13F-HR filed by SII INVESTMENTS INC/WI
SII INVESTMENTS INC/WI filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-10, with 592 holding rows worth $1,307,123,000.
- Accession
- 0001085146-16-004730
- Filer
- CIK 1351903
- 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, 592 entries on the cover page, a total value of $1,307,123,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,307,123,000 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 |
|---|---|---|---|---|---|---|
| CARMAX INC COM | 143130102 | Stock | 4,530 | $240,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 7,254 | $239,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 14,893 | $239,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 6,000 | $238,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 35,701 | $238,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 3,967 | $237,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,856 | $235,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 9,146 | $233,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 6,913 | $233,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 6,773 | $232,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 13,312 | $232,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 21,780 | $230,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 9,077 | $229,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 8,385 | $229,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 3,176 | $228,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 5,336 | $228,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 10,251 | $226,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 793 | $224,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 4,583 | $224,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 424 | $223,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,098 | $222,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 18,399 | $222,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 10,000 | $222,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 3,810 | $221,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 4,708 | $221,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 14,435 | $221,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 2,853 | $221,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 2,473 | $221,000 | thousands by filing date | |
| MGC | 921910873 | COM | 2,976 | $219,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,248 | $218,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 15,550 | $215,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 930 | $214,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 2,949 | $214,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 4,055 | $213,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 2,155 | $213,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 4,191 | $210,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 1,734 | $208,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 15,586 | $208,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 4,923 | $207,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 2,076 | $206,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,326 | $204,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 4,214 | $204,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 39,217 | $204,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 2,233 | $203,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 8,015 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 7,378 | $201,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 7,283 | $201,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 4,000 | $201,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 4,316 | $200,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 14,383 | $200,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 6,233 | $200,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 2,144 | $200,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 18,040 | $196,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 33,215 | $194,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 48,002 | $194,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 11,210 | $186,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 12,273 | $184,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 11,670 | $172,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 10,777 | $159,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 10,426 | $144,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 10,507 | $140,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 135,000 | $135,000 | thousands by filing date | principal |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 14,535 | $135,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 11,130 | $132,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 10,750 | $126,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 25,050 | $126,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 18,680 | $125,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 13,223 | $123,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,895 | $119,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 11,979 | $119,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 11,545 | $116,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 10,362 | $113,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 12,694 | $112,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 10,000 | $103,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 27,609 | $101,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 89,000 | $91,000 | thousands by filing date | principal |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 90,315 | $82,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,200 | $78,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 11,471 | $68,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 11,276 | $49,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,475 | $46,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 45,000 | $46,000 | thousands by filing date | principal |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 10,000 | $42,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 14,500 | $40,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 10,000 | $34,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 30,000 | $31,000 | thousands by filing date | principal |
| SEADRILL ORD | G7945E105 | COM | 12,452 | $26,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 17,930 | $22,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 11,207 | $17,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 30,000 | $16,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 20,050 | $14,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 10,003 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004730 | this filing | 2016-11-10 | acceptance time not in the bulk data set |