13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-01-17, with 1,742 holding rows worth $1,058,037,000.
- Accession
- 0001415889-20-000112
- Filer
- CIK 1418539
- Filed
- 2020-01-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 1,743 entries on the cover page, a total value of $1,058,037,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,058,037,000 with VALUE read as thousands by filing date, 13F file number 028-17012. 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 |
|---|---|---|---|---|---|---|
| ACTIVISION INC | 004930202 | EQUS | 63 | $4,000 | thousands by filing date | |
| STATE STREET C 5.9 PFDPFD SER D | 857477608 | COM | 142 | $4,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW | 7591EP506 | COM | 130 | $4,000 | thousands by filing date | |
| INVSC 7.75 FX FL SRS B CUM RDM PRF | 46131B407 | COM | 150 | $4,000 | thousands by filing date | |
| CORTS TR JCP 7.625per PFD BACKED TR SECS DUE 3/1/97 | 220803100 | Preferred | 700 | $4,000 | thousands by filing date | |
| WALMART INC | 931142EK5 | COM | 4,000 | $4,000 | thousands by filing date | |
| MCDONALD'S CORP | 58013MEM2 | CORPORATE BONDS | 4,000 | $4,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 400 | $4,000 | thousands by filing date | |
| SUNSTONE HOTEL INVESTORS, INC. 6.95 PFD E | 867892606 | Preferred | 150 | $4,000 | thousands by filing date | |
| TD AMERITRADE HOL | 87236YAF5 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| MICROSOFT CORP | 594918CA0 | Convertible/ | 3,000 | $4,000 | thousands by filing date | |
| MORGAN STANLEY (VARIABLE) | 61760QEP5 | Convertible/ | 7,000 | $4,000 | thousands by filing date | |
| QUALCOMM INC | 747525AT0 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| INTL BK RECON & | 459058DX8 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| US TREASUR NT | 9128283Z1 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| BNSF, LLC | 12189LAQ4 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| BP CAPITAL MKT | 05565QBU1 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| MOODY'S CORP | 615369AG0 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| OCCIDENTAL PETROL | 674599BY0 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| WALMART INC. | 931142CU5 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| AT&T INC. | 00206RDB5 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017CQ0 | COM | 4,000 | $4,000 | thousands by filing date | |
| MCDONALDS CORP | 58013MFA7 | Convertible/ | 3,000 | $4,000 | thousands by filing date | |
| Costamare Inc. Pfd | Y1771G136 | Equities | 150 | $4,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 93 | $3,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 28 | $3,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 41 | $3,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 61 | $3,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 400 | $3,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 30 | $3,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 60 | $3,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 50 | $3,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 170 | $3,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 18 | $3,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 213 | $3,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 52 | $3,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 25 | $3,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 32 | $3,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 56 | $3,000 | thousands by filing date | |
| FORTINET INC | 34959E113 | COM | 25 | $3,000 | thousands by filing date | |
| HITACHI LTD | 433578507 | COM | 41 | $3,000 | thousands by filing date | |
| WOLTERS KLUWER N V SPONSORED A | 977874205 | COM | 40 | $3,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 200 | $3,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 400 | $3,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 87 | $3,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 540 | $3,000 | thousands by filing date | |
| SYSMEX COR | 87184P109 | USD | 100 | $3,000 | thousands by filing date | |
| Keyence Corp | J32491102 | Common Stock | 8 | $3,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 38 | $3,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 94 | $3,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 62 | $3,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 150 | $3,000 | thousands by filing date | |
| ATLAS ENERGY LP | 04930A104 | COM UNITS LP | 268 | $3,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 812 | $3,000 | thousands by filing date | |
| PRUDENTIAL FINANCIAL INC | 744320706 | PRF | 118 | $3,000 | thousands by filing date | |
| PREFERREDPLUS TR | 740434881 | PRF | 300 | $3,000 | thousands by filing date | |
| LADENBURG THALMANN FINL 8% SER | 50575Q201 | PFD | 100 | $3,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 400 | $3,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 289 | $3,000 | thousands by filing date | |
| WELLS FARGO 6.625 PFD PFD SER | 949746465 | PFD | 115 | $3,000 | thousands by filing date | |
| WILLIS TOWERS W | 97063PAB0 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| US TREASURY | 912828PX2 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| MANUF TRADERS 1.35975 12/28/20 | 564759PS1 | CORPORATE BONDS AND NOTES | 3,000 | $3,000 | thousands by filing date | |
| THE COCA-COLA CO | 191216AR1 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| US TREASU NT | 9128284Y3 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| NEWMONT GOLDCORP | 651639AN6 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| US TREASURY | 912810PW2 | Convertible/ | 2,000 | $3,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 9 | $2,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 7 | $2,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 52 | $2,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 34 | $2,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 50 | $2,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 58 | $2,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 190 | $2,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 15 | $2,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 50 | $2,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 15 | $2,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 20 | $2,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 140 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 33 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 92 | $2,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 5 | $2,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 67 | $2,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 40 | $2,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 17 | $2,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 34 | $2,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 40 | $2,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 100 | $2,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 34 | $2,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 20 | $2,000 | thousands by filing date | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 75 | $2,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 30 | $2,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 72 | $2,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 475 | $2,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 51 | $2,000 | thousands by filing date | |
| UBS AG | H89231338 | SHS | 171 | $2,000 | thousands by filing date | |
| VINCI SA ADR | 927320101 | ADR | 75 | $2,000 | thousands by filing date | |
| Carlsberg As | 142795202 | Equity | 65 | $2,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 1,000 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 40 | $2,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 50 | $2,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 400 | $2,000 | thousands by filing date | |
| RENAISSANCERE HOLDINGS 5.375% | G7498P119 | PUBLIC | 93 | $2,000 | thousands by filing date | |
| GENERAL ELECTRI 587538 DUE 011438 | 36962G3P7 | Treas | 2,000 | $2,000 | thousands by filing date | |
| GASLOG PAR 10.1384 PFDPFD SER B | Y2687W124 | PREFERRED STOCK | 100 | $2,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC | 620076ah2 | FIXED | 2,000 | $2,000 | thousands by filing date | |
| Ferguson PLC ADR | 31502A204 | ADR | 236 | $2,000 | thousands by filing date | |
| JPMORGAN CHASE & CO (VARIABLE) | 46647PAV8 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| Ntnl Rural Utili | 637432BS3 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| ALPHABET INC. | 38259PAB8 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| CITIGROUP INC (VARIABLE) | 172967LP4 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| CNA FINL CORP | 126117AE0 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| CONEJO VY CA USD | 206849FE6 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| PNC FDG CORP GTD FIXED RT NT 4.375percentage 08/11/20 | 693476BL6 | B | 2,000 | $2,000 | thousands by filing date | |
| LOS ANGELES CA MUNI | 544587F60 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| Fresno Ca Wtr Sys | 358240FY0 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| Petaluma Ca Jusd | 715875UW8 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| Trinity Ca Util Dis | 89656BAK1 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| MS STRUCTURED ASSE PFD | 80412E210 | Equities | 300 | $2,000 | thousands by filing date | |
| Umh Properties, Pfd | 903002301 | Equities | 66 | $2,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 25 | $1,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 21 | $1,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 200 | $1,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 77 | $1,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 41 | $1,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 17 | $1,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 17 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 41 | $1,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 61 | $1,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 10 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 25 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 20 | $1,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 100 | $1,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 15 | $1,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 50 | $1,000 | thousands by filing date | |
| KONTOOR BRANDS INC | 50050N103 | COM | 15 | $1,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 25 | $1,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 15 | $1,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 43 | $1,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 29 | $1,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 125 | $1,000 | thousands by filing date | |
| STANDARD LITHIUM CORP COM | 853606101 | Stock | 1,000 | $1,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 215 | $1,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 1,014 | $1,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 14 | $1,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 33 | $1,000 | thousands by filing date | |
| CITIGROUP CAPITAL 7.875 XIII | 173080201 | PREFERR | 45 | $1,000 | thousands by filing date | |
| ARKEMA SPO | 041232109 | USD | 5 | $1,000 | thousands by filing date | |
| Indiva Limited | 45580J101 | COM | 3,000 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 20 | $1,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E112 | COM | 20 | $1,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 161 | $1,000 | thousands by filing date | |
| REINSURANCE GROUP OF AMERICA | 759351703 | PFD | 51 | $1,000 | thousands by filing date | |
| PUBLIC STORAGE 5.20% SERIES X | 74460W107 | PREFERR | 27 | $1,000 | thousands by filing date | |
| FINOVA GROUP INC COM | 317928109 | COM | 10 | $1,000 | thousands by filing date | |
| FSD PHARMA INC | 35954B206 | CL B SUB VTG | 161 | $1,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 50 | $1,000 | thousands by filing date | |
| TRUIST FINL CORP DEPSHS | 89832q851 | CV PFD | 51 | $1,000 | thousands by filing date | |
| Saugus California U | 804237AW5 | Convertible/ | 1,000 | $1,000 | thousands by filing date | |
| ERICSSON TEL | 298421608 | Equities | 100 | $1,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KROGER CO COM | 501044101 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COTERRA ENERGY INC COM | 127097103 | Stock | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVANSIX INC | 00773T101 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONDUENT INC | 206787103 | COM | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RMR GROUP INC | 74967R106 | CL A | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCH TRADED FD III | 33739E112 | PFD SECS INC ETF | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| E DIGITAL CORPORATN | 26841y103 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPRINT CORP | 85207U105 | COM SER 1 | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THORNBURG MORTGAGE INC | 885218800 | COMMON STOCK | 165 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WASHINGTON MUTUAL INC COMMON | 939ESC968 | COMMON STOCK | 3,100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTEL NETWORKS CORP | 656568508 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Anglogold Ashanti Plc | 035128206 | Common | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| California Grapes International Inc | 130266109 | Common Stock | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| mPhase Technologies Inc | 62472C201 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTABA INC | 021346101 | COM | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VASO CORP COM | 92233F102 | COM | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNATIONAL PWR GROUP LTD | 46018A100 | COM | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Notis Global Inc | 66980B100 | Common / Ordinary Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BROTHE | 525ESC711 | ESC | 92 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TELECOMUNICACOES DE SAO PAUL | 87929A102 | SPON ADR PFD | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEAN FOODS CO NEW | 242370104 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 5,516 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ECOTALITY INC | 27922Y202 | COM NEW | 833 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYPERDYNAMICS CORP | 448954206 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEL OFFSHORE TRUST | 872382106 | MUTUAL FUNDS - | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABAKAN INC | 00258J107 | COM | 50,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Conseco Inc | 208464883 | com | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Cv Sciences Inc Com | 126654102 | COM | 333 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMR Corp Escrow | 001ESC102 | COM | 1,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN BATTERY TECHNOLOGY COM NEW | 02451V101 | Stock | 8,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Linnco LLC XXX Escrow Pending Possible | 535ESC107 | COM | 780 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Terra Tech Corp | 88102J209 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Seventy Seven Energy-Escrow | 818ESC998 | COM | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CPI CARD GROUP INC | 12634H101 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VITRO TECH | 92851M108 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACTUA CORPORATION | 005094107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACHAOGEN INC | 004449104 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALCOA INC | 013817200 | Equities | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITY ONE CAPITAL | 913991006 | Equities | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BROS HLDGS | 525ESCGU7 | Convertible/ | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESECURESOFT CO | 296423106 | Equities | 148 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPECTRA7 MICROSYSTEMS INC | 84761T109 | Equities | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXPRISE INC | 65333Q202 | Equities | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUIDAO HLDG CORP | 229905302 | Equities | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RENTECH NITROGEN LP XXX | 760ESC996 | PFDs, REITs, | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YELLOW MEDIA INC 22 WTS | 985572114 | Equities | 827 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BRO HLDG PFD | 05252E204 | PFDs, REITs, | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Africo Resources Ltd Xxx | 008ESC998 | PFDs, REITs, | 249 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDEN ARCH RESOURCES | 38079K101 | Equities | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVANT DIAGNOSTICS INC | 05350M106 | Equities | 91,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COUGAR OIL & GAS CANADA INC | 22208A101 | Equities | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS 8.25XXXESCROW P | 370escbw4 | COM | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS CORP 9.25 | 370ESC9S6 | PFDs, REITs, | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALPINE 4 TECHNOLOGIES | 020992749 | Equities | 2,220 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREEN ENERGY GROUP INC | 393036108 | Equities | 165 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MYZIPSOFT INC | 628703100 | Equities | 311 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORBIT BRANDS CORP | 68556C108 | Equities | 100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AAB NATIONAL CO | 000303107 | Equities | 181 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATRIOT GOLD CORP | 70337F103 | Equities | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORE MED GROUP INC | 218684108 | Equities | 146 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HERITAGE GLOBAL INC | 42727E107 | Equities | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPER DEAL COM INC | 00210R106 | Equities | 153 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USA PERFORMANCE PRODUCTS INC | 90341L102 | Equities | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USAS DIGITAL INC | 90341K104 | Equities | 162 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLASSIFIED AD INC | 00089Y109 | Equities | 156 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN CAPITAL HOLDINGS | 02503V109 | Equities | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLARIS RESOURCES INC | 83419D102 | Equities | 711 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Lehman Brothers 2xxx | 525ESC752 | Equities | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Algae Biosciences Co | 01551T107 | Equities | 12,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mgx Renewables Inc | 59325P108 | Equities | 167 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC BLUE ENERGY CORP | 69404A104 | Equities | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-20-000112 | this filing | 2020-01-17 | acceptance time not in the bulk data set |