13F-HR filed by NorthRock Partners, LLC
NorthRock Partners, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-12, with 207 holding rows worth $733,527,000.
- Accession
- 0001085146-19-002859
- Filer
- CIK 1632097
- Filed
- 2019-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 207 entries on the cover page, a total value of $733,527,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $733,527,000 with VALUE read as thousands by filing date, 13F file number 028-16755. 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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 310,562 | $92,574,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 195,151 | $31,152,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 91,448 | $27,299,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 280,212 | $26,385,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 201,989 | $25,907,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 280,869 | $24,922,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 282,167 | $21,713,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 219,227 | $20,772,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 637,573 | $20,377,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 358,341 | $19,925,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 105,088 | $14,854,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 136,685 | $14,613,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 344,585 | $13,401,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 229,490 | $11,452,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 50,473 | $11,304,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 125,707 | $11,276,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 66,521 | $11,061,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 262,939 | $10,900,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 73,315 | $10,785,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 188,318 | $10,536,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 201,962 | $10,365,000 | thousands by filing date | |
| VTI | 922908769 | COM | 67,349 | $10,170,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 124,279 | $9,674,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 92,934 | $9,542,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 136,519 | $9,156,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 51,269 | $9,145,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 147,287 | $9,023,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 54,382 | $8,168,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 104,260 | $7,640,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 126,500 | $7,538,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 137,917 | $7,409,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 1,122,220 | $6,755,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 81,915 | $6,595,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 200,871 | $6,175,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 66,799 | $5,640,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 134,092 | $5,074,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 97,116 | $4,913,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 42,206 | $4,910,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 40,761 | $4,874,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 81,674 | $4,851,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 71,241 | $4,750,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 41,740 | $4,520,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 46,846 | $3,973,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 94,847 | $3,918,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 65,714 | $3,866,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 134,683 | $3,762,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 70,184 | $3,681,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 32,309 | $3,662,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 69,673 | $3,590,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 25,643 | $3,565,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 24,330 | $3,148,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 50,535 | $3,050,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 14,517 | $3,020,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 22,777 | $2,833,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 23,847 | $2,807,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 57,767 | $2,736,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 22,277 | $2,642,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 23,479 | $2,409,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 6,314 | $2,402,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 126,327 | $2,354,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 75,498 | $2,158,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,159 | $2,012,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 23,454 | $1,776,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,417 | $1,730,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 10,079 | $1,705,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 34,291 | $1,694,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 11,901 | $1,632,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 7,509 | $1,612,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 16,358 | $1,525,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 10,677 | $1,391,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 19,508 | $1,377,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 22,281 | $1,376,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 15,499 | $1,356,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 9,922 | $1,355,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 13,181 | $1,344,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 8,084 | $1,329,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 4,839 | $1,319,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 8,556 | $1,262,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 5,415 | $1,256,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 8,577 | $1,247,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 5,559 | $1,222,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 56,047 | $1,135,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 12,931 | $1,082,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 25,922 | $1,044,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 27,860 | $1,001,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 7,515 | $971,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 7,645 | $945,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 21,856 | $929,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 16,636 | $906,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 4,052 | $881,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 9,691 | $857,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 7,055 | $793,000 | thousands by filing date | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 11,579 | $771,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 11,088 | $766,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 11,596 | $735,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 219,257 | $735,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 4,604 | $729,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 4,029 | $726,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 8,056 | $721,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 15,899 | $717,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 576 | $702,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 15,213 | $676,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 12,392 | $652,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 12,168 | $649,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 4,623 | $648,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 4,276 | $647,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 7,507 | $636,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 17,911 | $634,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 3,298 | $623,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 1,751 | $620,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 1,582 | $617,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 37,398 | $611,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 7,132 | $593,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 52,132 | $593,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 7,298 | $592,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 5,436 | $591,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 4,125 | $588,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 16,681 | $585,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 2,088 | $576,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 3,540 | $576,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 10,441 | $561,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 11,281 | $553,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 5,798 | $545,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 4,984 | $544,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 17,942 | $541,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 36,608 | $522,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 11,151 | $521,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 2,002 | $495,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 9,384 | $485,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 9,877 | $481,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 3,125 | $463,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,910 | $459,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 1,969 | $459,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 7,541 | $436,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 18,916 | $424,000 | thousands by filing date | |
| IJH | 464287507 | COM | 2,188 | $423,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 7,553 | $418,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 5,370 | $396,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 3,386 | $383,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 9,966 | $379,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 1,986 | $362,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,053 | $361,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,350 | $361,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,200 | $356,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 7,024 | $354,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 6,359 | $353,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 3,972 | $353,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 14,976 | $353,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 2,041 | $351,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 7,833 | $351,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 21,688 | $343,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 3,114 | $342,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 5,295 | $334,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 2,992 | $332,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 7,391 | $329,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 866 | $325,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 1,650 | $324,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,799 | $320,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L508 | DIVERSIFID FXD | 15,400 | $320,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 2,464 | $317,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 8,521 | $313,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $312,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 3,135 | $311,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 4,747 | $310,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 34,351 | $307,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,055 | $304,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 4,101 | $301,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 10,234 | $299,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 3,414 | $297,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 3,957 | $296,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 2,476 | $294,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 3,069 | $292,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,729 | $289,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 4,400 | $287,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 6,919 | $283,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 5,085 | $280,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,641 | $275,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,414 | $274,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 4,972 | $274,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 2,097 | $270,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 5,255 | $266,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 2,226 | $265,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 4,659 | $250,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,289 | $248,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 17,283 | $244,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 1,109 | $234,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 1,710 | $233,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 4,082 | $228,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 6,753 | $227,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 2,326 | $223,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 12,930 | $220,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 4,461 | $218,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 5,988 | $217,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,042 | $216,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 1,594 | $212,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 2,058 | $211,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 5,069 | $208,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 1,510 | $204,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 2,843 | $202,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 62,055 | $198,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 21,100 | $193,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 10,719 | $134,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 30,000 | $122,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 13,089 | $120,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 35,461 | $113,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 13,879 | $61,000 | thousands by filing date | |
| VERB TECHNOLOGY CO INC | 92337U112 | *W EXP 04/09/202 | 52,500 | $19,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002859 | this filing | 2019-11-12 | acceptance time not in the bulk data set |