13F-HR filed by Sigma Planning Corp
Sigma Planning Corp filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-07, with 743 holding rows worth $843,471,000.
- Accession
- 0001420506-16-001303
- Filer
- CIK 1449126
- Filed
- 2016-11-07
- 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, 743 entries on the cover page, a total value of $843,471,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $843,471,000 with VALUE read as thousands by filing date, 13F file number 028-16541. 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 |
|---|---|---|---|---|---|---|
| MAGNA INTL INC COM | 559222401 | Stock | 7,330 | $315,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 11,609 | $314,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,868 | $312,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 8,656 | $311,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 8,276 | $311,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 19,019 | $311,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,700 | $310,000 | thousands by filing date | call |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 14,455 | $307,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 3,602 | $306,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 14,922 | $306,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 5,748 | $305,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 17,168 | $304,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 8,294 | $303,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 6,432 | $303,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 1,572 | $301,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 19,629 | $299,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,649 | $298,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 7,205 | $298,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 2,843 | $297,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 9,744 | $297,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 6,400 | $297,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 4,457 | $297,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,817 | $296,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 1,421 | $294,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 6,050 | $294,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 17,115 | $294,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 11,567 | $293,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 3,312 | $292,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 5,355 | $291,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 1,785 | $290,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 12,661 | $288,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 2,244 | $288,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 5,253 | $288,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 15,914 | $283,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 36,865 | $283,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 3,929 | $283,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 9,633 | $281,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,471 | $280,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 20,366 | $280,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 5,088 | $280,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 2,496 | $278,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 4,943 | $277,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 5,068 | $277,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 9,708 | $277,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 5,371 | $276,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 5,809 | $276,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 12,072 | $275,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 2,475 | $273,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 2,576 | $272,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 2,967 | $270,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 19,656 | $269,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 19,045 | $269,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 24,293 | $268,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 6,993 | $264,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 4,514 | $264,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 6,777 | $264,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 2,893 | $264,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 10,718 | $263,000 | thousands by filing date | |
| GRAMERCY PPTY TR COM | 385002100 | Stock | 27,256 | $263,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 7,588 | $262,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 13,539 | $261,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 3,092 | $261,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 2,145 | $260,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 15,853 | $260,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 4,242 | $258,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 11,004 | $258,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,113 | $256,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,594 | $254,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 2,000 | $253,000 | thousands by filing date | put |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 5,332 | $250,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 6,576 | $249,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 8,897 | $249,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 2,006 | $249,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 2,804 | $247,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 15,494 | $247,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 17,326 | $247,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 3,127 | $245,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 3,091 | $245,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 23,102 | $245,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 5,700 | $245,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 14,529 | $245,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 5,832 | $244,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 29,937 | $243,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 21,887 | $242,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 1,556 | $242,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 18,055 | $241,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,120 | $240,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,606 | $240,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 48,342 | $240,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 23,272 | $239,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 15,714 | $239,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 7,112 | $238,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 2,358 | $236,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 6,070 | $236,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 4,700 | $236,000 | thousands by filing date | call |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,825 | $234,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 2,063 | $233,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 18,417 | $233,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 2,976 | $231,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 2,170 | $230,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 2,318 | $229,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 23,746 | $229,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 2,155 | $228,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 3,347 | $227,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 5,669 | $227,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 10,942 | $226,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 8,253 | $226,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 2,615 | $224,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 4,889 | $222,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 3,671 | $222,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 2,275 | $222,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 5,700 | $222,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 2,197 | $221,000 | thousands by filing date | |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 5,014 | $221,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 9,914 | $220,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 6,188 | $220,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 4,708 | $219,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 3,531 | $219,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 7,153 | $219,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 43,909 | $219,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 3,533 | $218,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 2,790 | $218,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 2,442 | $217,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 3,446 | $217,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 13,749 | $217,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 5,093 | $217,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 11,523 | $216,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 1,857 | $215,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 11,558 | $215,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 17,011 | $215,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 21,243 | $215,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 7,714 | $215,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,210 | $214,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 14,546 | $214,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 13,072 | $214,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 5,009 | $212,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 2,000 | $212,000 | thousands by filing date | call |
| BlackRock Muniy Michigan | 09254V105 | Fund | 14,012 | $212,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 3,999 | $211,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 22,170 | $211,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,299 | $209,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,697 | $209,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 5,509 | $209,000 | thousands by filing date | |
| COMMUNICATIONS SALES&LEAS IN | 20341J104 | COM | 6,657 | $209,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 12,530 | $208,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 18,845 | $208,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,065 | $207,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 7,031 | $206,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 3,342 | $205,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 6,929 | $205,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 11,969 | $205,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,562 | $204,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,661 | $203,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 14,386 | $203,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 5,235 | $203,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 9,412 | $203,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 5,932 | $201,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 5,225 | $201,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 12,676 | $200,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 14,128 | $200,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 13,228 | $199,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 15,519 | $199,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 10,089 | $194,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 21,878 | $191,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 18,356 | $190,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 17,417 | $189,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 14,342 | $189,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 45,257 | $188,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 11,420 | $186,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 13,350 | $185,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 31,649 | $185,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 10,980 | $184,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 11,799 | $183,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 16,639 | $183,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 12,000 | $182,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 11,011 | $182,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 20,988 | $179,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 15,255 | $179,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 14,870 | $172,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 15,476 | $171,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 10,611 | $165,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 14,563 | $158,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 15,300 | $158,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 12,620 | $156,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 24,729 | $155,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 16,119 | $155,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 15,130 | $153,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 19,402 | $151,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 11,010 | $149,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 13,978 | $147,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 13,267 | $143,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 11,370 | $143,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 33,290 | $139,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 10,059 | $139,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 11,808 | $137,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 13,200 | $137,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 35,690 | $135,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 16,499 | $132,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 15,424 | $132,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 23,241 | $129,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 19,358 | $125,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 15,857 | $125,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 10,537 | $124,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 10,578 | $113,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 13,907 | $111,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 11,043 | $111,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 27,972 | $110,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 12,195 | $107,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 10,400 | $102,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 12,821 | $96,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 40,300 | $96,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 15,844 | $95,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 11,000 | $94,000 | thousands by filing date | call |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 12,414 | $87,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 10,025 | $86,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 19,777 | $85,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 14,514 | $84,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 30,359 | $82,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 80,000 | $79,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 12,536 | $74,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 14,450 | $73,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 70,000 | $72,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 11,012 | $70,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 11,090 | $66,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 11,200 | $65,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 16,139 | $60,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 10,398 | $57,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 11,800 | $51,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 21,000 | $47,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 17,584 | $45,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 45,000 | $43,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 13,050 | $37,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 10,000 | $30,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 16,038 | $29,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 13,000 | $28,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 30,000 | $28,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 14,417 | $26,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 10,550 | $18,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 17,094 | $15,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 33,260 | $15,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 10,000 | $14,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 10,000 | $10,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 16,500 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-16-001303 | this filing | 2016-11-07 | acceptance time not in the bulk data set |