13F-HR filed by WealthTrust Axiom LLC
WealthTrust Axiom LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-01, with 217 holding rows worth $262,865,000.
- Accession
- 0001085146-17-002179
- Filer
- CIK 1425949
- Filed
- 2017-11-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 217 entries on the cover page, a total value of $262,865,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $262,865,000 with VALUE read as thousands by filing date, 13F file number 028-12715. 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 |
|---|---|---|---|---|---|---|
| POINTS INTL LTD | 730843208 | COM NEW | 819,922 | $9,347,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 127,209 | $8,108,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 53,537 | $7,767,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 842,387 | $7,564,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 195,137 | $6,562,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 185,643 | $5,554,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 927,602 | $5,547,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 1,518,565 | $5,527,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 144,768 | $5,512,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 195,932 | $5,482,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 216,161 | $5,226,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 763,751 | $5,048,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 173,105 | $4,926,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 637,744 | $4,591,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 260,830 | $4,486,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 109,808 | $4,301,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 402,240 | $4,143,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 159,955 | $3,979,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 78,788 | $3,899,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 143,935 | $3,546,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 649,691 | $3,469,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 91,558 | $3,268,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 50,712 | $3,247,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 41,228 | $3,071,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 100,664 | $2,994,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 19,020 | $2,931,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 364,192 | $2,877,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 23,967 | $2,816,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 49,618 | $2,792,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 38,192 | $2,644,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 29,598 | $2,531,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 66,537 | $2,506,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 186,218 | $2,486,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 23,007 | $2,357,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 27,784 | $2,241,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 107,186 | $2,153,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 24,968 | $2,143,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 512,570 | $2,117,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 15,816 | $2,056,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 58,215 | $1,965,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 62,450 | $1,959,000 | thousands by filing date | |
| XEROX CORP | 984121608 | COM NEW | 56,494 | $1,880,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 22,814 | $1,870,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 113,300 | $1,834,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 39,400 | $1,825,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 482,296 | $1,779,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 49,405 | $1,692,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 107,435 | $1,670,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 19,702 | $1,596,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 51,112 | $1,548,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 8,267 | $1,515,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 459,728 | $1,471,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 153,468 | $1,391,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 26,576 | $1,330,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 27,801 | $1,315,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 15,440 | $1,295,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 106,200 | $1,271,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 281,000 | $1,261,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 461,144 | $1,258,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 25,600 | $1,234,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 233,147 | $1,214,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 231,742 | $1,195,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 92,518 | $1,127,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 59,925 | $1,108,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 65,699 | $1,088,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 8,900 | $1,010,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 52,000 | $1,000,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 17,640 | $972,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 23,740 | $958,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 8,511 | $948,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 325,300 | $930,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 10,049 | $914,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 12,700 | $909,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 17,850 | $885,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 15,796 | $857,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 21,634 | $832,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 31,229 | $814,000 | thousands by filing date | |
| BEMIS INC | 081437105 | COM | 17,777 | $810,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 40,050 | $805,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 64,824 | $797,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 166,474 | $795,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 67,378 | $794,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 41,378 | $793,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 3,003 | $763,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 41,587 | $760,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 10,859 | $757,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 67,135 | $753,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 7,522 | $741,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 22,015 | $717,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 70,345 | $714,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 7,420 | $694,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 57,437 | $688,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 82,600 | $681,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 31,109 | $640,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 135,510 | $623,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 68,375 | $609,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 69,300 | $602,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 5,057 | $595,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 9,737 | $589,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 9,065 | $566,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 22,110 | $560,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 33,982 | $557,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 4,126 | $556,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 19,904 | $554,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 3,733 | $547,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 38,700 | $547,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 9,400 | $535,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 16,500 | $526,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 23,086 | $525,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 9,518 | $509,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 12,444 | $505,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 2,500 | $498,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 4,802 | $458,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 318,232 | $448,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 10,850 | $446,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 11,507 | $442,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,098 | $440,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,562 | $437,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 5,458 | $427,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,255 | $420,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 8,998 | $419,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 34,319 | $416,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 15,800 | $416,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 13,982 | $408,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 6,901 | $407,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 19,200 | $406,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 25,695 | $402,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 9,406 | $399,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 46,530 | $395,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 34,000 | $392,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 6,091 | $386,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 4,307 | $382,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 5,291 | $381,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 42,713 | $375,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 539,303 | $359,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 9,378 | $355,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 338,000 | $354,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 4,200 | $353,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 38,200 | $353,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 15,700 | $348,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 4,415 | $344,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 7,089 | $342,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 924,554 | $342,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 3,775 | $338,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 10,829 | $337,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 68,850 | $337,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 4,001 | $333,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 4,560 | $332,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 8,851 | $330,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 2,063 | $323,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 6,849 | $321,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 71,054 | $319,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 5,877 | $311,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 121,757 | $310,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 22,028 | $309,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 5,556 | $307,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 5,600 | $302,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 6,708 | $301,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 11,350 | $301,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 1,197 | $300,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 47,000 | $289,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 3,152 | $288,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 4,593 | $288,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 920 | $288,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 10,725 | $288,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 3,437 | $285,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 1,710 | $281,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 2,516 | $279,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,916 | $278,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 5,624 | $274,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 5,100 | $270,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 11,260 | $270,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 5,500 | $269,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 19,468 | $263,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,251 | $261,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 4,902 | $255,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,321 | $253,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 5,090 | $250,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 4,723 | $244,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 1,450 | $237,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 10,640 | $235,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 922 | $233,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 6,000 | $227,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 1,425 | $221,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 9,000 | $218,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 10,140 | $218,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,100 | $215,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 9,600 | $214,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 220 | $211,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 5,057 | $211,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 13,050 | $210,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,007 | $207,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 10,633 | $204,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 11,508 | $202,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 20,900 | $201,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 25,531 | $200,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 29,765 | $197,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 18,835 | $196,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 16,707 | $189,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 22,210 | $154,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 10,000 | $144,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 11,000 | $141,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 10,145 | $127,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 33,000 | $111,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 66,700 | $111,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 22,700 | $107,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 25,983 | $103,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 18,500 | $96,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 35,000 | $91,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 12,500 | $78,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 21,574 | $76,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 10,500 | $65,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 10,134 | $55,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 10,000 | $38,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 11,500 | $24,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 26,860 | $17,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 10,000 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-002179 | this filing | 2017-11-01 | acceptance time not in the bulk data set |