13F-HR filed by Apriem Advisors
Apriem Advisors filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 652 holding rows worth $335,535,000.
- Accession
- 0001140361-16-086552
- Filer
- CIK 1425165
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 652 entries on the cover page, a total value of $335,535,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $335,532,000 with VALUE read as thousands by filing date, 13F file number 028-12756. 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 |
|---|---|---|---|---|---|---|
| FEDERAL NATL MTG ASSN | 313586109 | COM | 1,500 | $3,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 29 | $3,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 44 | $3,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 39 | $3,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 200 | $3,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 105 | $3,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 40 | $3,000 | thousands by filing date | |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 25 | $3,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 35 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 35 | $3,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 10 | $3,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 59 | $3,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 70 | $3,000 | thousands by filing date | |
| BIO-TECHNE CORP | 09073M104 | COM | 28 | $3,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 41 | $3,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 100 | $3,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 60 | $3,000 | thousands by filing date | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 49 | $3,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 69 | $3,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 150 | $3,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 44 | $3,000 | thousands by filing date | |
| LVMH MOET HENNESSY LOU FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 502441306 | AMERICAN DEPOSITORY | 91 | $3,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 500 | $3,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 164 | $3,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 358 | $3,000 | thousands by filing date | |
| U.S. BANCORP | 902973866 | Preferred Share | 3 | $3,000 | thousands by filing date | |
| CEN BIOTECH INC F | 15130L104 | FOREIGN CANADIAN | 1,491 | $3,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 238 | $3,000 | thousands by filing date | |
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 19 | $3,000 | thousands by filing date | |
| VCA ANTECH INC | 918194101 | COM | 49 | $3,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 225 | $3,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 1,000 | $3,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 2,000 | $3,000 | thousands by filing date | |
| COMCAST CORP NEW NT 61 | 20030N606 | PREFERR | 100 | $3,000 | thousands by filing date | |
| SHINSEI BANK LTD | J7385L103 | COM | 2,000 | $3,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 200 | $3,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 1,000 | $3,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 50 | $2,000 | thousands by filing date | |
| MTG CORP | 313400301 | COM | 1,500 | $2,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 42 | $2,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 100 | $2,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 35 | $2,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 18 | $2,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 36 | $2,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 16 | $2,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 66 | $2,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 26 | $2,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 22 | $2,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 41 | $2,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 38 | $2,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 49 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 40 | $2,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 50 | $2,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 53 | $2,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 100 | $2,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 10 | $2,000 | thousands by filing date | |
| HENNES AND MAURITZ AB UNSP ADR | 425883105 | COM | 400 | $2,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 39 | $2,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 300 | $2,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 500 | $2,000 | thousands by filing date | |
| NanoTech Entertainment Inc | 63009y203 | CS | 82,323 | $2,000 | thousands by filing date | |
| BROOKFIELD ASS 5.4 PFD | 112585740 | ps | 125 | $2,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 40 | $1,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 12 | $1,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 8 | $1,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 150 | $1,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 8 | $1,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 25 | $1,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 14 | $1,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 315 | $1,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 50 | $1,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 51 | $1,000 | thousands by filing date | |
| NINTENDO LTD FSPONSORED ADR 1 ADR REP 0.25 ORD SHS | 654445303 | Equity | 25 | $1,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 100 | $1,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 134 | $1,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 36 | $1,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 100 | $1,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 22 | $1,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 2,300 | $1,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 75 | $1,000 | thousands by filing date | |
| LIBERTY STAR URANIUM & METAL | 53123T206 | COM | 616,600 | $1,000 | thousands by filing date | |
| Endeavour Mining Corp | G3040R158 | COM | 34 | $1,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH VE | 22539T316 | COM | 30 | $1,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 150 | $1,000 | thousands by filing date | |
| VELOCITYSHARES DAILY 2X VIX SHORT TERM ETN | 22539T274 | ETF | 66 | $1,000 | thousands by filing date | |
| INTL SHIPHOLDI 9.5 PFD | 460321409 | ps | 100 | $1,000 | thousands by filing date | |
| INTL SHIPHOLDING 9 PFD | 460321508 | ps | 100 | $1,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FERRARI N V | N3167Y103 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GAMING & LEISURE P COM | 36467J108 | REIT | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTURYLINK INC | 156700106 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENVIRI CORP | 415864107 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNISYS CORP | 909214306 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RED HAT INC | 756577102 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRYSTALLEX INTL CORP COM NPV | 22942F101 | Equities | 1,590 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREATIVE EDGE NUTRITION INC | 22528W205 | COMMON STOCK | 150,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEABODY ENERGY CORP | 704549203 | COMMON STOCK | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHANCELLOR GROUP INC | 15883D101 | COM | 70,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERITIV CORP | 923454102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Adelphia Commun Cp Clxxx | 006ESC917 | Common | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VAPE HLDGS INC XXX | 91912N105 | COMMON STOCK | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Global Energy Networks Corp | 379382104 | Common / Ordinary Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HAIRMAX INTERNTNL IN XXX | 169382108 | COM | 275 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 567 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPERVALU INC | 868536103 | COM | 85 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Fairpoint Communications Inc/O | 305560104 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIVUS INC | 928551100 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERWAVE TECHNOLOGIES INC | 739363307 | CMN | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USA URANIUM CORP XXX | 91154T109 | cs | 400,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA CGAME INC | 16946P107 | cs | 334 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMERCE ENERGY GROUP | 20061Q106 | cs | 8,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PREMIER LASER SYS A NXXX | 740522107 | cs | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRATEGIC RESOURCES LTD | 862773108 | cs | 5,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| T H Q INC NEW | 872443601 | cs | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DREAM MARKETING INC | 261990352 | cs | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENVEC INC NEW | 37246C307 | cs | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IDNA INC XXX | 45169P106 | cs | 5,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOTORS LIQ CO GUC TRUST | 62010U101 | cs | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENTHOUSE INTL INC | 709640106 | cs | 125,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERLINX INC NEW | 73933F204 | cs | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mirant Corp (Worthless) | 604675991 | COM | 2,156 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VELATEL GLOBAL COMM NEW | 92256R207 | COM | 180 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIME INC NEW | 887228104 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Engility Holdings Inc | 29286C107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Safeway PDC, LLC Contingent Va | 786CVR308 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENRON CAPITAL LLC PFD MIPS 8percent | P37307108 | Preferred | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Solaris Power Cells Inc (NV) | 83416X101 | COM | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAFEWAY RTS CASA LEY CVR | 786CVR209 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EAGLE BULK SHIPPING INC WARRANT | Y2187A135 | WARRANT | 105 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Rizzoli Corriere D Ord | T79823158 | Common | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAS ENERGY COMPANY | 03063G102 | Stock | 7,100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 170 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HEALTHMED SVCS LTD | 422246306 | cs | 489,700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XENONICS HOLDINGS | 984117101 | cs | 16,553 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Lpath Inc | 548910405 | Equities | 143 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DITEM EXPLORATION F | 254920101 | cs | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GASTEM INC F | 36729R104 | cs | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Sandridge Energy Inc | 80007P877 | CONV PFD | 345 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GET REAL USA INC | 37426X105 | cs | 38 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANBORN RESOURCE LTD | 799689104 | cs | 5,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVANCED MED ISOTOPE | 00765X102 | cs | 43,594 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-086552 | this filing | 2016-11-14 | acceptance time not in the bulk data set |