13F-HR filed by National Planning Corp
National Planning Corp filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-13, with 451 holding rows worth $489,046,000.
- Accession
- 0001085146-17-002340
- Filer
- CIK 1492262
- 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, 451 entries on the cover page, a total value of $489,046,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $489,046,000 with VALUE read as thousands by filing date, 13F file number 028-13971. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| Apple Inc | 037833100 | COM | 179,004 | $27,653,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 162,374 | $19,131,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 97,701 | $18,140,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 156,749 | $14,440,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 1,176,289 | $10,057,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 8,451 | $8,088,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 356,609 | $7,664,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 92,362 | $7,552,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 56,133 | $7,415,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 180,006 | $7,107,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 37,191 | $6,321,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 23,910 | $6,108,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 76,329 | $5,668,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 5,683 | $5,524,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 92,555 | $5,363,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 83,466 | $5,289,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 96,902 | $4,831,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 21,878 | $4,694,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 71,090 | $4,675,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 50,511 | $4,531,000 | thousands by filing date | |
| HEALTHCARE | 42225P501 | CL A NEW | 146,828 | $4,371,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 27,132 | $4,256,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 217,718 | $4,154,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 40,686 | $4,101,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 13,105 | $4,100,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 157,440 | $3,905,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 104,648 | $3,782,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 93,112 | $3,667,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 67,050 | $3,620,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 3,711 | $3,554,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 90,861 | $3,516,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 23,628 | $3,468,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 33,365 | $3,248,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 71,453 | $3,229,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 84,558 | $3,179,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 26,855 | $3,104,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 18,009 | $2,975,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 31,929 | $2,677,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 104,428 | $2,620,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 32,009 | $2,590,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 44,868 | $2,463,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 23,279 | $2,458,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 114,455 | $2,456,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 198,917 | $2,427,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 21,694 | $2,390,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 101,575 | $2,361,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 14,274 | $2,356,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 163,616 | $2,310,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 18,580 | $2,298,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 35,321 | $2,274,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 57,524 | $2,211,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 15,971 | $2,172,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 82,748 | $2,140,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 19,604 | $2,139,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 34,198 | $2,126,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 41,154 | $2,008,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 29,324 | $1,978,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 154,914 | $1,912,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 154,989 | $1,908,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 23,877 | $1,893,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 23,842 | $1,889,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 35,654 | $1,830,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 17,613 | $1,757,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 30,676 | $1,755,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 27,064 | $1,740,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 11,824 | $1,727,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 50,012 | $1,693,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 117,610 | $1,623,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 22,853 | $1,617,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 188,723 | $1,600,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 200,023 | $1,588,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 19,292 | $1,586,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 8,365 | $1,566,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 13,251 | $1,560,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 10,821 | $1,544,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 18,437 | $1,534,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 27,596 | $1,534,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 8,591 | $1,534,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 6,603 | $1,514,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 19,593 | $1,505,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 20,588 | $1,449,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 43,563 | $1,448,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 10,010 | $1,432,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 44,765 | $1,419,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 37,475 | $1,404,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 26,059 | $1,401,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 25,842 | $1,389,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 3,919 | $1,364,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 27,778 | $1,352,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 128,044 | $1,338,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 16,092 | $1,309,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 33,580 | $1,305,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 15,924 | $1,288,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 25,674 | $1,264,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 6,630 | $1,189,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 68,827 | $1,160,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 5,156 | $1,150,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 79,744 | $1,132,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 25,867 | $1,124,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 18,280 | $1,113,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 421,700 | $1,109,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 67,435 | $1,043,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 49,915 | $1,031,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 11,593 | $1,002,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 10,714 | $980,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 74,736 | $977,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 23,890 | $964,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 55,910 | $943,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 13,002 | $942,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 20,370 | $941,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 45,204 | $938,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 13,181 | $926,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 20,504 | $921,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 14,499 | $912,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 19,327 | $910,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 7,928 | $894,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 106,909 | $887,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 43,500 | $881,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 57,403 | $874,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 7,225 | $865,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 32,845 | $854,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 63,500 | $849,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 11,604 | $826,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 4,590 | $822,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 130,322 | $817,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 10,940 | $811,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 10,453 | $810,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 69,132 | $800,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 4,232 | $797,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 61,707 | $786,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 11,334 | $783,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 13,711 | $782,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 16,303 | $769,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 10,050 | $763,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 44,538 | $761,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 9,084 | $753,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 3,141 | $752,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 305,331 | $748,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 5,586 | $736,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 2,530 | $736,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,629 | $734,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 55,450 | $729,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 10,700 | $728,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 5,779 | $725,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 4,917 | $722,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 54,000 | $713,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 28,901 | $713,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 4,124 | $704,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 9,009 | $701,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 10,938 | $697,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 10,806 | $694,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 3,263 | $687,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 28,901 | $684,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 22,501 | $682,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 31,734 | $674,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 4,397 | $671,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 36,540 | $666,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 5,160 | $658,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 29,000 | $656,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 138,700 | $656,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 12,690 | $655,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 17,037 | $653,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 49,048 | $646,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 5,547 | $637,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 44,922 | $632,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 5,610 | $621,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 520,942 | $620,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 8,092 | $618,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 17,314 | $612,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 14,338 | $602,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 31,476 | $593,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 39,000 | $587,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 141,124 | $586,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 9,199 | $583,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 46,157 | $583,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 9,840 | $576,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 13,711 | $561,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 1,765 | $560,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 36,447 | $556,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 3,606 | $555,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 11,925 | $555,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 10,900 | $543,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 15,650 | $542,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 4,031 | $541,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 10,497 | $540,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 4,106 | $540,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 2,170 | $536,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 4,097 | $525,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 7,536 | $523,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 6,683 | $516,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 23,955 | $513,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 5,597 | $509,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 2,082 | $503,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 5,782 | $501,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 3,316 | $493,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 12,010 | $492,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 14,342 | $491,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 9,396 | $489,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 3,642 | $489,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 25,058 | $486,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 7,637 | $486,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 21,700 | $483,000 | thousands by filing date | |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 9,119 | $483,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 17,427 | $471,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 86,175 | $471,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 17,890 | $470,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 35,944 | $469,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 251 | $469,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 16,443 | $467,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 21,496 | $466,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 8,617 | $461,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 7,103 | $461,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 5,934 | $460,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 4,228 | $456,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 25,065 | $456,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 9,246 | $454,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 7,755 | $454,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 5,804 | $453,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 51,544 | $450,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 7,894 | $444,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 2,891 | $443,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 15,587 | $443,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 8,170 | $440,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 7,574 | $437,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 6,673 | $436,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 111,400 | $436,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 57,592 | $435,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 7,642 | $428,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 11,322 | $428,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 3,263 | $424,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 5,974 | $419,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 19,373 | $418,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 74,462 | $417,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 7,930 | $413,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 1,910 | $407,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 20,453 | $406,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 18,219 | $406,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 5,242 | $404,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 9,030 | $404,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 8,593 | $403,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 18,515 | $403,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 5,439 | $402,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 2,171 | $401,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 22,063 | $400,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 27,145 | $397,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 10,360 | $397,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 5,201 | $396,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 33,206 | $395,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 16,423 | $393,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 19,255 | $390,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 4,201 | $387,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 25,799 | $385,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 4,017 | $383,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 2,083 | $377,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 5,819 | $368,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 3,552 | $368,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 15,164 | $367,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 23,970 | $367,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,432 | $364,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 35,140 | $364,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 20,962 | $364,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 3,870 | $362,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 3,688 | $361,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 30,130 | $359,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 67,860 | $355,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 9,600 | $354,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,817 | $352,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 58,528 | $352,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 25,126 | $351,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 6,499 | $350,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 8,145 | $349,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 4,023 | $348,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 6,784 | $348,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 14,170 | $346,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 16,490 | $346,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 28,000 | $344,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 26,371 | $340,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 7,613 | $338,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 2,965 | $338,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 7,397 | $338,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 21,555 | $337,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 4,509 | $334,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 17,048 | $334,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 4,364 | $332,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 2,876 | $330,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 31,990 | $329,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 45,920 | $328,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 21,590 | $326,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 5,726 | $326,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 30,681 | $324,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 23,169 | $322,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 47,775 | $322,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 2,741 | $319,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 46,523 | $318,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 2,401 | $317,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 4,864 | $316,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,937 | $316,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 5,052 | $315,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 840 | $314,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,940 | $313,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 3,629 | $306,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 4,166 | $302,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,206 | $301,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,507 | $299,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 17,935 | $299,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,309 | $298,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 12,607 | $296,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,046 | $294,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 7,010 | $294,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,731 | $294,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 3,253 | $293,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 6,193 | $293,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 2,753 | $292,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 21,397 | $291,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 11,741 | $288,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 20,708 | $281,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,732 | $280,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 20,725 | $280,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 3,075 | $279,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $279,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 9,127 | $276,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 25,482 | $274,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 13,588 | $274,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 2,931 | $273,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 19,404 | $273,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 4,225 | $270,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,285 | $270,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 1,903 | $269,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 30,749 | $262,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 9,788 | $261,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 6,685 | $259,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 3,779 | $258,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 3,450 | $255,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,445 | $255,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 12,958 | $252,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 3,551 | $251,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 3,897 | $250,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 26,500 | $250,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 12,341 | $249,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 542 | $247,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 7,862 | $244,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 4,923 | $242,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 4,990 | $241,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 16,234 | $241,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 3,645 | $240,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 5,165 | $237,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 4,500 | $236,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 7,738 | $236,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 159,250 | $236,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 64,737 | $235,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 44,238 | $232,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 15,400 | $232,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 6,874 | $231,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 10,148 | $229,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 5,505 | $228,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 3,917 | $227,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 4,478 | $226,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 3,410 | $226,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 14,699 | $224,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 17,253 | $223,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 8,538 | $222,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 2,702 | $221,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 14,369 | $221,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 22,275 | $218,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 500 | $217,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 3,557 | $214,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 33,755 | $214,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 1,807 | $212,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 4,052 | $210,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 1,449 | $210,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 1,756 | $210,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,595 | $208,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 3,137 | $208,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 7,900 | $206,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 39,334 | $205,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 1,423 | $203,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 16,043 | $203,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 5,770 | $202,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 2,100 | $200,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 16,466 | $195,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 95,795 | $193,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 13,952 | $192,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 16,855 | $191,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 19,476 | $190,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 15,600 | $188,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,800 | $187,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 27,189 | $184,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 15,332 | $174,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 13,203 | $174,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 12,890 | $173,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 24,039 | $173,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 57,600 | $173,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 32,000 | $168,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 10,585 | $164,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 13,508 | $163,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 13,639 | $163,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 13,796 | $160,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 33,565 | $160,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 16,680 | $160,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 74,525 | $157,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 18,743 | $148,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 15,095 | $139,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 10,410 | $138,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,601 | $125,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 12,100 | $123,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 11,100 | $115,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 16,824 | $114,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 12,350 | $112,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 21,565 | $110,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 12,593 | $106,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 11,777 | $105,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 13,515 | $98,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 10,250 | $96,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 10,551 | $95,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 17,192 | $92,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 24,000 | $85,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 18,296 | $78,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 12,346 | $71,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 11,440 | $69,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 15,539 | $59,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 21,362 | $53,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,000 | $46,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 400 | $44,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 11,000 | $42,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 10,000 | $32,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,000 | $22,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 14,350 | $21,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 12,335 | $14,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 10,000 | $13,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 11,000 | $8,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 600 | $5,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 900 | $3,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 800 | $2,000 | thousands by filing date | put |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 300 | $2,000 | thousands by filing date | put |
| CENTURYLINK INC | 156700106 | COM | 500 | $2,000 | thousands by filing date | put |
| American Express Company | 025816109 | COM | 500 | $1,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 1,100 | $1,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,100 | $1,000 | thousands by filing date | put |
| Coca-Cola Company | 191216100 | COM | 600 | $1,000 | thousands by filing date | put |
| Deere & Company | 244199105 | COM | 200 | $1,000 | thousands by filing date | put |
| International Business Machines Corporation | 459200101 | COM | 200 | $1,000 | thousands by filing date | put |
| Johnson & Johnson | 478160104 | COM | 200 | $1,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 1,300 | $1,000 | thousands by filing date | put |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 500 | $1,000 | thousands by filing date | put |
| EXELIXIS INC COM | 30161Q104 | Stock | 200 | $1,000 | thousands by filing date | put |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 1,200 | $1,000 | thousands by filing date | put |
| BLACKROCK INC CL A COM | 09247X101 | COM | 100 | $1,000 | thousands by filing date | put |
| RAYTHEON CO | 755111507 | COM NEW | 200 | $1,000 | thousands by filing date | put |
| CVS Health Corporation | 126650100 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Waste Management, Inc. | 94106L109 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-002340 | this filing | 2017-11-13 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-17-002511 | base | 2017-11-22 | acceptance time not in the bulk data set |