13F-HR filed by SII INVESTMENTS INC/WI
SII INVESTMENTS INC/WI filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-09, with 400 holding rows worth $965,364,000.
- Accession
- 0001085146-18-000439
- Filer
- CIK 1351903
- Filed
- 2018-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 400 entries on the cover page, a total value of $965,364,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $965,364,000 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 |
|---|---|---|---|---|---|---|
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 860,271 | $38,607,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 342,272 | $36,389,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 238,281 | $33,522,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 292,734 | $32,000,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 194,505 | $30,317,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 110,780 | $27,179,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 299,050 | $23,670,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 411,157 | $22,353,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 192,398 | $21,978,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 459,084 | $21,628,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 138,899 | $21,228,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 284,051 | $18,782,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 192,599 | $16,147,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 93,307 | $13,793,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 135,703 | $13,737,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 192,348 | $13,541,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 147,413 | $12,852,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 110,458 | $12,842,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 131,070 | $12,467,000 | thousands by filing date | |
| IJH | 464287507 | COM | 64,442 | $12,254,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 45,435 | $12,223,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 240,914 | $11,078,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 258,814 | $10,979,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 59,810 | $10,132,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 177,126 | $10,079,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 190,739 | $10,030,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 129,861 | $9,987,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 316,909 | $9,776,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 58,679 | $9,247,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 32,645 | $8,710,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 382,732 | $7,930,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 67,887 | $7,739,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 64,107 | $6,832,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 124,777 | $6,454,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 115,607 | $5,867,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 51,153 | $5,593,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 31,266 | $5,547,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 64,880 | $5,377,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 34,516 | $5,352,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 18,042 | $5,314,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 136,441 | $5,219,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 118,430 | $4,974,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 48,736 | $4,804,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 48,601 | $4,791,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 35,375 | $4,761,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 98,514 | $4,735,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 37,016 | $4,600,000 | thousands by filing date | |
| VTI | 922908769 | COM | 33,488 | $4,599,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 71,149 | $4,563,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 87,420 | $4,445,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 63,141 | $4,311,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 162,338 | $4,232,000 | thousands by filing date | principal |
| Home Depot, Inc | 437076102 | COM | 22,332 | $4,228,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 88,318 | $4,076,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 36,303 | $3,873,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 44,278 | $3,799,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 516,602 | $3,794,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 3,221 | $3,770,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 103,699 | $3,757,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 109,077 | $3,680,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 42,271 | $3,537,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 27,281 | $3,481,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 22,404 | $3,445,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 111,826 | $3,346,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 30,912 | $3,287,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 16,503 | $3,286,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 80,877 | $3,151,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 30,690 | $3,113,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 19,457 | $2,985,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 121,547 | $2,955,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 50,134 | $2,748,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 14,007 | $2,708,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 31,970 | $2,676,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 19,164 | $2,675,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 289,119 | $2,660,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 24,671 | $2,657,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 89,073 | $2,641,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 31,450 | $2,558,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 39,997 | $2,546,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 27,491 | $2,523,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 111,410 | $2,501,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 14,193 | $2,443,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 19,678 | $2,407,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 44,793 | $2,381,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 29,358 | $2,328,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 114,809 | $2,301,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 14,770 | $2,248,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 14,274 | $2,230,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 20,495 | $2,184,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 24,922 | $2,139,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 33,878 | $2,112,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 9,929 | $2,064,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 19,567 | $2,044,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 37,025 | $2,026,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N782 | CMN | 38,345 | $1,874,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 15,523 | $1,863,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 34,534 | $1,852,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 48,122 | $1,831,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 15,223 | $1,827,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 35,597 | $1,819,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 59,223 | $1,813,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 20,097 | $1,790,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 71,395 | $1,783,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 16,968 | $1,772,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 25,374 | $1,665,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 212,177 | $1,654,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 22,581 | $1,653,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 27,295 | $1,632,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 11,005 | $1,602,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 12,386 | $1,556,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 74,398 | $1,531,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 21,132 | $1,505,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 28,273 | $1,505,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 28,237 | $1,494,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 66,437 | $1,475,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,409 | $1,469,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 8,199 | $1,433,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 40,278 | $1,417,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 13,985 | $1,389,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 35,498 | $1,375,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 11,171 | $1,345,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 27,824 | $1,332,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 5,636 | $1,331,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 18,889 | $1,321,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 32,021 | $1,279,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 8,139 | $1,272,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 80,632 | $1,272,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 17,406 | $1,243,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 71,227 | $1,237,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 20,751 | $1,225,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 22,319 | $1,221,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 5,493 | $1,213,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 7,676 | $1,178,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 19,128 | $1,170,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 12,298 | $1,160,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 41,534 | $1,147,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 32,696 | $1,137,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 17,060 | $1,132,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 3,520 | $1,122,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 11,360 | $1,106,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 18,961 | $1,084,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 38,621 | $1,078,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 12,748 | $1,069,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 9,227 | $1,051,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 21,130 | $998,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 16,491 | $995,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 19,631 | $989,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 18,364 | $984,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 2,392 | $973,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 15,942 | $965,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 13,691 | $960,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 5,921 | $948,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 13,594 | $947,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 6,272 | $944,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 37,822 | $940,000 | thousands by filing date | principal |
| MGC | 921910873 | COM | 10,073 | $924,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 5,346 | $921,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 73,622 | $915,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 15,520 | $910,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 14,379 | $906,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 40,695 | $903,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 40,254 | $899,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 13,556 | $890,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 9,793 | $882,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 12,080 | $880,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 5,745 | $878,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 12,032 | $875,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 31,951 | $875,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 12,235 | $873,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 9,549 | $868,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 7,798 | $867,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 2,780 | $858,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 4,536 | $853,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 5,740 | $847,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 7,091 | $829,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 18,014 | $825,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 12,957 | $819,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 27,498 | $815,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 6,221 | $808,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 3,712 | $800,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 6,975 | $793,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 21,326 | $791,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 13,131 | $778,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 8,218 | $764,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 21,603 | $763,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 3,115 | $762,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 11,767 | $757,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 4,126 | $757,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 76,592 | $754,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 12,270 | $752,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 3,288 | $743,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 6,685 | $743,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 3,608 | $735,000 | thousands by filing date | |
| VECTREN CORP | 92240G101 | COM | 11,206 | $735,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 3,871 | $730,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 4,421 | $721,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 16,309 | $709,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 19,036 | $703,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 13,672 | $693,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 19,496 | $692,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 5,154 | $687,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 72,762 | $681,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 6,641 | $674,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 26,180 | $671,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 16,850 | $662,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 7,212 | $662,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 4,076 | $653,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 20,147 | $643,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 12,570 | $642,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 613 | $641,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 23,409 | $641,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 11,029 | $630,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 5,674 | $630,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 2,475 | $628,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 8,614 | $619,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153204 | COM NEW | 10,540 | $619,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 5,225 | $618,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 9,209 | $617,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 5,857 | $612,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 34,250 | $611,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 14,777 | $610,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 16,797 | $609,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 9,543 | $602,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 12,274 | $602,000 | thousands by filing date | |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 9,767 | $600,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 8,445 | $594,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 8,835 | $587,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 3,269 | $577,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 53,299 | $577,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 33,175 | $577,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 6,436 | $576,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 3,397 | $568,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 4,596 | $564,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 17,648 | $561,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 7,605 | $560,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 3,633 | $557,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 5,739 | $549,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 4,506 | $546,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 7,963 | $543,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 6,610 | $540,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N824 | VCSHS US EQ INCM | 11,577 | $538,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 10,387 | $534,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 5,004 | $530,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 5,340 | $528,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 7,936 | $523,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 12,412 | $518,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 7,098 | $518,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 6,578 | $515,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 10,188 | $512,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 14,875 | $510,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 5,502 | $505,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 10,283 | $493,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 6,362 | $491,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 2,546 | $487,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 8,525 | $483,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 6,655 | $475,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 12,952 | $471,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 8,019 | $469,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 8,224 | $463,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 5,371 | $452,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 4,980 | $452,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 9,468 | $443,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 65,716 | $442,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 8,248 | $436,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 5,902 | $434,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 14,825 | $429,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 8,735 | $429,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 4,264 | $426,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 3,019 | $426,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 3,139 | $419,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 2,035 | $417,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 9,722 | $411,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 8,499 | $409,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 7,937 | $403,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 8,363 | $394,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 59,716 | $394,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 2,230 | $393,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 2,257 | $393,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 3,515 | $390,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 4,558 | $380,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 5,919 | $376,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 7,456 | $375,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 17,198 | $372,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 5,719 | $371,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,512 | $369,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 18,117 | $369,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 30,268 | $362,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,659 | $356,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 2,480 | $356,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 4,372 | $352,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 2,646 | $350,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 25,753 | $347,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 11,411 | $346,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 2,181 | $344,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 6,945 | $338,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 2,778 | $338,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 4,312 | $332,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 9,259 | $329,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 9,369 | $328,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 22,047 | $327,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 5,961 | $325,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 5,436 | $325,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 8,974 | $322,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 3,758 | $318,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 613 | $316,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 3,554 | $315,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 15,515 | $312,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 6,769 | $312,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 4,856 | $311,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,805 | $310,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,718 | $310,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 6,019 | $308,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 7,723 | $308,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 4,843 | $307,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 3,736 | $305,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 18,936 | $304,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 23,931 | $303,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 63,000 | $300,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 8,343 | $298,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 12,048 | $288,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 3,085 | $284,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 17,836 | $284,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 5,317 | $282,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 3,729 | $275,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 22,763 | $273,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 10,989 | $270,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 4,891 | $268,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 3,349 | $267,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 3,282 | $267,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 4,471 | $267,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 2,611 | $265,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 2,557 | $264,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,419 | $262,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,722 | $257,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 3,104 | $256,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 2,569 | $256,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 2,718 | $256,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 5,965 | $255,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 12,102 | $254,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 1,390 | $249,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 4,088 | $248,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 1,290 | $247,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 3,955 | $242,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 14,492 | $238,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 2,059 | $236,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 3,835 | $230,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 13,700 | $226,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 9,809 | $225,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 11,857 | $223,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 7,738 | $218,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 4,945 | $217,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 1,779 | $215,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 3,855 | $213,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 1,676 | $213,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 584 | $212,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 927 | $212,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 3,352 | $210,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 1,433 | $204,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 1,319 | $203,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 3,147 | $202,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 30,426 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 4,198 | $202,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 2,225 | $200,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 6,851 | $200,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 5,051 | $200,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 4,355 | $200,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 12,325 | $197,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 17,234 | $195,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 12,531 | $173,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 14,947 | $168,000 | thousands by filing date | |
| CORPORATE CAP TR INC | 219880101 | COM | 10,398 | $167,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 23,929 | $166,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 10,651 | $156,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 35,940 | $149,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 10,511 | $145,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 15,385 | $131,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 14,723 | $128,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 13,099 | $128,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 14,742 | $127,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 11,000 | $124,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 11,894 | $117,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 95,000 | $95,000 | thousands by filing date | principal |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 12,339 | $77,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 12,385 | $76,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 14,627 | $70,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 10,000 | $70,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 13,335 | $53,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 45,000 | $45,000 | thousands by filing date | principal |
| QUICKLOGIC CORP | 74837P108 | COM | 25,146 | $44,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 10,000 | $44,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 12,500 | $42,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 35,000 | $35,000 | thousands by filing date | principal |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 11,299 | $34,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 15,800 | $32,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 15,959 | $30,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 10,000 | $10,000 | thousands by filing date | principal |
| Walmart Inc. | 931142103 | COM | 200 | $7,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Vanguard S&P 500 ETF | 922908363 | COM | 1,200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| KROGER CO COM | 501044101 | Stock | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-18-000439 | this filing | 2018-02-09 | acceptance time not in the bulk data set |