Advisors Asset Management, Inc. — Q4 2013 13F Holdings

Name: Advisors Asset Management, Inc. — 13F Holdings, Q4 2013
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001297376

Total reported value

$6.0B

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Full holdings list this quarter

Showing top 200 holdings (of 1756 total)

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	MRK	Merck & Co. INC.	Stock-Healthcare	1.10%	+0.09%	+1.32%
2	VZ	Verizon Communications INC	Stock-Comm Services	1.04%	+0.16%	+4.08%
3	✓	Nexpoint Cr Strategies Fd	Stock-Other	0.98%	—	+8.63%
4	INTC	Intel CORP	Stock-Tech	0.97%	—	+8.12%
5	T	At&t INC	Stock-Comm Services	0.94%	—	+9.39%
6	DFIN	Donnelley Financial Solutions, Inc.	Stock-Other	0.85%	—	-3.11%
7	TAL	TAL Education Group	Stock-Consumer Staples	0.85%	—	-0.98%
8	PBI	Pitney Bowes INC	Stock-Other	0.85%	—	-0.56%
9	PFE	Pfizer INC	Stock-Healthcare	0.85%	—	+15.55%
10	WYNN	Wynn Resorts LTD	Stock-Consumer Disc	0.83%	—	-0.52%
11	MO	Altria Group INC	Stock-Consumer Staples	0.80%	—	+2.07%
12	COP	Conocophillips	Stock-Energy	0.77%	—	-7.65%
13	LBEUR	L Brands INC	Stock-Other	0.76%	—	-0.42%
14	UTF	Cohen & Steers Infrastructur	Stock-Other	0.73%	—	+5.00%
15	LMT	Lockheed Martin CORP	Stock-Industrials	0.69%	—	-14.24%
16	KYN	Kayne Anderson Energy Infrastructure Fund, Inc.	Stock-Other	0.69%	—	+20.74%
17	LLY	Eli Lilly & Co	Stock-Healthcare	0.65%	—	+0.75%
18	RGCGBP	Regal Entertainment Group-a	Stock-Other	0.65%	—	-3.76%
19	REYN	Reynolds Consumer Products Inc.	Stock-Other	0.63%	—	+3.30%
20	XEXGX	Eaton Vance Tax-managed Glob	Stock-Other	0.63%	—	-5.97%
21	DOW	Dow Chem Co	Stock-Materials	0.63%	—	+29.82%
22	ULCC	Frontier Group Holdings, Inc.	Stock-Other	0.57%	—	+5.34%
23	VGREUR	Vector Group LTD	Stock-Other	0.57%	—	+5.61%
24	✓	Lorillard INC	Stock-Other	0.57%	—	+5.20%
25	HFCUSD	Hollyfrontier CORP	Stock-Other	0.57%	—	+6.95%
26	✓	Quality Sys INC	Stock-Other	0.56%	—	+3.16%
27	✓		Stock-Other	0.55%	—	+5.76%
28	DUK	Du Pont E I De Nemour&Co	Stock-Utilities	0.54%	—	+4.33%
29	✓		Stock-Other	0.54%	—	+3.57%
30	FCX	Freeport-mcmoran INC	Stock-Materials	0.54%	—	+33.20%
31	CTLEUR	Centurylink INC	Stock-Other	0.54%	—	+11.20%
32	AVK	Advent Convertible and Income Fund	Stock-Other	0.53%	—	+19.50%
33	✓		Stock-Other	0.53%	—	+7.39%
34	DSU	BlackRock Debt Strategies Fund, Inc.	Stock-Other	0.53%	—	+119.00%
35	KRO	Kronos Worldwide INC	Stock-Other	0.53%	—	+33.46%
36	WTI	W&t Offshore INC	Stock-Other	0.52%	—	+9.48%
37	✓		Stock-Other	0.51%	—	+8.51%
38	XBOEX	Blackrock Enh Glbl Dvd Tr	Stock-Other	0.50%	—	+37.14%
39	DOEUR	Diamond Offshore Drilling	Stock-Other	0.50%	—	+7.57%
40	EXC	Exelon CORP	Stock-Utilities	0.49%	—	+23.33%
41	AEP	American Electric Power Company, Inc.	Stock-Utilities	0.49%	—	-14.47%
42	MCHP	Microchip Technology INC	Stock-Tech	0.48%	—	-6.73%
43	SIXEUR	Six Flags Entertainment CORP	Stock-Other	0.48%	—	+38.45%
44	ARCC	Ares Capital CORP	Stock-Financials	0.48%	—	-3.26%
45	XETYX	Eaton Vance Tax-mgd Div Eqty	Stock-Other	0.47%	—	+19.83%
46	TNK	Teekay Tankers Ltd.	Stock-Other	0.46%	—	-1.22%
47	FE	Firstenergy CORP	Stock-Utilities	0.46%	—	+10.40%
48	✓	Cys Invts INC	Stock-Other	0.46%	—	+13.48%
49	✓	Kayne Anderson Enrgy Com	Stock-Other	0.46%	—	-12.53%
50	PDLIEUR	Pdl Biopharma INC	Stock-Other	0.45%	—	+9.16%

1–50 of 200

Holding changes this quarter

Position changes disclosed by Advisors Asset Management, Inc. for the quarter ending Q4 2013, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	DSU	BlackRock Debt Strategies Fund, Inc.	+0.3%	+119.00%	Add
2	✓	Nexpoint Cr Strategies Fd	+0.2%	+8.63%	Add
3	KRO	Kronos Worldwide INC	+0.2%	+33.46%	Add
4	DOW	Dow Chem Co	+0.2%	+29.82%	Add
5	GNRC	Generac Holdings INC	+0.2%	+180.09%	Add
6	FCX	Freeport-mcmoran INC	+0.2%	+33.20%	Add
7	SIXEUR	Six Flags Entertainment CORP	+0.1%	+38.45%	Add
8	XBOEX	Blackrock Enh Glbl Dvd Tr	+0.1%	+37.14%	Add
9	PBI	Pitney Bowes INC	+0.1%	-0.56%	Trim
10	CYEUR	Cypress Semiconductor CORP	+0.1%	+40.48%	Add
11	KMI	Kinder Morgan INC	+0.1%	+60.97%	Add
12	HYT	Blackrock CORP Hi Yld	+0.1%	+242.47%	Add
13	KYN	Kayne Anderson Energy Infrastructure Fund, Inc.	+0.1%	+20.74%	Add
14	✓	Nuveen Tx Adv Total Ret Strg	+0.1%	+37.86%	Add
15	INTC	Intel CORP	+0.1%	+8.12%	Add
16	DFIN	Donnelley Financial Solutions, Inc.	+0.1%	-3.11%	Trim
17	XBGYX	Blackrock Enh Intl Dvd Tr	+0.1%	+34.12%	Add
18	MSFT	Microsoft CORP	+0.1%	+28.40%	Add
19	PM	Philip Morris International	+0.1%	+58.22%	Add
20	IVREUR	Invesco Mortgage Capital	+0.1%	+131.65%	Add
21	PFE	Pfizer INC	+0.1%	+15.55%	Add
22	ETR	Entergy CORP	+0.1%	+47.32%	Add
23	WMB	Williams Cos INC	+0.1%	+51.29%	Add
24	GOOG	Alphabet A	+0.1%	+49.22%	Add
25	OLN	Olin CORP	+0.1%	+56.51%	Add
26	WYNN	Wynn Resorts LTD	+0.1%	-0.52%	Trim
27	TAL	TAL Education Group	+0.1%	-0.98%	Trim
28	HFCUSD	Hollyfrontier CORP	+0.1%	+6.95%	Add
29	MCD	Mcdonald's CORP	+0.1%	+50.95%	Add
30	ASG	Liberty All-star Growth Fd	+0.1%	+211.04%	Add
31	XETYX	Eaton Vance Tax-mgd Div Eqty	+0.1%	+19.83%	Add
32	✓	Macquarie	+0.1%	+31.09%	Add
33	ETO	Eaton Vance T/a Glbl Dvd Opp	+0.1%	+28.62%	Add
34	AVK	Advent Convertible and Income Fund	+0.1%	+19.50%	Add
35	✓	Lorillard INC	0%	+5.20%	Add
36	T	At&t INC	0%	+9.39%	Add
37	MO	Altria Group INC	0%	+2.07%	Add
38	ULCC	Frontier Group Holdings, Inc.	0%	+5.34%	Add
39	VZ	Verizon Communications INC	0%	+4.08%	Add
40	AVPUSD	Avon Products INC	-0.1%	-85.05%	Trim
41	CIM	Chimera Investment Corporation	-0.1%	-78.09%	Trim
42	HRB	H&r Block INC	-0.1%	-66.24%	Trim
43	NUE	Nucor CORP	-0.1%	-36.59%	Trim
44	ETV	Eaton Vance T/m Buy-writ Opp	-0.1%	-32.97%	Trim
45	✓		-0.2%	-22.59%	Trim
46	✓	Kayne Anderson Enrgy Com	-0.2%	-12.53%	Trim
47	✓	Blackrock Sr High Income Fd	—	EXIT	Sold out
48	✓	Allianzgi Intl & Prem Strate	—	EXIT	Sold out
49	✓	Inergy Midstream Llcunit LTD Partnership	—	NEW	New buy
50	✓	Inergy Midstream LP	—	EXIT	Sold out