QUALITY MUN FD INC | 81,130 | $1,155 | 0.3% | $13.64 | — | COM | 67062N103 |
| — | KKR INCOME OPPORTUNITIES FD | 79,423 | $1,144 | 0.3% | $15.36 | — | COM | 48249T106 |
| — | PIMCO INCOME STRATEGY FUND | 118,233 | $1,130 | 0.3% | $9.79 | — | COM | 72201H108 |
| — | VIRTUS TOTAL RETURN FD | 261,370 | $1,111 | 0.3% | $4.25 | — | COM | 92829A103 |
| — | SPARK THERAPEUTICS INC | 34,350 | $1,014 | 0.3% | $60.45 | — | COM | 84652J103 |
| — | LMP CAP & INCOME FD INC | 81,737 | $1,011 | 0.3% | $12.37 | — | COM | 50208A102 |
| — | ENDOLOGIX INC | 116,100 | $971 | 0.3% | $12.72 | — | COM | 29266S106 |
| — | ZAIS FINL CORP | 63,014 | $940 | 0.3% | $15.05 | — | COM | 98886K108 |
| — | BLACKROCK DEBT STRAT FD INC | 263,312 | $914 | 0.3% | $3.34 | — | COM | 09255R103 |
| — | ARIAD PHARMACEUTICALS INC | 142,800 | $912 | 0.3% | $6.79 | — | COM | 04033A100 |
| — | NUVEEN PREM INCOME MUN FD 2 | 61,680 | $908 | 0.3% | $13.41 | — | COM | 67063W102 |
| — | ENVISION HEALTHCARE HLDGS IN | 42,500 | $867 | 0.2% | $31.68 | — | COM | 29413U103 |
| — | ACCELERON PHARMA INC | 30,000 | $792 | 0.2% | $30.74 | — | COM | 00434H108 |
| — | AMSURG CORP | 10,000 | $746 | 0.2% | $74.60 | — | COM | 03232P405 |
| — | POWERSHS DB MULTI SECT COMM | 36,000 | $742 | 0.2% | $22.75 | — | PS DB AGRICUL FD | 73936B408 |
| — | WL ROSS HLDG CORP | 68,892 | $691 | 0.2% | $10.41 | — | COM SHS | 92939D104 |
| — | CLEAR CHANNEL OUTDOOR HLDGS | 143,430 | $674 | 0.2% | $5.49 | — | CL A | 18451C109 |
| — | INTERSECT ENT INC | 35,213 | $669 | 0.2% | $25.84 | — | COM | 46071F103 |
| — | BROOKFIELD HIGH INCOME FD IN | 95,878 | $666 | 0.2% | $7.04 | — | COM | 11272P102 |
| — | KITE PHARMA INC | 14,000 | $643 | 0.2% | $45.58 | — | COM | 49803L109 |
| — | NUVEEN PA INVT QUALITY MUN F | 44,106 | $633 | 0.2% | $13.60 | — | COM | 670972108 |
| SGRY | SURGERY PARTNERS INC | 46,600 | $618 | 0.2% | $16.87 | -8.3% | COM | 86881A100 |
| — | LMP REAL ESTATE INCOME FD IN | 42,939 | $586 | 0.2% | $11.47 | — | COM | 50208C108 |
| — | NUVEEN GLOBAL EQUITY INCOME | 51,771 | $568 | 0.2% | $10.97 | — | COM | 6706EH103 |
| — | DUFF & PHELPS GLB UTL INC FD | 35,444 | $564 | 0.2% | $15.91 | — | COM | 26433C105 |
| — | NUVEEN QUALITY INCOME MUN FD | 38,136 | $561 | 0.2% | $13.72 | — | COM | 670977107 |
| — | NORTHSTAR RLTY FIN CORP | 42,200 | $554 | 0.2% | $17.03 | — | COM | 66704R803 |
| — | PIMCO INCOME OPPORTUNITY FD | 26,352 | $547 | 0.2% | $21.63 | — | COM | 72202B100 |
| — | ZWEIG TOTAL RETURN FD INC | 44,653 | $535 | 0.1% | $11.98 | — | COM NEW | 989837208 |
| — | MERRIMACK PHARMACEUTICALS IN | 63,090 | $528 | 0.1% | $10.82 | — | COM | 590328100 |
| — | BLACKROCK ENERGY & RES TR | 40,086 | $521 | 0.1% | $12.53 | — | COM | 09250U101 |
| XBI | SPDR SERIES TRUST | 150,000 | $495 | 0.1% | — | — | Put | 78464A870 |
| — | ABERDEEN ASIA PACIFIC INCOM | 96,175 | $481 | 0.1% | $4.57 | — | COM | 003009107 |
| — | AMERICAN CAP SR FLOATING LTD | 47,714 | $479 | 0.1% | $11.09 | — | COM | 02504D108 |
| — | BLACKROCK FLOATING RATE INCO | 36,150 | $464 | 0.1% | $12.86 | — | COM | 091941104 |
| — | INVESCO MORTGAGE CAPITAL INC | 35,411 | $431 | 0.1% | $12.17 | — | COM | 46131B100 |
| — | DOUBLELINE INCOME SOLUTIONS | 24,359 | $409 | 0.1% | $16.79 | — | COM | 258622109 |
| — | DEUTSCHE STRATEGIC INCOME TR | 35,066 | $388 | 0.1% | $11.06 | — | SHS | 25160F109 |
| — | ALPS ETF TR | 35,000 | $382 | 0.1% | $10.91 | — | ALERIAN MLP | 00162Q866 |
| — | DEUTSCHE MULTI-MKT INCOME TR | 47,807 | $379 | 0.1% | $7.93 | — | SHS | 25160E102 |
| ABUS | ARBUTUS BIOPHARMA CORP | 89,800 | $371 | 0.1% | $8.87 | -59.7% | COM | 03879J100 |
| — | ALLIANZGI CONV & INCOME FD I | 74,359 | $363 | 0.1% | $5.05 | — | COM | 018825109 |
| NTRA | NATERA INC | 36,600 | $348 | 0.1% | $9.36 | -9.6% | COM | 632307104 |
| — | ADVENT CLAY CONV SEC INC FD | 63,700 | $346 | 0.1% | $5.49 | — | COM | 007639107 |
| — | PRINCIPAL REAL ESTATE INCOME | 20,773 | $343 | 0.1% | $16.65 | — | SHS BEN INT | 74255X104 |
| IRWD | IRONWOOD PHARMACEUTICALS INC | 30,000 | $328 | 0.1% | $11.38 | -27.5% | COM CL A | 46333X108 |
| XHB | SPDR SERIES TRUST | 9,100 | $308 | 0.1% | $33.85 | — | S&P HOMEBUILD | 78464A888 |
| — | IMMUNOGEN INC | 34,900 | $297 | 0.1% | $9.88 | — | COM | 45253H101 |
| KMI | KINDER MORGAN INC DEL | 515,400 | $271 | 0.1% | $9.95 | 0.0% | Put | 49456B101 |
| — | WL ROSS HLDG CORP | 25,400 | $266 | 0.1% | $11.37 | — | UNIT 06/11/2019 | 92939D203 |
| EWG | ISHARES | 10,000 | $257 | 0.1% | $25.70 | — | MSCI GERMANY ETF | 464286806 |
| EPD | ENTERPRISE PRODS PARTNERS L | 333,500 | $223 | 0.1% | $24.61 | — | Put | 293792107 |
| — | NUVEEN REAL ASSET INC & GROW | 13,800 | $212 | 0.1% | $15.36 | — | COM | 67074Y105 |
| — | FIRST TR DIVIDEND INCOME FD | 23,511 | $203 | 0.1% | $8.47 | — | COM | 33731L100 |
| — | BP PRUDHOE BAY RTY TR | 33,000 | $195 | 0.1% | — | — | Put | 055630107 |
| AMD | ADVANCED MICRO DEVICES INC | 737,900 | $187 | 0.1% | — | — | Put | 007903107 |
| — | BLACKSTONE GSO FLTING RTE FU | 12,000 | $184 | 0.1% | $15.33 | — | COM | 09256U105 |
| — | NEWLINK GENETICS CORP | 10,000 | $182 | 0.1% | $36.40 | — | COM | 651511107 |
| — | CROSSROADS CAP INC | 62,400 | $163 | 0.0% | $3.21 | — | COM | 227656105 |
| — | NUVEEN MUN ADVANTAGE FD INC | 11,284 | $162 | 0.0% | $13.42 | — | COM | 67062H106 |
| — | NUVEEN DIVERSIFIED COMMODTY | 17,381 | $155 | 0.0% | $9.00 | — | COM UT BEN INT | 67074P104 |
| — | RADIO ONE INC | 69,481 | $99 | 0.0% | $2.61 | — | CL D NON VTG | 75040P405 |
| HYG | ISHARES TR | 330,000 | $85 | 0.0% | — | — | Put | 464288513 |
| HYG | ISHARES TR | 531,500 | $82 | 0.0% | — | — | Call | 464288513 |
| EPD | ENTERPRISE PRODS PARTNERS L | 158,500 | $80 | 0.0% | $24.61 | — | Call | 293792107 |
| — | APOLLO RESIDENTIAL MTG INC | 56,100 | $75 | 0.0% | $13.42 | — | Call | 03763V102 |
| KMI | KINDER MORGAN INC DEL | 171,800 | $75 | 0.0% | $9.95 | 0.0% | Call | 49456B101 |
| — | ALPS ETF TR | 100,000 | $60 | 0.0% | $10.91 | — | Put | 00162Q866 |
| — | WL ROSS HLDG CORP | 78,958 | $38 | 0.0% | $0.33 | — | *W EXP 06/11/201 | 92939D112 |
| — | SPDR SERIES TRUST | 200,000 | $35 | 0.0% | — | — | Call | 78464A417 |
| IWM | ISHARES TR | 225,000 | $32 | 0.0% | — | — | Put | 464287655 |
| GILD | GILEAD SCIENCES INC | 15,000 | $20 | 0.0% | $68.06 | -6.8% | Call | 375558103 |
| — | UNITED STATES OIL FUND LP | 30,000 | $16 | 0.0% | — | — | Call | 91232N108 |
| GLD | SPDR GOLD TRUST | 20,000 | $10 | 0.0% | — | — | Call | 78463V107 |
| PFE | PFIZER INC | 60,000 | $10 | 0.0% | $19.05 | -2.0% | Call | 717081103 |
| AGO | ASSURED GUARANTY LTD | 50,000 | $9 | 0.0% | — | — | Call | G0585R106 |
| — | SPDR SERIES TRUST | 24,000 | $9 | 0.0% | $32.45 | — | Call | 78464A730 |
| NHTC | NATURAL HEALTH TRENDS CORP | 10,300 | $8 | 0.0% | — | — | Put | 63888P406 |
| SPY | SPDR S&P 500 ETF TR | 10,000 | $5 | 0.0% | — | — | Put | 78462F103 |
| — | CARROLS RESTAURANT GROUP INC | 20,000 | $4 | 0.0% | — | — | Put | 14574X104 |
| EWG | ISHARES | 40,000 | $4 | 0.0% | $25.70 | — | Put | 464286806 |
| — | ENTERCOM COMMUNICATIONS CORP | 10,000 | $3 | 0.0% | — | — | Put | 293639100 |
| — | CELGENE CORP | 25,000 | $3 | 0.0% | $111.13 | — | Call | 151020104 |
| — | SPDR SERIES TRUST | 10,000 | $1 | 0.0% | — | — | Put | 78464A417 |
| HLF | HERBALIFE LTD | 10,000 | $1 | 0.0% | — | — | Put | G4412G101 |