CIK: 0001464790 · Show all filings
Period: Q4 2016 (← Previous) (Next →)
Filing Date: Feb 15, 2017
Total Value ($000): $149,821 (99.9% shares, 0.1% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | KEMET CORP | 1,540,583 | $10,214 | 6.8% | $2.33 | — | COM NEW | 488360207 |
| — | POWERSHARES QQQ TRUST | 80,000 | $9,478 | 6.3% | $113.33 | — | Put | 73935A104 |
| VV | VANGUARD INDEX FDS | 72,269 | $7,398 | 4.9% | $94.17 | — | LARGE CAP ETF | 922908637 |
| MINT | PIMCO ETF TR | 60,911 | $6,172 | 4.1% | $100.99 | — | ENHAN SHRT MA AC | 72201R833 |
| — | SOLAR SR CAP LTD | 284,706 | $4,681 | 3.1% | $14.91 | — | COM | 83416M105 |
| — | EARTHLINK HLDGS CORP | 730,565 | $4,120 | 2.7% | $5.64 | — | COM | 27033X101 |
| VCSH | VANGUARD SCOTTSDALE FDS | 41,645 | $3,305 | 2.2% | $79.11 | — | SHRT TRM CORP BD | 92206C409 |
| VO | VANGUARD INDEX FDS | 24,109 | $3,173 | 2.1% | $121.62 | — | MID CAP ETF | 922908629 |
| — | HC2 HLDGS INC | 508,387 | $3,015 | 2.0% | $4.93 | — | COM | 404139107 |
| CDZI | CADIZ INC | 238,135 | $2,977 | 2.0% | $8.98 | 0.0% | COM NEW | 127537207 |
| IWR | ISHARES TR | 15,527 | $2,777 | 1.9% | $161.20 | — | RUS MID-CAP ETF | 464287499 |
| BWEN | BROADWIND ENERGY INC | 670,657 | $2,713 | 1.8% | $2.53 | +67.7% | COM NEW | 11161T207 |
| PNNT | PENNANTPARK INVT CORP | 353,155 | $2,705 | 1.8% | $2.00 | +27.8% | COM | 708062104 |
| — | GTY TECHNOLOGY HOLDINGS INC | 249,999 | $2,687 | 1.8% | $10.75 | — | CL A | G4182A102 |
| VTIP | VANGUARD MALVERN FDS | 53,690 | $2,639 | 1.8% | $48.65 | — | STRM INFPROIDX | 922020805 |
| VCIT | VANGUARD SCOTTSDALE FDS | 30,290 | $2,596 | 1.7% | $84.37 | — | INT-TERM CORP | 92206C870 |
| — | TELENAV INC | 366,187 | $2,582 | 1.7% | $5.70 | — | COM | 879455103 |
| PFLT | PENNANTPARK FLOATING RATE CA | 179,970 | $2,539 | 1.7% | $4.10 | +27.0% | COM | 70806A106 |
| FLOT | ISHARES TR | 49,058 | $2,489 | 1.7% | $50.71 | — | FLTG RATE BD ETF | 46429B655 |
| — | BOULEVARD ACQUISITION | 251,548 | $2,488 | 1.7% | $9.88 | — | CL A | 10157Q102 |
| MSFT | MICROSOFT CORP | 36,611 | $2,275 | 1.5% | $45.92 | +17.4% | COM | 594918104 |
| HPQ | HP INC | 144,548 | $2,145 | 1.4% | $7.71 | +45.5% | COM | 40434L105 |
| — | CF CORP | 214,168 | $2,125 | 1.4% | $9.89 | — | SHS CL A | G20307107 |
| VWO | VANGUARD INTL EQUITY INDEX F | 50,439 | $1,805 | 1.2% | $33.49 | — | FTSE EMR MKT ETF | 922042858 |
| VTI | VANGUARD INDEX FDS | 15,592 | $1,798 | 1.2% | $104.45 | — | TOTAL STK MKT | 922908769 |
| — | DOUBLELINE INCOME SOLUTIONS | 87,321 | $1,658 | 1.1% | $16.25 | — | COM | 258622109 |
| SPY | SPDR S&P 500 ETF TR | 7,175 | $1,604 | 1.1% | $204.17 | — | TR UNIT | 78462F103 |
| IDV | ISHARES TR | 52,840 | $1,562 | 1.0% | $28.78 | — | INTL SEL DIV ETF | 464288448 |
| APPS | DIGITAL TURBINE INC | 2,210,775 | $1,504 | 1.0% | $1.47 | -46.8% | COM NEW | 25400W102 |
| NYF | ISHARES TR | 12,828 | $1,397 | 0.9% | $111.88 | — | NEW YORK MUN ETF | 464288323 |
| VIG | VANGUARD SPECIALIZED PORTFOLIO | 15,814 | $1,347 | 0.9% | $77.77 | — | DIV APP ETF | 921908844 |
| NLST | NETLIST INC | 1,275,455 | $1,301 | 0.9% | $1.33 | -16.7% | COM | 64118P109 |
| HPE | HEWLETT PACKARD ENTERPRISE C | 55,812 | $1,291 | 0.9% | $6.37 | +60.8% | COM | 42824C109 |
| ARCC | ARES CAP CORP | 77,899 | $1,285 | 0.9% | $5.76 | +14.9% | COM | 04010L103 |
| ACWV | ISHARES | 17,176 | $1,247 | 0.8% | $69.28 | — | MIN VOL GBL ETF | 464286525 |
| LQD | ISHARES TR | 10,604 | $1,243 | 0.8% | $114.09 | — | IBOXX INV CP ETF | 464287242 |
| EFA | ISHARES TR | 21,458 | $1,239 | 0.8% | $58.74 | — | MSCI EAFE ETF | 464287465 |
| AAPL | APPLE INC | 10,239 | $1,186 | 0.8% | $25.73 | +1.4% | COM | 037833100 |
| — | ATLANTIC ALLIANCE PARTNER CO | 125,115 | $1,157 | 0.8% | $10.11 | — | SHS | G04897107 |
| DVY | ISHARES TR | 12,325 | $1,092 | 0.7% | $75.18 | — | SELECT DIVID ETF | 464287168 |
| EMB | ISHARES TR | 9,779 | $1,078 | 0.7% | $105.80 | — | JP MOR EM MK ETF | 464288281 |
| MS | MORGAN STANLEY | 25,000 | $1,056 | 0.7% | $29.14 | 0.0% | Put | 617446448 |
| LDUR | PIMCO ETF TR | 10,177 | $1,021 | 0.7% | $100.10 | — | LOW DURTN AC ETF | 72201R718 |
| — | AVISTA HEALTHCARE PUB ACQ CO | 100,000 | $985 | 0.7% | $9.85 | — | CL A | G0726L125 |
| USMV | ISHARES TR | 21,269 | $962 | 0.6% | $42.50 | — | MIN VOL USA ETF | 46429B697 |
| — | POWERSHARES QQQ TRUST | 7,603 | $901 | 0.6% | $113.33 | — | UNIT SER 1 | 73935A104 |
| — | TORTOISE MLP FD INC | 46,160 | $881 | 0.6% | $17.87 | — | COM | 89148B101 |
| GNR | SPDR INDEX SHS FDS | 21,161 | $870 | 0.6% | $32.58 | — | GLB NAT RESRCE | 78463X541 |
| — | APOLLO SR FLOATING RATE FD I | 49,893 | $868 | 0.6% | $15.17 | — | COM | 037636107 |
| MUB | ISHARES TR | 7,580 | $820 | 0.5% | $110.60 | — | NATIONAL MUN ETF | 464288414 |
| — | GOLDMAN SACHS MLP INC OPP FD | 77,344 | $752 | 0.5% | $8.23 | — | COM SHS | 38147W103 |
| — | AETNA INC NEW | 6,000 | $744 | 0.5% | $108.17 | — | COM | 00817Y108 |
| DIA | SPDR DOW JONES INDL AVRG ETF | 3,586 | $708 | 0.5% | $173.92 | — | UT SER 1 | 78467X109 |
| — | GARRISON CAP INC | 75,055 | $702 | 0.5% | $12.10 | — | COM | 366554103 |
| VCLT | VANGUARD SCOTTSDALE FDS | 7,347 | $656 | 0.4% | $84.26 | — | LG-TERM COR BD | 92206C813 |
| — | COHEN & STEERS LTD DUR PFD I | 26,133 | $641 | 0.4% | $22.54 | — | COM | 19248C105 |
| — | PLATFORM SPECIALTY PRODS COR | 60,000 | $589 | 0.4% | $9.82 | — | COM | 72766Q105 |
| ACWX | ISHARES TR | 14,108 | $568 | 0.4% | $40.30 | — | MSCI ACWI EX US | 464288240 |
| DNL | WISDOMTREE TR | 12,222 | $563 | 0.4% | $46.06 | — | GLB US QTLY DIV | 97717W844 |
| IEFA | ISHARES TR | 10,275 | $551 | 0.4% | $53.63 | — | CORE MSCI EAFE | 46432F842 |
| BRK/B | BERKSHIRE HATHAWAY INC DEL | 3,350 | $546 | 0.4% | $134.20 | +14.7% | CL B NEW | 084670702 |
| EFAV | ISHARES TR | 8,819 | $540 | 0.4% | $64.34 | — | MIN VOL EAFE ETF | 46429B689 |
| — | APOLLO TACTICAL INCOME FD IN | 34,767 | $537 | 0.4% | $13.91 | — | COM | 037638103 |
| IJH | ISHARES TR | 3,216 | $532 | 0.4% | $139.30 | — | CORE S&P MCP ETF | 464287507 |
| — | NUVEEN BUILD AMER BD FD | 25,623 | $529 | 0.4% | $20.09 | — | COM | 67074C103 |
| IBB | ISHARES TR | 1,901 | $504 | 0.3% | $300.90 | — | NASDQ BIOTEC ETF | 464287556 |
| — | SPLUNK INC | 9,579 | $490 | 0.3% | $58.77 | — | COM | 848637104 |
| VPL | VANGUARD INTL EQUITY INDEX F | 8,251 | $480 | 0.3% | $59.09 | — | FTSE PACIFIC ETF | 922042866 |
| MS | MORGAN STANLEY | 11,000 | $465 | 0.3% | $29.14 | 0.0% | COM NEW | 617446448 |
| ON | ON SEMICONDUCTOR CORP | 35,373 | $451 | 0.3% | $10.52 | +13.5% | COM | 682189105 |
| — | POWERSHARES ETF TR II | 31,244 | $445 | 0.3% | $14.78 | — | PFD PORTFOLIO | 73936T565 |
| — | MCBC HLDGS INC | 28,980 | $423 | 0.3% | $14.60 | — | COM | 55276F107 |
| NMFC | NEW MTN FIN CORP | 30,000 | $423 | 0.3% | $5.20 | 0.0% | COM | 647551100 |
| UE | URBAN EDGE PPTYS | 15,215 | $419 | 0.3% | $29.84 | — | COM | 91704F104 |
| — | CAPITOL ACQUISITION CORP III | 37,950 | $378 | 0.3% | $9.88 | — | COM | 14055M106 |
| IGSB | ISHARES TR | 3,578 | $375 | 0.3% | $104.81 | — | 1-3 YR CR BD ETF | 464288646 |
| PFS | PROVIDENT FINL SVCS INC | 12,500 | $354 | 0.2% | $12.76 | +26.6% | COM | 74386T105 |
| META | FACEBOOK INC | 2,994 | $344 | 0.2% | $105.42 | +15.7% | CL A | 30303M102 |
| SLRC | SOLAR CAP LTD | 16,109 | $335 | 0.2% | $6.68 | +29.8% | COM | 83413U100 |
| — | BLACKROCK CAPITAL INVESTMENT | 46,412 | $323 | 0.2% | $7.78 | — | COM | 092533108 |
| EEM | ISHARES TR | 8,786 | $308 | 0.2% | $32.18 | — | MSCI EMG MKT ETF | 464287234 |
| — | THL CR INC | 30,200 | $302 | 0.2% | $11.13 | — | COM | 872438106 |
| VEU | VANGUARD INTL EQUITY INDEX F | 6,784 | $300 | 0.2% | $43.49 | — | ALLWRLD EX US | 922042775 |
| MXI | ISHARES TR | 5,448 | $299 | 0.2% | $48.20 | — | GLOBAL MATER ETF | 464288695 |
| — | INTRALINKS HLDGS INC | 21,765 | $294 | 0.2% | $10.05 | — | COM | 46118H104 |
| DIS | DISNEY WALT CO | 2,790 | $291 | 0.2% | $100.56 | -9.8% | COM DISNEY | 254687106 |
| VUG | VANGUARD INDEX FDS | 2,578 | $287 | 0.2% | $106.46 | — | GROWTH ETF | 922908736 |
| RDI | READING INTERNATIONAL INC | 17,156 | $285 | 0.2% | $13.26 | +10.5% | CL A | 755408101 |
| — | APOLLO INVT CORP | 48,322 | $283 | 0.2% | $5.23 | — | COM | 03761U106 |
| XLY | SELECT SECTOR SPDR TR | 3,440 | $280 | 0.2% | $78.20 | — | SBI CONS DISCR | 81369Y407 |
| VGK | VANGUARD INTL EQUITY INDEX F | 5,667 | $272 | 0.2% | $49.93 | — | FTSE EUROPE ETF | 922042874 |
| — | BROOKFIELD REAL ASSETS INCOM | 12,206 | $272 | 0.2% | $22.28 | — | SHS BEN INT | 112830104 |
| EWZ | ISHARES | 8,130 | $271 | 0.2% | $26.28 | — | MSCI BRZ CAP ETF | 464286400 |
| — | MARVELL TECHNOLOGY GROUP LTD | 19,513 | $271 | 0.2% | $13.31 | — | ORD | G5876H105 |
| — | PFSWEB INC | 31,604 | $269 | 0.2% | $8.51 | — | COM NEW | 717098206 |
| TACT | TRANSACT TECHNOLOGIES INC | 40,831 | $269 | 0.2% | $7.55 | -10.9% | COM | 892918103 |
| PBH | PRESTIGE BRANDS HLDGS INC | 5,160 | $269 | 0.2% | $50.30 | -4.1% | COM | 74112D101 |
| — | BAZAARVOICE INC | 55,030 | $267 | 0.2% | $3.28 | — | COM | 073271108 |
| KTOS | KRATOS DEFENSE & SEC SOLUTIONS | 36,095 | $267 | 0.2% | $4.43 | +52.4% | COM NEW | 50077B207 |
| MPAA | MOTORCAR PTS AMER INC | 9,933 | $267 | 0.2% | $26.37 | 0.0% | COM | 620071100 |
| — | TIVO CORP | 12,700 | $265 | 0.2% | $19.56 | — | COM | 88870P106 |
| FLEX | FLEX LTD | 18,231 | $262 | 0.2% | $10.68 | 0.0% | ORD | Y2573F102 |
| LITE | LUMENTUM HLDGS INC | 6,738 | $260 | 0.2% | $17.80 | +123.5% | COM | 55024U109 |
| IMAX | IMAX CORP | 8,200 | $257 | 0.2% | $31.25 | 0.0% | COM | 45245E109 |
| — | TRUECAR INC | 20,408 | $255 | 0.2% | $12.50 | — | COM | 89785L107 |
| IWO | ISHARES TR | 1,637 | $252 | 0.2% | $149.39 | — | RUS 2000 GRW ETF | 464287648 |
| SLB | SCHLUMBERGER LTD | 2,969 | $249 | 0.2% | $56.10 | +12.4% | COM | 806857108 |
| MAT | MATTEL INC | 9,036 | $249 | 0.2% | $31.53 | -3.5% | COM | 577081102 |
| GSM | FERROGLOBE PLC | 22,833 | $247 | 0.2% | $9.90 | 0.0% | SHS | G33856108 |
| NTCT | NETSCOUT SYS INC | 7,774 | $245 | 0.2% | $27.44 | +11.8% | COM | 64115T104 |
| BRK/A | BERKSHIRE HATHAWAY INC DEL | 1 | $244 | 0.2% | $201277.39 | +14.7% | CL A | 084670108 |
| — | CALAMP CORP | 16,766 | $243 | 0.2% | $13.98 | — | COM | 128126109 |
| ET | ENERGY TRANSFER EQUITY L P | 12,590 | $243 | 0.2% | $13.74 | — | COM UT LTD PTN | 29273V100 |
| — | NUTRI SYS INC NEW | 7,015 | $243 | 0.2% | $29.74 | — | COM | 67069D108 |
| DKS | DICKS SPORTING GOODS INC | 4,561 | $242 | 0.2% | $32.23 | +36.7% | COM | 253393102 |
| SWKS | SKYWORKS SOLUTIONS INC | 3,196 | $239 | 0.2% | $63.98 | -0.9% | COM | 83088M102 |
| — | FINISAR CORP | 7,871 | $238 | 0.2% | $29.79 | — | COM NEW | 31787A507 |
| — | POWERSHARES ETF TRUST | 6,102 | $237 | 0.2% | $37.10 | — | DYN BIOT & GEN | 73935X856 |
| — | ARES DYNAMIC CR ALLOCATION F | 15,661 | $236 | 0.2% | $13.35 | — | COM | 04014F102 |
| AEO | AMERICAN EAGLE OUTFITTERS NE | 15,529 | $236 | 0.2% | $13.78 | -3.1% | COM | 02553E106 |
| VXUS | VANGUARD STAR FD | 5,153 | $236 | 0.2% | $45.02 | — | VG TL INTL STK F | 921909768 |
| VSAT | VIASAT INC | 3,514 | $233 | 0.2% | $72.75 | -1.5% | COM | 92552V100 |
| — | NUVEEN MTG OPPORTUNITY TERM | 9,633 | $232 | 0.2% | $22.73 | — | COM | 670735109 |
| — | BROOKFIELD PPTY PARTNERS L P | 10,345 | $227 | 0.2% | $23.20 | — | UNIT LTD PARTN | G16249107 |
| PFE | PFIZER INC | 6,986 | $227 | 0.2% | $20.38 | +0.6% | COM | 717081103 |
| — | M I ACQUISITIONS INC | 21,500 | $215 | 0.1% | $10.00 | — | COM | 55304A104 |
| IWF | ISHARES TR | 2,053 | $215 | 0.1% | $99.74 | — | RUS 1000 GRW ETF | 464287614 |
| — | NIELSEN HLDGS PLC | 4,900 | $206 | 0.1% | $46.67 | — | SHS EUR | G6518L108 |
| — | ALPS ETF TR | 15,688 | $198 | 0.1% | $12.05 | — | ALERIAN MLP | 00162Q866 |
| — | SYSOREX GLOBAL | 796,707 | $194 | 0.1% | $0.57 | — | COM NEW | 87184N203 |
| — | BLACKSTONE GSO FLTING RTE FU | 10,000 | $181 | 0.1% | $14.90 | — | COM | 09256U105 |
| LIND | LINDBLAD EXPEDITIONS HLDGS I | 19,100 | $180 | 0.1% | $10.57 | -13.7% | COM | 535219109 |
| — | NUVEEN AMT FREE QLTY MUN INC | 12,500 | $167 | 0.1% | $13.84 | — | COM | 670657105 |
| — | NUVEEN MUN VALUE FD INC | 14,800 | $141 | 0.1% | $10.20 | — | COM | 670928100 |
| OLP | ONE LIBERTY PPTYS INC | 15,173 | $121 | 0.1% | $7.12 | — | COM | 682406103 |
| — | MAXWELL TECHNOLOGIES INC | 22,705 | $116 | 0.1% | $5.11 | — | COM | 577767106 |
| — | PACE HLDGS CORP | 10,783 | $109 | 0.1% | $10.11 | — | CL A | G6865N103 |
| — | PDL BIOPHARMA INC | 74,000 | $72 | 0.0% | $0.95 | — | NOTE 4.000% 2/0 | 69329YAF1 |
| BRT | BRT RLTY TR | 49,089 | $52 | 0.0% | $0.19 | — | SH BEN INT NEW | 055645303 |
| — | AVISTA HEALTHCARE PUB ACQ CO | 100,000 | $45 | 0.0% | $0.45 | — | *W EXP 99/99/999 | G0726L117 |
| — | GTY TECHNOLOGY HOLDINGS INC | 83,333 | $42 | 0.0% | $0.50 | — | *W EXP 99/99/999 | G4182A128 |
| — | COMSTOCK RES INC | 27,000 | $23 | 0.0% | $0.69 | — | NOTE 7.750% 4/0 | 205768AM6 |
| — | LADENBURG THALMAN FIN SVCS I | 81,050 | $6 | 0.0% | $0.09 | — | COM | 50575Q102 |