13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-03-10, with 879 holding rows worth $383,915,000.
- Accession
- 0000950123-16-015335
- Filer
- CIK 1418539
- Filed
- 2016-03-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 902 entries on the cover page, a total value of $383,915,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $383,912,000 with VALUE read as thousands by filing date, 13F file number 028-17012. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 12,040,000 | $12,392,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 9,150,000 | $12,039,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 11,485,000 | $11,738,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 11,790,000 | $11,605,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 8,099,000 | $10,869,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 10,380,000 | $10,511,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 10,290,000 | $9,368,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 175,160 | $8,755,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 6,060,000 | $8,124,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 126,763 | $7,850,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 8,275,000 | $7,723,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 8,565,000 | $7,722,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 8,505,000 | $7,486,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 7,385,000 | $7,280,000 | thousands by filing date | |
| TOLL BROTHERS INC | 88947EAP5 | Convertible/ | 7,130,000 | $7,273,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 8,205,000 | $7,164,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MBC1 | FRNT 4/1 | 6,195,000 | $7,095,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 67,336 | $7,088,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 6,960,000 | $6,759,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 6,330,000 | $6,243,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 6,105,000 | $5,793,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 316,598 | $5,787,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 214,642 | $5,570,000 | thousands by filing date | |
| L BRANDS INC | 532716AS6 | Convertible/ | 4,910,000 | $5,548,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 6,100,000 | $5,336,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAT9 | Convertible/ | 5,180,000 | $5,186,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 4,950,000 | $4,937,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 269,220 | $4,256,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 77,095 | $4,191,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 3,685,000 | $4,152,000 | thousands by filing date | |
| GAP INC FIXED RT NT | 364760AK4 | FIXED INCOME | 3,785,000 | $4,005,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 3,350,000 | $3,761,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 36,346 | $3,733,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 78,599 | $3,633,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 3,595,000 | $3,596,000 | thousands by filing date | |
| REPUBLIC SERVICES INC | 760759AH3 | CORPORATE BONDS | 3,250,000 | $3,531,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 3,505,000 | $3,512,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 3,250,000 | $3,491,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 72,149 | $3,174,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 4,130 | $3,134,000 | thousands by filing date | |
| VALERO ENERGY CORP | 91913YAR1 | Convertible/ | 2,815,000 | $3,107,000 | thousands by filing date | |
| LEXMARK INTL | 529772AE5 | Convertible | 2,725,000 | $2,935,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 29,862 | $2,805,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 19,945 | $2,638,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 3,185,000 | $2,634,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 2,270,000 | $2,595,000 | thousands by filing date | |
| Bunge Limited | G16962204 | CONVERTIBLE PREFERRED STOCK | 27,750 | $2,582,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 2,465,000 | $2,504,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 56,675 | $2,320,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 29,026 | $2,305,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 71,079 | $2,294,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 49,195 | $2,168,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 62,668 | $2,116,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 197,638 | $2,101,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 37,276 | $2,068,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 21,366 | $2,036,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 1,975,000 | $1,973,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 25,268 | $1,970,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 1,540,000 | $1,940,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 84,385 | $1,917,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 40,718 | $1,901,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2,401 | $1,868,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 18,699 | $1,868,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 14,651 | $1,865,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 46,989 | $1,710,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 10,482 | $1,693,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 20,665 | $1,690,000 | thousands by filing date | |
| AVIS BUDGET CAR | 053773AT4 | Convertible | 1,630,000 | $1,665,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 70,140 | $1,658,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 10,975 | $1,653,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 272,542 | $1,643,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 79,615 | $1,578,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 1,635,000 | $1,557,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 1,810,000 | $1,556,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 27,661 | $1,312,000 | thousands by filing date | |
| ARM HLDGS ORD GBP0.5 | 0 | COM | 15,442 | $1,289,000 | thousands by filing date | The CUSIP as filed is malformed. |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 17,905 | $1,266,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 12,379 | $1,210,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 39,464 | $1,094,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 25,200 | $1,075,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 29,615 | $1,059,000 | thousands by filing date | |
| KLA TENCOR CO | 482480AC4 | Convertible/ | 1,020,000 | $1,030,000 | thousands by filing date | |
| TARGET CORP | 87612E110 | COM | 13,533 | $983,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00762L101 | Equities | 192,890 | $980,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 8,465 | $857,000 | thousands by filing date | |
| Wells Fargo & 5.85 PFD PFD Ser Q | 949746556 | PFD | 32,050 | $837,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 28,980 | $821,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 6,210 | $820,000 | thousands by filing date | |
| L BRANDS INC | 532716AM9 | Convertible | 760,000 | $815,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 12,952 | $810,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 12,488 | $766,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AH5 | NOTE 3.250% 4/0 | 625,000 | $761,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 23,496 | $732,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 10,219 | $713,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 7,540 | $678,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 9,985 | $658,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 9,238 | $635,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 39,715 | $630,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 11,453 | $606,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 2,720 | $591,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 5,159 | $544,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 6,126 | $539,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 18,536 | $485,000 | thousands by filing date | |
| INVN 1.75 11/18 | 46123DAB2 | Bond 30/360P2 U | 530,000 | $483,000 | thousands by filing date | |
| US Bancorp | 902973817 | PFD | 17,695 | $475,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 2,614 | $471,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 8,063 | $469,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 6,804 | $462,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 8,508 | $454,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 12,136 | $418,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 9,717 | $417,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 9,795 | $400,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 10,839 | $391,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BB8 | NOTE | 380,000 | $385,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 7,195 | $360,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 5,274 | $348,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 9,444 | $345,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 8,225 | $315,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 5,700 | $294,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 10,944 | $280,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 5,327 | $276,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 3,493 | $254,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 9,038 | $245,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 4,125 | $244,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 5,300 | $234,000 | thousands by filing date | |
| WHIRLPOOL CORP | 963320AQ9 | Convertible/ | 235,000 | $234,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 5,000 | $231,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,003 | $210,000 | thousands by filing date | |
| ARM HLDGS ORD GBP0.5 | 0 | COM | 96 | $204,000 | thousands by filing date | callThe CUSIP as filed is malformed. |
| JOHNSON CONTROLS INT F | 478366107 | COM | 5,099 | $201,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 3,258 | $196,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,797 | $189,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 2,207 | $188,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 3,088 | $186,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 4,591 | $184,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 2,986 | $183,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 1,637 | $170,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 145,000 | $165,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 14,420 | $164,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 5,447 | $159,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 3,600 | $155,000 | thousands by filing date | |
| MERCK &COINC | 589331107 | COM | 2,919 | $154,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,290 | $152,000 | thousands by filing date | |
| ***SEASPAN CORPORATION | Y75638125 | PRD | 6,037 | $151,000 | thousands by filing date | |
| STARWOOD HOTELS & RE | 85590AAN4 | Convertible | 120,000 | $138,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 3,823 | $132,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 3,612 | $132,000 | thousands by filing date | |
| HYATT HOTELS CORP | 448579AC6 | NOTE 3.88% 8/15/2016 | 130,000 | $132,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 632 | $129,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 1,300 | $125,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 2,527 | $121,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 994 | $119,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 4,554 | $117,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 3,715 | $116,000 | thousands by filing date | |
| SALT VERDE AZ FC | 79575EAS7 | Convertible/ | 100,000 | $116,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 4,178 | $115,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 3,260 | $114,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 1,914 | $113,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 3,100 | $111,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 2,428 | $109,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 2,800 | $108,000 | thousands by filing date | |
| AGL RES INC | 001204106 | COM | 1,700 | $108,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 140 | $104,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 5,000 | $104,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 631 | $97,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 1,375 | $95,000 | thousands by filing date | |
| ENERPLUS RES FD UNIT TR G NEW | 29274D604 | COM | 27,530 | $94,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 522 | $93,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 2,899 | $92,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 1,560 | $92,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 1,350 | $89,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 7,151 | $89,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 887 | $87,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 1,178 | $87,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 919 | $86,000 | thousands by filing date | |
| WYNDHAM WORLDWIDE CORP | 98310WAH1 | Convertible | 85,000 | $86,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,100 | $85,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 600 | $85,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 1,000 | $84,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 3,479 | $83,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 1,434 | $83,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 3,175 | $80,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 790 | $76,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 6,175 | $76,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 2,725 | $75,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 1,000 | $74,000 | thousands by filing date | |
| PFIZER INC | 717081DB6 | Convertible | 65,000 | $73,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 1,229 | $72,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 105 | $71,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 4,755 | $71,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 675 | $71,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 800 | $70,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 4,200 | $70,000 | thousands by filing date | |
| FORD HLDG LLC | 345277AE7 | Convertible/ | 50,000 | $68,000 | thousands by filing date | |
| AETNA INC | 00817YAH1 | Convertible | 65,000 | $68,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 2,000 | $67,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 6,200 | $65,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 723 | $64,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 1,350 | $64,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 17,640 | $64,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 1,875 | $63,000 | thousands by filing date | |
| ANHEUSER BUSCH COS INC | 035229103 | COMMON STOCK | 500 | $63,000 | thousands by filing date | |
| NOGALES AZ MDA | 655275GN9 | Convertible | 60,000 | $62,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 5,300 | $61,000 | thousands by filing date | |
| SAN JOSE CALIF ARPT REV | 798136TS6 | COM | 55,000 | $61,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 1,425 | $60,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 2,584 | $60,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 1,200 | $60,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 803 | $60,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 1,000 | $60,000 | thousands by filing date | |
| SUMMER ENERGY HLDG INC | 865634109 | Equities | 54,500 | $60,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 1,524 | $59,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 658 | $59,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 3,500 | $59,000 | thousands by filing date | |
| GOLDMAN SACHS CAP I | 38143VAA7 | Corporate Bond - Domestic | 50,000 | $59,000 | thousands by filing date | |
| LOS ANGELES CA | 544495WB6 | Convertible/ | 50,000 | $58,000 | thousands by filing date | |
| CA ST PUB WRKS BD LS | 130685TZ3 | Convertible/ | 50,000 | $58,000 | thousands by filing date | |
| Eaton Corp. | 278058102 | COM | 1,100 | $57,000 | thousands by filing date | |
| MINNESOTA ST | 604129SZ0 | Convertible | 55,000 | $57,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 580 | $56,000 | thousands by filing date | |
| CAMARILLO CA CDC TA | 13177LEH2 | Convertible/ | 50,000 | $56,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 700 | $54,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 2,000 | $53,000 | thousands by filing date | |
| VERIZON COMMUNICATIONS INC | 362320BA0 | Convertible/ | 45,000 | $53,000 | thousands by filing date | |
| PIMA CN AZ IDA L | 72177LAS8 | Convertible/ | 50,000 | $53,000 | thousands by filing date | |
| EL PASO CO COP | 283365GK4 | Convertible | 50,000 | $53,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 351 | $52,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 837 | $51,000 | thousands by filing date | |
| AZ ST TRANS BRD HWY | 040654PP4 | Convertible | 50,000 | $51,000 | thousands by filing date | |
| IVY TECH CCLG I | 46603AAW1 | Convertible | 50,000 | $51,000 | thousands by filing date | |
| CA HLTH FACS FA REV | 13033F6M7 | NOTE 5.00% 4/1/2037 | 50,000 | $51,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 1,519 | $50,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 2,450 | $49,000 | thousands by filing date | |
| BAXALTA INC | 07177M103 | COM | 1,245 | $49,000 | thousands by filing date | |
| Market Vectors Small Cap India | 57061r551 | COM | 1,125 | $49,000 | thousands by filing date | |
| INDEPENDENT C CA | 45385LHC0 | Convertible/ | 50,000 | $49,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 335 | $48,000 | thousands by filing date | |
| PRECISION CASTPARTS CORP | 740189105 | COM | 207 | $48,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 1,245 | $47,000 | thousands by filing date | |
| Fairfax Finl HLDGS LTD Sub VTG | 303901102 | COM | 100 | $47,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 601 | $46,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 538 | $45,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 1,377 | $45,000 | thousands by filing date | |
| FRESNO CA WTR SY | 358240FC8 | Convertible/ | 40,000 | $45,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 1,040 | $44,000 | thousands by filing date | |
| COPT DEFENSE PROPERTIES | 22002T108 | SHS BEN INT | 2,000 | $44,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 16,050 | $44,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 8,245 | $43,000 | thousands by filing date | |
| CROWN CASTLE CNV PFD | 228227500 | PFDs, REITs, | 400 | $43,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 450 | $42,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 1,200 | $42,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 2,500 | $42,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 900 | $41,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 500 | $40,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 5,000 | $40,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 300 | $40,000 | thousands by filing date | |
| TOTAL S A ADR F | 89151E113 | cs | 900 | $40,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,575 | $39,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 1,170 | $39,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 1,795 | $39,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 40,000 | $39,000 | thousands by filing date | |
| RR DONNELLEY & SONS CO | 257867AT8 | Convertible | 38,000 | $39,000 | thousands by filing date | |
| PROSHARES ULTRA SILVER | 74347W841 | COM | 1,400 | $38,000 | thousands by filing date | |
| MIAMI-DADE CNTY FL | 59333FKF6 | Convertible/ | 35,000 | $38,000 | thousands by filing date | |
| PEORIA AZ W/W | 712851AJ3 | Convertible/ | 35,000 | $38,000 | thousands by filing date | |
| COCONINO ETC AZ | 191800CY5 | Convertible/ | 35,000 | $38,000 | thousands by filing date | |
| CALCASIE PAR LA SD3 | 128533ED4 | Convertible | 35,000 | $38,000 | thousands by filing date | |
| CLARK CNTY WA PUD00 | 181108UK5 | Convertible | 35,000 | $38,000 | thousands by filing date | |
| PHOENIX AZ CVC A | 71883MEZ3 | Convertible | 35,000 | $38,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 500 | $37,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 2,000 | $37,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 400 | $37,000 | thousands by filing date | |
| CITY OF PHOENIX | 75902JAG4 | Convertible | 35,000 | $37,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 323 | $36,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 780 | $36,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 500 | $36,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 700 | $36,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 179,807 | $36,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141E5H8 | Convertible | 35,000 | $36,000 | thousands by filing date | |
| TOB STLMT CORP NY | 88880TNE2 | Convertible | 35,000 | $36,000 | thousands by filing date | |
| CLARK CNTY NV SD | 181059KQ8 | Convertible | 35,000 | $36,000 | thousands by filing date | |
| IA ST BRD REGENT HS | 46256QCT1 | Convertible | 35,000 | $36,000 | thousands by filing date | |
| MESA AZ UTIL SYS | 590545UC1 | Convertible | 35,000 | $36,000 | thousands by filing date | |
| KENOSHA WI USD | 489836LF1 | NOTE 4.50% 4/1/2016 | 35,000 | $35,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 802 | $34,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 522 | $34,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 1,514 | $34,000 | thousands by filing date | |
| EVANSVILLE IND REDEV | 299398BK2 | Convertible/ | 30,000 | $34,000 | thousands by filing date | |
| VERIZON COMMUNICATIO | 92343VAV6 | NOTE 6.35% 4/1/2019 | 30,000 | $34,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 745 | $33,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 1,000 | $33,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 1,000 | $33,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 765 | $33,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 2,337 | $33,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 320 | $33,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 1,500 | $33,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 2,050 | $33,000 | thousands by filing date | |
| ARCONIC INC NOTE M/W CLBL | 013817AV3 | NOTE M/W CLBL | 34,000 | $33,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 3,000 | $33,000 | thousands by filing date | |
| PITNEY BOWES INC | 72447XAA5 | NOTE 4.75% 1/15/2016 | 33,000 | $33,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 440 | $32,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 300 | $32,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 900 | $32,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 2,251 | $32,000 | thousands by filing date | |
| UNIV AZ MED CTR | 914062EC4 | Convertible/ | 25,000 | $32,000 | thousands by filing date | |
| HILTON HEAD ISL SC | 432841NM2 | Convertible/ | 30,000 | $32,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 1,480 | $31,000 | thousands by filing date | |
| AZ HLTH FAC AUTH | 040507NS0 | Convertible/ | 30,000 | $31,000 | thousands by filing date | |
| MUURIETA VY CA U | 62719TBJ6 | Convertible | 30,000 | $31,000 | thousands by filing date | |
| PHILADELPHIA PA | 717813GG8 | Convertible | 30,000 | $31,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 275 | $30,000 | thousands by filing date | |
| Australia & New Zealand Bankin | 052528304 | ADR | 1,500 | $30,000 | thousands by filing date | |
| UNION CARBIDE CORP | 905572AD5 | Convertible/ | 25,000 | $30,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 1,720 | $29,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 300 | $29,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 350 | $29,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 227 | $29,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 1,800 | $29,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 2,140 | $29,000 | thousands by filing date | |
| UNIVERSAL HEALTH/REALTY SBI | 91359E109 | COM | 571 | $29,000 | thousands by filing date | |
| ANHEUSER-BUSCH INC | 035229CW1 | Convertible/ | 27,000 | $29,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 373 | $28,000 | thousands by filing date | |
| ALLSTATE COR PFD | 020002804 | PFDs, REITs, | 1,000 | $28,000 | thousands by filing date | |
| CONTRA COSTA CA P | 21226PKD9 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| UNIV TX UNIV | 915137W90 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| FARMINTON MN ISD | 311315UC7 | Convertible | 25,000 | $28,000 | thousands by filing date | |
| GSI COMMERCE INC | 36238GAD4 | Convertible | 25,000 | $28,000 | thousands by filing date | |
| ORLANDO FL UTIL | 686507DN1 | Convertible | 25,000 | $28,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 454 | $27,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 112 | $27,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 600 | $27,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 680 | $27,000 | thousands by filing date | |
| Wells Fargo & Co 8.0% PFD Non Cum Cl J | 949746879 | Pfd Stk | 945 | $27,000 | thousands by filing date | |
| MERRILL LYNCH CAP TR III 7.375% PFD SHS MA | 59025d207 | PREFERRED EQUITY | 1,055 | $27,000 | thousands by filing date | |
| Wells Fargo & Co New | 949746366 | COM | 1,000 | $27,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141ED48 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| GREATER ORLANDO AVIATION AUTH | 392274ZX7 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| SALT RIVER PRJ AZ | 79575DXA3 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| PHOENIX AZ CVC IMP | 71884ARN1 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| YAVAPAI CN AZ CCD | 985204GU4 | Convertible | 25,000 | $27,000 | thousands by filing date | |
| LAS VEGAS NV WTR | 5178405M2 | Convertible | 25,000 | $27,000 | thousands by filing date | |
| MARICOPA AZ SD #31 | 567150DX2 | Convertible | 25,000 | $27,000 | thousands by filing date | |
| AKRON OH | 010033YX0 | Convertible | 25,000 | $27,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 334 | $26,000 | thousands by filing date | |
| GENERAL ELEC CAP $1.219 PFD | 369622410 | PREFERRED | 1,000 | $26,000 | thousands by filing date | |
| GENERAL ELECTRIC CAP CORP 4.875% | 369622428 | PREFERRED | 1,000 | $26,000 | thousands by filing date | |
| SAFEWAY INC NT | 786514BA6 | Fixed Income | 29,000 | $26,000 | thousands by filing date | |
| ASSOCIATED BANC PFD | 045488400 | PFDs, REITs, | 1,000 | $26,000 | thousands by filing date | |
| TIME WARNER COMPANIES INC | 887315AM1 | DEBENTURE - UNSECURED | 20,000 | $26,000 | thousands by filing date | |
| MARICOPA AZ CCD | 566795LB4 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| FL DEP OF CHILD/FAM | 34061MAS5 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| GOODYEAR AZ PUB IMP | 382512BQ3 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| MARION COUNTY FL | 56879EFJ3 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| WESLACO TX | 950868LX5 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| UINV S AL | 914845MJ8 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| ANCHORAGE AK | 033161RA0 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| MS DEV BK SPL OBG | 60534QRG8 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| AZ TRANS EXCISE TAX | 040649HJ7 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| AVONDALE AZ MDC | 054319DW5 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| MARICOPA AZ USD #97 | 567438PR1 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| BELOIT WI SD | 080680GD7 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| DEARBORN MI SD | 242595SQ0 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| MARICOPA AZ SD | 567527QY5 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| MIAMI-DADE CN FL | 59334DBT0 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| MOBILE AL | 607114T47 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| NE PUB PWR DIST | 63968AD77 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| PIERCE CN WA SD | 720611VJ8 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| GOLDMAN SACHS BANK | 38147JD90 | CD | 26,000 | $26,000 | thousands by filing date | |
| Duke Energy | 26441C105 | Common | 345 | $25,000 | thousands by filing date | |
| NATL GEN PFD | 636220808 | PFDs, REITs, | 1,000 | $25,000 | thousands by filing date | |
| NOVATO CA RDA | 66988TBB8 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| TUCSON AZ WTR | 8987963X3 | Convertible | 25,000 | $25,000 | thousands by filing date | |
| TOB STLMT CORP NY | 88880TND4 | Convertible | 25,000 | $25,000 | thousands by filing date | |
| MARICOPA AZ SD | 566897TH7 | Convertible | 25,000 | $25,000 | thousands by filing date | |
| GRAND RAPIDS MI | 386289CJ9 | NOTE 5.38% 1/1/2016 | 25,000 | $25,000 | thousands by filing date | |
| SALT RIVER PROJECT A | 79575DD56 | NOTE 4.00% 1/1/2016 | 25,000 | $25,000 | thousands by filing date | |
| AZ ST TRANS BRD HWY | 040654NV3 | NOTE 5.00% 7/1/2018 | 25,000 | $25,000 | thousands by filing date | |
| WEATHERFORD INTL | 947076AB1 | NOTE 5.50% 2/15/2016 | 25,000 | $25,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 716 | $24,000 | thousands by filing date | |
| Allstate Corp 5.62 | 020002408 | PFD | 940 | $24,000 | thousands by filing date | |
| HP INCORPORATION NOTE M/W CLBL | 428236BQ5 | NOTE M/W CLBL | 25,000 | $24,000 | thousands by filing date | |
| IRVINE CA SPL T | 46360TDV2 | Convertible/ | 25,000 | $24,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 380 | $23,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 400 | $23,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 5,000 | $23,000 | thousands by filing date | |
| ALTIUS MINERALS CORP F | 020936100 | FOREIGN CANADIAN | 3,200 | $23,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 400 | $22,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 275 | $22,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 200 | $22,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 800 | $22,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 300 | $22,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 400 | $22,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 500 | $22,000 | thousands by filing date | |
| AMER MUNI POWER OH | 02765UDA9 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| GENERAL ELECTRIC CAP CORP | 36966R4C7 | Convertible/ | 19,000 | $22,000 | thousands by filing date | |
| WASHINGTON ST | 93974CGB0 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| UNIV PL WA | 91480QDS6 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| DOUGLAS CO SD #1 | 258887CQ9 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 231 | $21,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 208 | $21,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 499 | $21,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 400 | $21,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 1,459 | $21,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 270 | $21,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,500 | $21,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 35,000 | $21,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 20,000 | $21,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141E2V0 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| BANNING CA FIN AGY | 066614AN8 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| MORGAN STANLEY | 61747YDT9 | Convertible | 20,000 | $21,000 | thousands by filing date | |
| WASHINGTON CA USD | 937416BB0 | Convertible | 20,000 | $21,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 3,500 | $20,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 206 | $20,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 175 | $20,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 159 | $20,000 | thousands by filing date | |
| TRIAD HOSPITALS | 89579K109 | COM | 530 | $20,000 | thousands by filing date | |
| GENERAL ELECTRIC CAP | 36962G5H3 | Convertible | 20,000 | $20,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 46625HHX1 | NOTE 3.45% 3/1/2016 | 20,000 | $20,000 | thousands by filing date | |
| CISCO SYSTEMS INC | 17275RAC6 | NOTE 5.50% 2/22/2016 | 20,000 | $20,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 200 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 300 | $19,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 1,000 | $19,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 624 | $19,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 300 | $19,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 85 | $19,000 | thousands by filing date | |
| EXPRESS SCRIPTS INC | 302182100 | COM | 220 | $19,000 | thousands by filing date | |
| CAN APARTMENT PROP REAL ESTA | 134921105 | FOR | 1,000 | $19,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 1,000 | $19,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 210 | $18,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 500 | $18,000 | thousands by filing date | |
| CEPHEID | 15670R107 | COM | 500 | $18,000 | thousands by filing date | |
| ARM HLDGS PLC | 042068106 | SPONSORED ADR | 400 | $18,000 | thousands by filing date | |
| Transforce Inc | 89366H103 | COM | 1,015 | $18,000 | thousands by filing date | |
| MARICOPA AZ SD #4 | 567137F25 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| AZ ST CTFS PART | 040588E31 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| HARRIS CNTY TX | 414005QD3 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| AUSTIN TX ISD | 052430KT1 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| BENTON CNTY WA SD#1 | 082887NB2 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| CITY OF SAN ANTONIO | 7962533W0 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| CORPUS CHRISTI TX | 2201125R3 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 1,300 | $17,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 600 | $17,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 1,000 | $17,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 406 | $17,000 | thousands by filing date | |
| Citigroup Inc | 172967HD6 | CB | 16,000 | $17,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 300 | $16,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 200 | $16,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 400 | $16,000 | thousands by filing date | |
| CA INC | 12673PAC9 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| GOLDMAN SACHS GRP INC MTN BE 7.5percent 02152019 | 38141EA25 | Corporate Bond | 14,000 | $16,000 | thousands by filing date | |
| Morgan Stanley | 61747YCG8 | COM | 14,000 | $16,000 | thousands by filing date | |
| SAN MATEO CA | 799022BY3 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| GENERAL ELECTRIC CO | 369604BC6 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 400 | $15,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 500 | $15,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 353 | $15,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 75 | $15,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 200 | $15,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 180 | $15,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 334 | $15,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 777 | $15,000 | thousands by filing date | |
| Streettracks Gold TRUST | 863307104 | Common Stock | 150 | $15,000 | thousands by filing date | |
| HP INCORPORATION NOTE M/W CLBL | 428236BV4 | NOTE M/W CLBL | 15,000 | $15,000 | thousands by filing date | |
| FORD MOTOR CREDIT | 345397VM2 | Convertible/ | 13,000 | $15,000 | thousands by filing date | |
| GEN MOTORS FINL | 37045XAB2 | Convertible/ | 14,000 | $15,000 | thousands by filing date | |
| SIMON PROPERTY GROUP LP | 828807BW6 | Convertible | 15,000 | $15,000 | thousands by filing date | |
| QUEEN CRK IMP DIS A | 74823PAH7 | NOTE 5.00% 1/1/2016 | 15,000 | $15,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 073902RU4 | NOTE 7.25% 2/1/2018 | 14,000 | $15,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 1,000 | $14,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 1,000 | $14,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,725 | $14,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 220 | $14,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 250 | $14,000 | thousands by filing date | |
| AMERICAN TOWER CORP | 029912201 | COMMON STOCK | 140 | $14,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 15,000 | $14,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 115 | $13,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 1,500 | $13,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 1,168 | $13,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 500 | $13,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 400 | $13,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 2,163 | $12,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 140 | $12,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 200 | $12,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 400 | $12,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 1,300 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 1,000 | $12,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 150 | $12,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 500 | $12,000 | thousands by filing date | |
| OHIO ST WTR DEV AUTH WTR POLLUTN CTL REV, LN FD REV BDS | 67766WVL3 | Revenue Supported Bonds - non-taxable | 10,000 | $12,000 | thousands by filing date | |
| ARIZONA WTR INFRASTRUCTURE FIN AUTH REV, WTR QUALITY REV REF BDS | 040688MM2 | Revenue Supported Bonds - non-taxable | 10,000 | $12,000 | thousands by filing date | |
| JEA FL ELEC SYS REV | 46613C2F1 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| KLEIN TX ISD | 498531FE7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| MI ST BLDG AUTH | 594615BA3 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NC MUN PWR CA ELEC | 658203X82 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NEW YORK N Y | 64966LS77 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NY ST DORM AUTH PER | 64990EUT2 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NY ST DORM AUTH S/T | 64990ADN2 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| PA ST TPK COMMN TPK | 709224FX2 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| PHOENIX AZ WST WTR | 71883PJP3 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| PHOENIX AZ WTR | 71883RNK5 | Convertible/ | 10,000 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-015335 | this filing | 2016-03-10 | acceptance time not in the bulk data set |