13F-HR filed by Sigma Planning Corp
Sigma Planning Corp filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-01-23, with 735 holding rows worth $914,913,000.
- Accession
- 0001420506-17-000023
- Filer
- CIK 1449126
- Filed
- 2017-01-23
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 735 entries on the cover page, a total value of $914,913,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $914,913,000 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 |
|---|---|---|---|---|---|---|
| Chubb Limited | H1467J104 | COM | 2,474 | $327,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 9,033 | $325,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,707 | $322,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 7,727 | $321,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 4,646 | $320,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 3,376 | $318,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 6,876 | $316,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 17,558 | $315,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 6,220 | $314,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 3,930 | $313,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 14,921 | $313,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 2,823 | $311,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 14,922 | $311,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 3,007 | $309,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 10,316 | $307,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 9,159 | $307,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 3,980 | $305,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 23,905 | $304,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 3,562 | $303,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 6,073 | $302,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 6,931 | $301,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 2,850 | $300,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 7,570 | $300,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 5,093 | $299,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 22,795 | $299,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 17,188 | $298,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 12,816 | $297,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 3,262 | $296,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 8,242 | $295,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 6,458 | $295,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,263 | $294,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 2,216 | $293,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 3,104 | $293,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 11,058 | $293,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 25,547 | $291,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 2,504 | $289,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 19,998 | $288,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 3,109 | $288,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 12,250 | $287,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 2,640 | $286,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 3,748 | $284,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 1,933 | $282,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 11,278 | $281,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 4,631 | $280,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 2,097 | $278,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 6,434 | $277,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 17,747 | $277,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 29,370 | $276,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 6,709 | $275,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 4,515 | $275,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 5,475 | $275,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 12,718 | $275,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 18,435 | $275,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 3,101 | $272,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 9,056 | $272,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 15,033 | $271,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 11,107 | $270,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,285 | $270,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 2,880 | $269,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 6,774 | $268,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 22,014 | $268,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 6,638 | $268,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 10,283 | $267,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 2,064 | $266,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 18,214 | $266,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 3,389 | $264,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 10,836 | $263,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 17,113 | $263,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,449 | $259,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 10,350 | $259,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 16,793 | $257,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 4,444 | $253,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 4,652 | $252,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 6,694 | $250,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 4,081 | $249,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 23,956 | $248,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 6,350 | $244,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 24,158 | $244,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 10,896 | $244,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 5,149 | $243,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 2,486 | $240,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 3,365 | $239,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 14,052 | $239,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 5,376 | $238,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 9,440 | $238,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 5,996 | $237,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 6,727 | $234,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 3,638 | $233,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 5,961 | $233,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 7,589 | $233,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 2,617 | $232,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 2,967 | $231,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,313 | $231,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 2,863 | $231,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,000 | $230,000 | thousands by filing date | call |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 67,490 | $229,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 1,096 | $228,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 3,461 | $227,000 | thousands by filing date | |
| NEOGEN CORP | 640491106 | COM | 3,423 | $226,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 7,109 | $225,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 6,270 | $225,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 16,464 | $224,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,563 | $223,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 31,775 | $223,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 6,543 | $222,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 2,022 | $222,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 6,172 | $221,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 18,225 | $221,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 2,662 | $220,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 24,040 | $219,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 9,707 | $218,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,138 | $216,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 3,698 | $215,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 5,683 | $215,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 13,725 | $215,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 20,836 | $213,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 11,344 | $213,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 2,623 | $213,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 5,700 | $213,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 10,845 | $212,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 15,900 | $212,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 13,011 | $212,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 10,995 | $212,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 16,715 | $211,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 2,017 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 7,768 | $210,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 7,532 | $210,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 8,505 | $210,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 1,993 | $209,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,800 | $208,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 3,184 | $208,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 10,076 | $208,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 8,716 | $208,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 4,431 | $206,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 12,185 | $206,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,542 | $205,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 140 | $205,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 3,074 | $204,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 13,387 | $204,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 4,321 | $203,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 7,514 | $203,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 3,189 | $202,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 24,729 | $202,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 2,964 | $201,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 6,583 | $201,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 3,385 | $201,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 4,534 | $200,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 6,985 | $200,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 20,008 | $200,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 15,665 | $197,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 18,055 | $196,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 12,218 | $195,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 10,688 | $194,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,011 | $191,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 10,304 | $191,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 14,795 | $191,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 19,008 | $190,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 12,862 | $189,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 15,698 | $187,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 13,303 | $186,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 10,498 | $186,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 10,295 | $186,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 10,642 | $184,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 21,154 | $184,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 21,703 | $182,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 39,009 | $182,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 10,034 | $181,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 28,469 | $180,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 13,268 | $179,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 13,014 | $179,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 15,300 | $175,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 18,184 | $174,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 14,630 | $174,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,996 | $173,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 45,412 | $173,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 18,326 | $173,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 15,695 | $167,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 10,902 | $165,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 48,216 | $163,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 10,937 | $154,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 19,720 | $152,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 33,752 | $150,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 16,895 | $148,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 18,419 | $147,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 11,134 | $146,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 15,624 | $127,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 10,718 | $127,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 12,388 | $119,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 16,779 | $116,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 10,633 | $115,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 10,976 | $104,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 10,500 | $103,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 40,300 | $98,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 14,742 | $97,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 12,331 | $95,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 11,080 | $92,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,118 | $91,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 121,713 | $91,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 12,576 | $90,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 11,635 | $89,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 28,878 | $89,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 16,573 | $88,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 16,637 | $87,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 12,824 | $85,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 51,381 | $85,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 10,438 | $80,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 27,553 | $80,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 80,000 | $78,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 14,569 | $75,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 11,200 | $74,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 10,476 | $72,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 70,000 | $72,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 16,389 | $67,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 11,800 | $65,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 11,578 | $62,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 10,690 | $61,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 15,450 | $60,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 17,789 | $50,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 17,495 | $47,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 12,650 | $44,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 13,132 | $41,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 12,772 | $41,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 21,000 | $41,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 13,000 | $37,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 20,259 | $35,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 10,000 | $35,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 16,038 | $28,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 25,000 | $23,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 17,850 | $19,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 10,000 | $10,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 10,000 | $10,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 12,804 | $9,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 22,030 | $7,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 20,193 | $6,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 10,995 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-17-000023 | this filing | 2017-01-23 | acceptance time not in the bulk data set |