13F-HR filed by Sheaff Brock Investment Advisors, LLC
Sheaff Brock Investment Advisors, LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-08, with 557 holding rows worth $749,230,000.
- Accession
- 0001606587-16-000834
- Filer
- CIK 1666789
- Filed
- 2016-11-08
- 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, 701 entries on the cover page, a total value of $749,230,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $749,230,000 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
- included managerHorizon Investment Services, LLC028-12835
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 |
|---|---|---|---|---|---|---|
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 14,950 | $141,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 25,000 | $140,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 10,792 | $137,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 23,260 | $135,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 15,740 | $134,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 17,000 | $128,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 11,200 | $128,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 12,139 | $128,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 11,400 | $126,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 11,200 | $119,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 11,193 | $117,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 11,064 | $115,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 25,772 | $114,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 40,500 | $114,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 10,000 | $112,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 11,900 | $110,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 13,757 | $109,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 11,600 | $109,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 58,844 | $105,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 13,635 | $102,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 16,300 | $96,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 16,700 | $93,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 11,650 | $91,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 27,225 | $89,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 28,078 | $83,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 10,217 | $82,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 75,200 | $74,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 10,530 | $67,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 11,982 | $67,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 11,555 | $65,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 18,000 | $64,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 12,160 | $62,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 42,000 | $59,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 11,900 | $58,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 30,499 | $55,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 22,647 | $54,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,000 | $53,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 19,050 | $43,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 18,000 | $36,000 | thousands by filing date | |
| Lpath Inc | 548910405 | Equities | 11,043 | $36,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 13,333 | $32,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 12,600 | $32,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 36,960 | $32,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 22,700 | $31,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 10,534 | $28,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 20,000 | $28,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,025 | $26,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 10,000 | $25,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 10,000 | $23,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 16,300 | $21,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 78,500 | $21,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 19,800 | $20,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 10,000 | $18,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 36,700 | $17,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 19,900 | $12,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 18,900 | $12,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 11,000 | $9,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001606587-16-000834 | this filing | 2016-11-08 | acceptance time not in the bulk data set |