13F-HR filed by SII INVESTMENTS INC/WI
SII INVESTMENTS INC/WI filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-13, with 602 holding rows worth $1,750,821,000.
- Accession
- 0001085146-17-002267
- Filer
- CIK 1351903
- Filed
- 2017-11-13
- 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, 602 entries on the cover page, a total value of $1,750,821,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,750,821,000 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 |
|---|---|---|---|---|---|---|
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 12,800 | $264,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 475 | $263,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 10,270 | $260,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 3,828 | $257,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 1,912 | $257,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 3,512 | $256,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 2,810 | $256,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 7,538 | $254,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 5,966 | $249,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 2,748 | $249,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 1,441 | $248,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 1,372 | $247,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 6,456 | $246,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 20,800 | $245,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 7,816 | $244,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 3,771 | $243,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 2,023 | $242,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,196 | $242,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 6,427 | $239,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,589 | $238,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 1,662 | $230,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 9,970 | $230,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,485 | $229,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 2,290 | $229,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 3,600 | $228,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 3,964 | $227,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 1,826 | $227,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 5,378 | $224,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 4,561 | $223,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,690 | $222,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 2,604 | $222,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 3,598 | $220,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,622 | $219,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 3,816 | $217,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 6,098 | $217,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 4,964 | $216,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 11,244 | $216,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 13,325 | $214,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 1,531 | $214,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 6,208 | $212,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 30,420 | $211,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 11,073 | $209,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 5,186 | $209,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 11,281 | $209,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 2,003 | $208,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 2,643 | $207,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 3,729 | $207,000 | thousands by filing date | |
| GRAMERCY PPTY TR | 385002308 | COM NEW | 6,806 | $206,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,328 | $205,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 13,085 | $205,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 3,331 | $205,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 3,427 | $203,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 2,646 | $201,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 3,838 | $201,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 5,180 | $200,000 | thousands by filing date | |
| ANDEAVOR | 03349M105 | COM | 1,939 | $200,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 12,313 | $184,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 11,388 | $175,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 15,274 | $172,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 17,141 | $168,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 14,447 | $167,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 36,555 | $167,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 11,670 | $160,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 10,651 | $159,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 11,599 | $159,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 25,721 | $155,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,761 | $152,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 23,929 | $151,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 16,452 | $130,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 20,616 | $129,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 15,438 | $129,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 14,723 | $129,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 13,399 | $122,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 11,937 | $120,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 13,076 | $120,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 23,798 | $120,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 18,224 | $120,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 19,467 | $113,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 41,483 | $112,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 10,917 | $109,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 11,077 | $99,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 17,900 | $97,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 95,000 | $95,000 | thousands by filing date | principal |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,200 | $86,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 13,635 | $80,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 10,734 | $80,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 10,000 | $78,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 11,500 | $69,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 10,393 | $64,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 15,800 | $50,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 45,000 | $46,000 | thousands by filing date | principal |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 12,500 | $45,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 25,446 | $44,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 35,000 | $35,000 | thousands by filing date | principal |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 10,482 | $34,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 71,015 | $30,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 15,959 | $28,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 10,000 | $11,000 | thousands by filing date | principal |
| Walmart Inc. | 931142103 | COM | 200 | $3,000 | thousands by filing date | call |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 200 | $1,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| GENERAL ELEC CO | 369604103 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-002267 | this filing | 2017-11-13 | acceptance time not in the bulk data set |