13F-HR/A filed by National Planning Corp
National Planning Corp filed this 13F-HR/A for the quarter ended 2017-09-30, filed 2017-11-22, with 705 holding rows worth $1,198,603,000.
- Accession
- 0001085146-17-002511
- Filer
- CIK 1492262
- Filed
- 2017-11-22
- 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, amendment of type restatement, 705 entries on the cover page, a total value of $1,198,603,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,198,603,000 with VALUE read as thousands by filing date, 13F file number 028-13971. 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 |
|---|---|---|---|---|---|---|
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 2,262 | $326,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 5,792 | $325,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 5,726 | $325,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 5,213 | $325,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 2,741 | $324,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 30,681 | $324,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 4,436 | $323,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 23,169 | $323,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 21,590 | $323,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 11,446 | $322,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N782 | CMN | 7,054 | $322,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 46,523 | $318,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 2,876 | $317,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,940 | $316,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 2,324 | $315,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 5,052 | $313,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 4,821 | $311,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 7,141 | $309,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 12,624 | $309,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 167 | $306,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 4,983 | $303,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 8,802 | $303,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 3,604 | $302,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 4,166 | $302,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 5,702 | $302,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 840 | $301,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 1,979 | $299,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 15,664 | $299,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 4,658 | $297,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 12,607 | $295,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,856 | $295,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,154 | $294,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,502 | $294,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 6,063 | $294,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,687 | $293,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 3,253 | $292,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 7,010 | $292,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 14,912 | $292,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 3,342 | $289,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 2,201 | $288,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 2,345 | $287,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 20,708 | $282,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 12,608 | $282,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,946 | $276,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N824 | VCSHS US EQ INCM | 6,221 | $276,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,883 | $276,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $275,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 3,049 | $274,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 25,471 | $273,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 20,425 | $272,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 3,373 | $269,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,192 | $269,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 4,266 | $269,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 2,931 | $268,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 3,880 | $262,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 7,295 | $261,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 1,853 | $260,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 30,749 | $260,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 5,803 | $259,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 12,811 | $258,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 1,550 | $258,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 6,631 | $255,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 4,483 | $255,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 3,992 | $253,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 4,937 | $253,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 3,435 | $252,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 6,085 | $252,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 6,297 | $251,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 26,500 | $250,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 4,454 | $248,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 3,551 | $248,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 10,207 | $248,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,382 | $247,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,344 | $246,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 12,958 | $246,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 8,268 | $246,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 4,449 | $244,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 16,234 | $243,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 5,060 | $242,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 542 | $242,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 3,795 | $241,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 3,705 | $238,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 5,648 | $237,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 120,225 | $236,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 7,662 | $236,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 5,165 | $235,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,304 | $235,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 3,225 | $234,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 12,307 | $233,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 4,890 | $231,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 9,384 | $229,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 5,023 | $228,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 2,476 | $228,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 159,250 | $228,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 10,148 | $227,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 1,859 | $225,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 3,410 | $225,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 3,311 | $225,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 2,205 | $225,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,900 | $225,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 3,435 | $225,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 8,538 | $223,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 4,889 | $223,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 2,880 | $222,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 14,369 | $222,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 5,305 | $221,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 7,340 | $220,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,073 | $220,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 8,791 | $218,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 16,753 | $216,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 4,895 | $216,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 3,557 | $215,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 3,767 | $215,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 4,478 | $213,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 14,182 | $213,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 5,674 | $213,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 3,278 | $212,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 2,602 | $211,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 1,807 | $210,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 1,756 | $210,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 3,245 | $209,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,734 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 5,706 | $208,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 1,449 | $207,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 33,755 | $207,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 3,952 | $206,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,595 | $205,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 3,296 | $205,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 4,257 | $204,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 95,795 | $204,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 16,043 | $202,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 7,733 | $201,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 3,970 | $201,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 39,334 | $197,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 16,466 | $195,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 16,855 | $194,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 13,952 | $189,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,800 | $186,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 18,976 | $185,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 15,361 | $176,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 13,203 | $174,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 25,275 | $170,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 32,000 | $168,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 31,974 | $167,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 58,500 | $167,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 12,890 | $164,000 | 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 | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 34,065 | $162,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 13,796 | $159,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 11,113 | $152,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 18,743 | $148,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 10,223 | $146,000 | 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 | $137,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 20,108 | $136,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 12,100 | $122,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,185 | $121,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 11,100 | $113,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 21,565 | $111,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 12,593 | $107,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 11,760 | $105,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 13,515 | $97,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 10,551 | $94,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 17,192 | $91,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 24,000 | $85,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 18,296 | $79,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 12,346 | $72,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 11,440 | $70,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 62,000 | $63,000 | thousands by filing date | principal |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 15,539 | $58,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 21,362 | $54,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,000 | $44,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 11,000 | $42,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 12,900 | $42,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 10,000 | $29,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 25,000 | $25,000 | thousands by filing date | principal |
| ATHERSYS INC | 04744L106 | COM | 10,000 | $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 |
| Deere & Company | 244199105 | COM | 200 | $2,000 | 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 |
| 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 |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 300 | $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. |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 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 | superseded | 2017-11-13 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-17-002511 | this filing | 2017-11-22 | acceptance time not in the bulk data set |