13F-HR filed by Transform Wealth, LLC
Transform Wealth, LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-13, with 211 holding rows worth $252,100,000.
- Accession
- 0001085146-17-000510
- Filer
- CIK 1682266
- Filed
- 2017-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 211 entries on the cover page, a total value of $252,100,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $252,100,000 with VALUE read as thousands by filing date, 13F file number 028-17533. 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 |
|---|---|---|---|---|---|---|
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 728,513 | $17,229,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 209,577 | $8,270,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 60,334 | $6,117,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 55,632 | $6,090,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 48,413 | $5,896,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 85,398 | $4,416,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 19,731 | $4,410,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 185,323 | $4,309,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 21,242 | $3,462,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 65,542 | $3,082,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 14,720 | $3,063,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 25,688 | $3,057,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 82,410 | $2,989,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 46,810 | $2,913,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 24,075 | $2,895,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 19,337 | $2,827,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 32,733 | $2,752,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 3,467 | $2,747,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 18,118 | $2,736,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 15,264 | $2,726,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 42,791 | $2,659,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 49,302 | $2,384,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 3,063 | $2,297,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 34,111 | $2,262,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 22,179 | $2,084,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 26,051 | $2,056,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 46,280 | $2,016,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 17,216 | $1,994,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 17,101 | $1,967,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 32,331 | $1,858,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 36,724 | $1,825,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 11,319 | $1,812,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 16,519 | $1,811,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 56,056 | $1,752,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 34,848 | $1,713,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 27,239 | $1,706,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 37,545 | $1,695,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 101,963 | $1,622,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 17,028 | $1,537,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 18,455 | $1,526,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 1,029 | $1,509,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 41,160 | $1,504,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 27,008 | $1,499,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 19,745 | $1,483,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 10,895 | $1,481,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 16,887 | $1,473,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 13,944 | $1,469,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 14,010 | $1,442,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 41,150 | $1,441,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 47,443 | $1,428,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 7,626 | $1,420,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 25,446 | $1,402,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 9,096 | $1,380,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 16,312 | $1,378,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 24,900 | $1,352,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 37,269 | $1,351,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 12,900 | $1,350,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 19,241 | $1,329,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 68,580 | $1,326,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 20,140 | $1,318,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 23,849 | $1,259,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 16,208 | $1,217,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 9,999 | $1,210,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 11,693 | $1,207,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 19,397 | $1,198,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 20,741 | $1,172,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 22,578 | $1,158,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 32,119 | $1,152,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 11,353 | $1,148,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 19,443 | $1,145,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 10,900 | $1,145,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 17,954 | $1,140,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 13,616 | $1,124,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 46,144 | $1,097,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 12,608 | $1,089,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 4,918 | $1,089,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 9,380 | $1,087,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 14,632 | $1,074,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 14,606 | $1,046,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 20,707 | $1,043,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 3,656 | $1,037,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 5,804 | $1,026,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 100,433 | $1,023,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 13,825 | $1,009,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 21,012 | $995,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 18,635 | $993,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 6,178 | $989,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 6,812 | $980,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 13,753 | $980,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 43,958 | $959,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 15,209 | $958,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 13,698 | $950,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 7,682 | $922,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 15,109 | $920,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 36,824 | $894,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 11,243 | $893,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 28,192 | $891,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 3,792 | $881,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 21,440 | $881,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 75,600 | $847,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 4,611 | $840,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 17,583 | $833,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 42,758 | $828,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 8,033 | $826,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 7,110 | $823,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 11,466 | $815,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 11,141 | $809,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 7,053 | $809,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 21,268 | $806,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 15,569 | $781,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 25,430 | $768,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 11,139 | $763,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 4,409 | $761,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 19,765 | $758,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 10,567 | $753,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 4,858 | $729,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 6,322 | $728,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 8,729 | $722,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 5,879 | $720,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 4,667 | $719,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 9,542 | $718,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 153,000 | $708,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 108,400 | $702,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 27,260 | $688,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 27,694 | $682,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 8,960 | $679,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 2,405 | $670,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 12,408 | $662,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 11,850 | $660,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 14,794 | $654,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 11,952 | $648,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 49,013 | $646,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 8,762 | $644,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 61,600 | $614,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 10,636 | $607,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 10,750 | $606,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 4,126 | $599,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 11,194 | $597,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 29,300 | $580,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 736 | $568,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 895 | $568,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 13,891 | $562,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 11,550 | $543,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 4,643 | $509,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 3,047 | $506,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 4,273 | $503,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 11,739 | $499,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 2,216 | $499,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 4,145 | $493,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 3,973 | $492,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 3,800 | $472,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 2,350 | $469,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 7,225 | $465,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 3,278 | $459,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 7,252 | $459,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 7,765 | $448,000 | thousands by filing date | |
| VTI | 922908769 | COM | 3,860 | $445,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 8,259 | $445,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 7,793 | $434,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 4,350 | $416,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 75,000 | $415,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 10,199 | $403,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 3,240 | $394,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 3,250 | $381,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 3,236 | $363,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 3,050 | $357,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 4,200 | $357,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 3,438 | $355,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 2,425 | $341,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,400 | $335,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 4,005 | $331,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 23,144 | $323,000 | thousands by filing date | principal |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 5,500 | $314,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 6,150 | $308,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 13,516 | $307,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 2,910 | $303,000 | thousands by filing date | |
| BARD C R INC | 067383109 | COM | 1,350 | $303,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 3,587 | $292,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 3,250 | $292,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 5,648 | $280,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 3,807 | $277,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 15,300 | $277,000 | thousands by filing date | |
| WATERS CORP COM | 941848103 | Stock | 2,000 | $269,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 4,005 | $268,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 3,400 | $263,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 9,700 | $255,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 13,057 | $242,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 1,779 | $240,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 4,087 | $239,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 2,262 | $235,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 3,377 | $233,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 19,585 | $230,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 5,555 | $228,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 10,050 | $223,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 11,760 | $212,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 2,421 | $203,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 38,000 | $199,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 12,530 | $193,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,045 | $192,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 36,162 | $187,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 13,077 | $185,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 13,685 | $183,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 39,566 | $182,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 19,766 | $180,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 12,318 | $178,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 10,170 | $163,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 16,865 | $161,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 12,519 | $153,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 11,290 | $131,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 140,567 | $127,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 10,050 | $104,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-000510 | this filing | 2017-02-13 | acceptance time not in the bulk data set |