ADVISORS ASSET MANAGEMENT, INC. Information

18925 BASE CAMP ROAD, MONUMENT, Colorado, 80132, (719) 488-8251

Report Date: 09/30/2014

Position Statistics

Total Positions 1,846
New Positions 83
Increased Positions 859
Decreased Positions 898
Positions with Activity 1,757
Sold Out Positions 83
Total Mkt Value (in $ millions) 7,198

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 5.12%
Capital Goods 2.18%
Conglomerates 0.06%
Consumer Cyclical 1.52%
Consumer/Non-Cyclical 6.86%
Energy 6.27%
Financial 31.22%
Healthcare 8.18%
Services 18.32%
Technology 9.46%
Transportation 1.57%
Utilities 7.39%

83 Sold Out Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ACADIA HEALTHCARE COMPANY INC COM -56 Sold Out 0
AGNICO EAGLE MINES LTD COM -48 Sold Out 0
ALLETE INC COM NEW -35 Sold Out 0
ALLIANZGI NFJ DIVID INT & PREM COM -1,197 Sold Out 0
ALLIED NEVADA GOLD CORP COM -3 Sold Out 0
AMBARELLA INC SHS -127 Sold Out 0
ANGLOGOLD ASHANTI LTD SPONSORED ADR -22 Sold Out 0
ASPEN TECHNOLOGY INC COM -37 Sold Out 0
BANK N S HALIFAX COM -962 Sold Out 0
BBCN BANCORP INC COM -32 Sold Out 0
BLACKROCK FLOAT RATE OME STRAT COM -2,552 Sold Out 0
BLACKROCK MUNIENHANCED FD INC COM -1,290 Sold Out 0
BLACKROCK MUNIHLDGS FD II INC COM -1,275 Sold Out 0
BLACKROCK MUNIHOLDINGS FD INC COM -1,303 Sold Out 0
BLACKROCK MUNIY QUALITY FD II COM -1,268 Sold Out 0
BLACKSTONE GSO FLTING RTE FUND COM -329 Sold Out 0
BOFI HLDG INC COM -63 Sold Out 0
CAI INTERNATIONAL INC COM -25 Sold Out 0
CAL MAINE FOODS INC COM NEW -53 Sold Out 0
CAMECO CORP COM -45 Sold Out 0