ADVISORS ASSET MANAGEMENT, INC. Information

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

Report Date: 03/31/2014

Position Statistics

Total Positions 1,827
New Positions 71
Increased Positions 880
Decreased Positions 724
Positions with Activity 1,604
Sold Out Positions 62
Total Mkt Value (in $ millions) 6,890

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

Sector Weighting

Basic Materials 6.17%
Capital Goods 2.24%
Conglomerates 0.02%
Consumer Cyclical 1.18%
Consumer/Non-Cyclical 5.68%
Energy 8.68%
Financial 33.11%
Healthcare 7.22%
Services 17.11%
Technology 9.54%
Transportation 1.79%
Utilities 5.96%

1,827 Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) ▲ Shares Held
ACCO BRANDS CORP COM -9 Sold Out 0
ACTUANT CORP CL A NEW -24 Sold Out 0
AKORN INC COM -55 Sold Out 0
ALPINE GLOBAL DYNAMIC DIVD FD COM NEW -327 Sold Out 0
ALPINE TOTAL DYNAMIC DIVID FD COM SH BEN INT N -6,912 Sold Out 0
ALUMINA LTD SPONSORED ADR -813 Sold Out 0
AVENUE INCOME CR STRATEGIES FD COM -805 Sold Out 0
AXIS CAPITAL HOLDINGS LTD SHS -29 Sold Out 0
BARCLAYS BANK PLC ADR PFD SR 5 -1,863 Sold Out 0
BLACKROCK MUNI INCOME TR II COM -329 Sold Out 0
BLACKROCK MUNIHOLDNGS QLTY INC COM -1,216 Sold Out 0
BLACKROCK MUNIYIELD QLTY FD 3 COM -1,275 Sold Out 0
BLACKROCK MUNIYIELD QUALITY FD COM -1,279 Sold Out 0
BROOKFIELD HIGH INCOME FD INC COM -15 Sold Out 0
CALAVO GROWERS INC COM -30 Sold Out 0
CARETRUST REIT INC COM -13 Sold Out 0
CENOVUS ENERGY INC COM -85 Sold Out 0
CEVA INC COM -22 Sold Out 0
CHINA UNICOM (HONG KONG) LTD SPONSORED ADR -95 Sold Out 0
COEUR MNG INC COM NEW -28 Sold Out 0