13F-HR filed by Sheaff Brock Investment Advisors, LLC
Sheaff Brock Investment Advisors, LLC filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-17, with 669 holding rows worth $882,937,000.
- Accession
- 0001606587-16-000491
- Filer
- CIK 1666789
- Filed
- 2016-02-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 855 entries on the cover page, a total value of $882,937,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $882,937,000 with VALUE read as thousands by filing date, 13F file number 028-17380. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerHorizon Investments, LLC028-15165
- included managerHorizon Investments, LLC028-15165
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 |
|---|---|---|---|---|---|---|
| TRIANGLE CAP CORP | 895848109 | COM | 11,005 | $210,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 144,127 | $209,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 18,530 | $208,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 37,500 | $207,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 8,000 | $206,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 30,023 | $203,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 10,708 | $203,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 21,308 | $203,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 1,689 | $202,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 2,681 | $202,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 6,224 | $201,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 16,210 | $201,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 5,963 | $200,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 12,787 | $198,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 14,400 | $196,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 27,206 | $195,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 85,330 | $195,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 14,412 | $194,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 18,405 | $194,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 11,627 | $193,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 23,917 | $192,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 46,995 | $191,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 10,830 | $187,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 37,813 | $184,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 18,455 | $184,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 14,704 | $181,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 25,300 | $180,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 11,100 | $180,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 138,293 | $179,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 14,961 | $177,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 10,896 | $177,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 14,013 | $174,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 15,416 | $173,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 38,485 | $173,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 13,029 | $173,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 19,719 | $172,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 12,751 | $171,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 160,250 | $170,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 15,500 | $162,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 24,300 | $162,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 12,900 | $161,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 60,994 | $161,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 18,378 | $160,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 15,600 | $160,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 11,089 | $159,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 11,240 | $159,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 12,530 | $158,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 29,600 | $156,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 11,291 | $156,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 11,212 | $155,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 22,533 | $155,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 13,500 | $154,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 11,930 | $152,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 24,800 | $151,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 10,705 | $149,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 19,457 | $148,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 11,941 | $148,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 40,747 | $148,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 28,742 | $141,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 14,218 | $139,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 13,901 | $139,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 10,606 | $138,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 10,072 | $138,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 13,800 | $128,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 22,651 | $126,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 11,500 | $126,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 65,691 | $124,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 12,106 | $123,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 21,002 | $120,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 10,000 | $119,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 16,900 | $118,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 26,800 | $113,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 320,000 | $113,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 11,807 | $113,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 11,000 | $112,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 11,193 | $111,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 30,182 | $111,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 13,143 | $109,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 13,666 | $108,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 14,200 | $105,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 22,772 | $104,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 139,590 | $102,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 12,747 | $100,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 10,103 | $100,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 15,570 | $96,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 11,851 | $96,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 10,300 | $95,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 42,500 | $95,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 11,250 | $94,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 15,864 | $91,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 11,650 | $89,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 15,495 | $86,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 82,096 | $85,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 14,900 | $81,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 25,700 | $80,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 12,298 | $77,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 35,500 | $76,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 11,516 | $75,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 29,315 | $73,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 28,078 | $71,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 17,760 | $68,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 16,000 | $66,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 21,848 | $66,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 10,375 | $66,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 16,179 | $66,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 100,000 | $65,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 10,695 | $63,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 12,671 | $63,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 10,000 | $62,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 12,000 | $61,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 19,247 | $57,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 50,300 | $57,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 28,000 | $57,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 13,400 | $54,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,000 | $51,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 14,347 | $49,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 44,447 | $46,000 | thousands by filing date | principal |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 35,892 | $45,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 10,200 | $44,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D381 | Cmn | 18,040 | $44,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 11,000 | $43,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 39,000 | $41,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 17,000 | $41,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 230,000 | $40,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 11,425 | $39,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 44,999 | $38,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 25,008 | $36,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 154,596 | $35,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 15,200 | $34,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,025 | $31,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 11,655 | $29,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 24,700 | $29,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 10,000 | $27,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 50,130 | $27,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 12,000 | $27,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 26,030 | $27,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 10,000 | $26,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 38,337 | $26,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 69,500 | $25,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 27,979 | $24,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 12,870 | $24,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,047 | $24,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 20,000 | $24,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 16,000 | $23,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 10,000 | $23,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 29,952 | $22,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 13,333 | $21,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 10,000 | $19,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 78,500 | $19,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 120,000 | $19,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 36,700 | $18,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,000 | $18,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 20,000 | $16,000 | thousands by filing date | |
| LAKE SHORE GOLD CORP | 510728108 | COM | 20,000 | $16,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 20,336 | $16,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 11,500 | $15,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 37,600 | $14,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 10,534 | $11,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 11,000 | $11,000 | thousands by filing date | |
| MOL GLOBAL INC | 60845Q105 | Depository Receipt | 16,000 | $11,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 20,000 | $10,000 | thousands by filing date | |
| AMERICAN CARESOURCE HLDGS IN | 02505A202 | COM | 24,100 | $10,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 10,400 | $8,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 23,900 | $5,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 16,300 | $5,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 42,030 | $5,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 20,000 | $3,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 20,000 | $3,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 20,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001606587-16-000491 | this filing | 2016-02-17 | acceptance time not in the bulk data set |