13F-HR filed by SII INVESTMENTS INC/WI
SII INVESTMENTS INC/WI filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-13, with 595 holding rows worth $1,336,426,000.
- Accession
- 0001085146-17-000520
- Filer
- CIK 1351903
- 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, 595 entries on the cover page, a total value of $1,336,426,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,336,426,000 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 |
|---|---|---|---|---|---|---|
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 804 | $243,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 3,787 | $243,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 4,284 | $242,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 1,586 | $240,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 1,849 | $237,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 6,196 | $237,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,130 | $237,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 827 | $236,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 9,300 | $236,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 13,098 | $235,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 2,222 | $234,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 5,613 | $234,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 4,678 | $234,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 1,332 | $234,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 4,105 | $229,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 254 | $229,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 2,858 | $229,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 15,864 | $229,000 | thousands by filing date | |
| MGC | 921910873 | COM | 2,976 | $227,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 6,964 | $226,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 15,245 | $225,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,065 | $224,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 2,868 | $224,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 6,233 | $221,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 12,382 | $220,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 9,268 | $219,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 6,265 | $217,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 8,868 | $217,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 4,284 | $216,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 1,759 | $215,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 9,139 | $214,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 3,399 | $214,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 2,473 | $214,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 2,144 | $214,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 40,982 | $211,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 4,100 | $211,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 11,210 | $211,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 4,331 | $210,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 4,357 | $208,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 14,383 | $207,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 2,172 | $206,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 1,900 | $205,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,441 | $204,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 21,380 | $204,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 3,240 | $203,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 14,435 | $200,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 15,243 | $197,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 30,540 | $195,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 19,161 | $192,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 10,747 | $192,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 15,550 | $191,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 15,194 | $182,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 11,825 | $179,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 13,338 | $178,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 11,281 | $178,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 19,039 | $170,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 10,656 | $168,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 15,127 | $163,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 11,670 | $156,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 10,492 | $151,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 10,500 | $149,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 45,224 | $149,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 13,025 | $147,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 29,406 | $144,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 12,273 | $135,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 135,000 | $134,000 | thousands by filing date | principal |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 19,903 | $133,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 63,000 | $131,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 10,000 | $127,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 10,750 | $121,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 23,798 | $120,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 17,680 | $118,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 13,223 | $111,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 13,199 | $110,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 10,945 | $110,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,762 | $107,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 16,971 | $102,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 89,000 | $90,000 | thousands by filing date | principal |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 12,006 | $87,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 11,775 | $86,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 11,087 | $73,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,200 | $70,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 12,570 | $69,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 90,315 | $55,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 10,000 | $54,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 45,000 | $45,000 | thousands by filing date | principal |
| SEADRILL ORD | G7945E105 | COM | 11,312 | $40,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,475 | $37,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 11,500 | $35,000 | 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 |
| QUICKLOGIC CORP | 74837P108 | COM | 18,050 | $25,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 17,930 | $18,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,000 | $14,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 11,082 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-000520 | this filing | 2017-02-13 | acceptance time not in the bulk data set |