13F-HR filed by Summit X, LLC
Summit X, LLC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-01, with 230 holding rows worth $203,659,000.
- Accession
- 0001085146-18-002459
- Filer
- CIK 1697729
- Filed
- 2018-11-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 230 entries on the cover page, a total value of $203,659,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $203,659,000 with VALUE read as thousands by filing date, 13F file number 028-18119. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 41,934 | $12,277,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 27,809 | $6,288,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 90,827 | $5,806,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 93,169 | $4,623,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 133,791 | $4,511,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 119,216 | $4,225,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 208,273 | $4,201,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 35,810 | $4,117,000 | thousands by filing date | |
| IJH | 464287507 | COM | 19,872 | $3,985,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2,836 | $3,403,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 9,738 | $3,384,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 64,208 | $3,341,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 54,512 | $3,298,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 16,051 | $2,809,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 13,844 | $2,795,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 15,298 | $2,711,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 22,338 | $2,672,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 21,944 | $2,668,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 226,187 | $2,637,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 21,734 | $2,631,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 11,823 | $2,625,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 22,574 | $2,615,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 68,808 | $2,593,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 98,500 | $2,368,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 38,645 | $2,199,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 13,997 | $2,110,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 23,708 | $2,062,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 16,184 | $1,923,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 21,540 | $1,811,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 35,101 | $1,707,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 27,870 | $1,645,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 14,546 | $1,565,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 31,809 | $1,527,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 5,496 | $1,467,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 16,797 | $1,428,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 22,949 | $1,397,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 8,430 | $1,389,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 16,706 | $1,364,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 26,950 | $1,263,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 5,802 | $1,240,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 109,178 | $1,230,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 10,312 | $1,224,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 13,863 | $1,130,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 9,179 | $1,066,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 8,975 | $1,026,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 14,053 | $997,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 18,056 | $963,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 4,649 | $961,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 2,696 | $929,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 36,795 | $885,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 26,189 | $866,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 7,323 | $856,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 27,663 | $854,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 3,169 | $852,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 6,148 | $852,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 64,340 | $852,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 18,908 | $834,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 23,498 | $830,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 8,561 | $808,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 403 | $806,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 5,202 | $805,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 5,586 | $800,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 8,767 | $791,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 7,509 | $754,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 613 | $736,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 6,534 | $736,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 3,544 | $726,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 2,875 | $704,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 4,146 | $697,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 13,187 | $696,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 15,415 | $690,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 6,055 | $679,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 12,134 | $678,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 15,820 | $670,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 14,149 | $668,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 9,119 | $660,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 9,372 | $656,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 9,115 | $646,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 7,794 | $633,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 10,058 | $633,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 11,198 | $617,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 9,391 | $608,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 1,625 | $604,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 3,127 | $600,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 9,276 | $598,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 6,325 | $595,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 3,395 | $592,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 10,985 | $587,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 8,001 | $586,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 7,772 | $581,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 7,507 | $581,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 2,455 | $578,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 11,414 | $572,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 3,423 | $571,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 5,960 | $568,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 3,466 | $567,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,753 | $558,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,194 | $558,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 3,329 | $557,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 11,300 | $545,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 4,712 | $542,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 37,605 | $537,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 3,068 | $524,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 5,890 | $522,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 3,342 | $521,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 4,254 | $519,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 10,760 | $511,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 12,735 | $506,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 8,094 | $498,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 13,316 | $493,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 2,941 | $493,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 6,434 | $493,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 7,797 | $493,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 22,068 | $491,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 2,443 | $488,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 2,966 | $482,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 2,318 | $466,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 6,820 | $456,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 6,565 | $450,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 4,970 | $450,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 15,785 | $450,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 5,835 | $448,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 4,365 | $439,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 11,652 | $437,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,166 | $433,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 5,840 | $430,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 14,921 | $430,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 9,011 | $430,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 9,282 | $429,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,613 | $429,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 31,260 | $429,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 15,655 | $428,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 3,515 | $427,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 9,776 | $423,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 6,155 | $416,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 8,646 | $416,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 3,715 | $413,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 5,800 | $405,000 | thousands by filing date | |
| HEALTHCARE | 42225P501 | CL A NEW | 15,170 | $404,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 4,345 | $403,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 14,846 | $403,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 5,882 | $401,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 13,299 | $395,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 3,455 | $391,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 4,406 | $390,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 22,260 | $385,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 10,200 | $385,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 3,166 | $382,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 11,376 | $382,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 2,323 | $377,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 4,203 | $368,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 6,780 | $358,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 974 | $357,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 6,790 | $356,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 5,296 | $353,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 14,020 | $347,000 | thousands by filing date | |
| VTI | 922908769 | COM | 2,287 | $343,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 2,519 | $341,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 2,523 | $339,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 167 | $334,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 2,903 | $328,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 2,526 | $326,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,949 | $321,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 5,745 | $320,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 6,023 | $320,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 1,716 | $318,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,792 | $317,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 4,673 | $314,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 17,320 | $314,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 6,028 | $313,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 3,025 | $313,000 | thousands by filing date | |
| CORPORATE CAP TR INC | 219880101 | COM | 20,515 | $313,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 3,954 | $312,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 20,941 | $312,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 3,585 | $311,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 2,295 | $308,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 5,783 | $306,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 7,560 | $305,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 2,405 | $304,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 3,263 | $294,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 2,440 | $292,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 5,733 | $287,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 17,611 | $276,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 1,775 | $271,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 2,710 | $268,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 4,093 | $266,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 1,070 | $259,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 2,589 | $258,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 2,394 | $254,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 5,330 | $254,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 3,373 | $250,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 6,120 | $250,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 1,650 | $249,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 2,242 | $249,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,229 | $249,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 2,869 | $248,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 2,352 | $247,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,542 | $235,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 11,120 | $234,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 5,323 | $232,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 6,923 | $231,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 837 | $230,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 2,319 | $220,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,037 | $217,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 3,368 | $209,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 2,200 | $208,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 5,251 | $206,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 6,131 | $204,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 78,195 | $183,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 16,793 | $177,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 15,087 | $161,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 10,165 | $161,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 11,947 | $152,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 11,717 | $141,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 10,449 | $135,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 20,900 | $131,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 52,709 | $53,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 24,500 | $52,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 17,000 | $40,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2,800 | $34,000 | thousands by filing date | put |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 29,300 | $30,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 35,000 | $26,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 200 | $20,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 11,000 | $7,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 1,500 | $4,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 400 | $3,000 | thousands by filing date | call |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,700 | $2,000 | thousands by filing date | call |
| OPHTHOTECH CORP | 683745103 | COM | 5,000 | $2,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 10,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NEURONETICS INC | 64131A105 | COM | 197,395 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-18-002459 | this filing | 2018-11-01 | acceptance time not in the bulk data set |