13F-HR filed by National Planning Corp
National Planning Corp filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-10, with 658 holding rows worth $1,259,309,000.
- Accession
- 0001085146-16-004729
- Filer
- CIK 1492262
- Filed
- 2016-11-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 658 entries on the cover page, a total value of $1,259,309,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,259,309,000 with VALUE read as thousands by filing date, 13F file number 028-13971. 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 |
|---|---|---|---|---|---|---|
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 5,437 | $279,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,390 | $277,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 6,717 | $274,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 5,002 | $273,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,869 | $273,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 4,734 | $273,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 24,069 | $272,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 20,386 | $272,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 4,435 | $271,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 4,974 | $270,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 2,535 | $268,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 2,180 | $267,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 15,294 | $266,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 2,800 | $263,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 6,275 | $263,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 12,411 | $262,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 9,939 | $262,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 15,816 | $262,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 15,164 | $261,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 19,925 | $261,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 179,450 | $260,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 5,046 | $259,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 20,006 | $258,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 6,910 | $258,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 5,016 | $258,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 3,534 | $256,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 16,600 | $256,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,212 | $255,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 7,269 | $253,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 47,724 | $252,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 3,139 | $251,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 2,113 | $251,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 12,905 | $251,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 7,623 | $250,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 26,175 | $250,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 5,176 | $249,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 3,052 | $249,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 2,628 | $245,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 9,510 | $243,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 3,885 | $243,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 16,488 | $243,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 820 | $242,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 4,103 | $240,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 1,908 | $239,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 23,482 | $239,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,982 | $237,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 10,227 | $236,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 5,047 | $236,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 659 | $236,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 7,964 | $233,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,262 | $229,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 5,800 | $229,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 7,692 | $225,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 1,996 | $223,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,796 | $222,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 2,965 | $222,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 4,513 | $221,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 8,174 | $219,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 3,855 | $218,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 19,982 | $218,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 4,583 | $218,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 31,600 | $216,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 1,725 | $215,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 19,954 | $215,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 2,968 | $214,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 2,435 | $214,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 3,345 | $213,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 9,696 | $213,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 2,857 | $212,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 3,800 | $211,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 5,318 | $211,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 8,265 | $210,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 2,202 | $208,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,550 | $208,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,199 | $208,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 7,070 | $207,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 10,204 | $207,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 2,678 | $206,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 15,592 | $205,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 14,677 | $205,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 14,047 | $204,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 3,997 | $203,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,799 | $203,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 4,272 | $203,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 2,816 | $203,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 3,181 | $202,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 4,684 | $200,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 3,122 | $200,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 15,600 | $199,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 10,834 | $196,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 13,485 | $193,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 41,865 | $192,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 17,524 | $191,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 28,606 | $189,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 40,850 | $183,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 29,447 | $183,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 55,246 | $182,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 13,245 | $174,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 16,494 | $174,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 29,524 | $171,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 10,115 | $169,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 16,055 | $169,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 16,762 | $168,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 24,000 | $168,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 16,446 | $166,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 26,949 | $166,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 11,467 | $164,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 13,902 | $160,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 97,216 | $159,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 16,040 | $156,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 22,965 | $155,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 10,277 | $154,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 15,917 | $152,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 13,998 | $150,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 47,676 | $150,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 13,654 | $136,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 15,023 | $133,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 13,126 | $131,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 14,450 | $130,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 13,617 | $129,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 36,225 | $128,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 11,660 | $124,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 11,055 | $116,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 16,736 | $116,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 11,100 | $114,000 | thousands by filing date | |
| GRAMERCY PPTY TR COM | 385002100 | Stock | 12,817 | $114,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 11,153 | $113,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 10,554 | $106,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 21,775 | $105,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 15,296 | $102,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 16,084 | $97,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 10,700 | $95,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 57,233 | $93,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 17,038 | $92,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 18,700 | $90,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 12,593 | $88,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 17,518 | $85,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 4,524 | $83,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 14,982 | $82,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 19,952 | $80,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 14,692 | $78,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 76,000 | $74,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 304,875 | $69,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 13,708 | $65,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,000 | $42,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 15,955 | $40,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 11,000 | $32,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 16,039 | $30,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 17,450 | $26,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 11,505 | $18,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 12,335 | $18,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,000 | $16,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 20,900 | $14,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 15,000 | $12,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 23,736 | $10,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 400 | $5,000 | thousands by filing date | call |
| NEURALSTEM INC | 64127R302 | COM | 14,500 | $4,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 5,800 | $1,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004729 | this filing | 2016-11-10 | acceptance time not in the bulk data set |