13F-HR filed by SII INVESTMENTS INC/WI
SII INVESTMENTS INC/WI filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-12, with 553 holding rows worth $869,089,000.
- Accession
- 0001085146-15-002278
- Filer
- CIK 1351903
- Filed
- 2015-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 553 entries on the cover page, a total value of $869,089,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $869,089,000 with VALUE read as thousands by filing date, 13F file number 028-13970. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerPRUDENTIAL PLC028-03582
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 |
|---|---|---|---|---|---|---|
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 19,850 | $185,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 14,700 | $185,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 29,045 | $184,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 17,548 | $179,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 10,401 | $176,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 33,100 | $169,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 12,735 | $168,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 14,584 | $152,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 20,998 | $152,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 15,617 | $150,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 16,573 | $146,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 12,679 | $144,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 40,146 | $134,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 10,220 | $132,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 48,380 | $132,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 21,269 | $128,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 14,260 | $116,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 11,250 | $115,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 11,378 | $115,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 14,535 | $114,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 19,331 | $113,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 12,334 | $110,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 120,000 | $108,000 | thousands by filing date | principal |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,930 | $102,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 11,232 | $93,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 28,625 | $83,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 11,079 | $81,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 13,032 | $75,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 79,000 | $75,000 | thousands by filing date | principal |
| ANTARES PHARMA INC | 036642106 | COM | 40,600 | $71,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,200 | $70,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 14,040 | $66,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 24,927 | $65,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 14,174 | $64,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 12,058 | $54,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 11,872 | $42,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 19,425 | $40,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 18,327 | $38,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 22,550 | $38,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 18,566 | $35,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 26,398 | $34,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 40,130 | $33,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 10,000 | $30,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 30,000 | $30,000 | thousands by filing date | principal |
| BOX SHIPS INC | Y09675102 | CMN | 38,425 | $22,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 13,000 | $21,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 16,000 | $21,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 36,800 | $20,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 45,000 | $16,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 16,731 | $12,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 11,258 | $4,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 10,500 | $3,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 18,900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-15-002278 | this filing | 2015-11-12 | acceptance time not in the bulk data set |