13F-HR filed by Sheaff Brock Investment Advisors, LLC
Sheaff Brock Investment Advisors, LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-01-24, with 610 holding rows worth $790,568,000.
- Accession
- 0001606587-17-000039
- Filer
- CIK 1666789
- Filed
- 2017-01-24
- 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, 618 entries on the cover page, a total value of $790,568,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $790,568,000 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.
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 |
|---|---|---|---|---|---|---|
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 1,509 | $211,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 1,739 | $211,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,921 | $211,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 2,799 | $211,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 8,500 | $210,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 13,736 | $208,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 2,026 | $208,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 1,431 | $206,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 3,689 | $206,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 9,164 | $206,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 5,000 | $205,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 15,915 | $204,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 18,405 | $204,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 4,000 | $203,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 6,535 | $202,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 6,510 | $200,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 24,257 | $198,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 24,189 | $194,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 11,179 | $194,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 10,380 | $191,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 36,939 | $191,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 134,333 | $191,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 10,584 | $190,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 22,507 | $189,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 13,500 | $186,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 17,826 | $182,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 10,724 | $181,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 11,516 | $174,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 11,211 | $166,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 10,975 | $165,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 13,384 | $164,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 12,000 | $162,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 10,609 | $161,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 11,494 | $160,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 15,204 | $159,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 10,898 | $159,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 22,399 | $156,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 41,500 | $156,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 10,201 | $150,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 10,507 | $148,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 16,987 | $148,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 10,700 | $147,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 22,200 | $147,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 11,492 | $145,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 11,604 | $143,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 28,742 | $141,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 11,400 | $139,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 10,300 | $138,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 11,930 | $138,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 19,128 | $138,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 10,676 | $134,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 20,210 | $134,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 10,441 | $132,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 13,799 | $130,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 16,800 | $129,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 27,772 | $128,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 11,550 | $128,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 11,167 | $127,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 20,499 | $125,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 12,000 | $125,000 | thousands by filing date | principal |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 26,800 | $122,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 11,193 | $121,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 11,601 | $117,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 13,864 | $117,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 12,506 | $112,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 12,860 | $108,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 22,756 | $105,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 11,000 | $102,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 10,480 | $99,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 11,800 | $98,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 10,380 | $96,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 11,650 | $93,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 26,997 | $92,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 28,078 | $91,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 22,585 | $90,000 | thousands by filing date | |
| DRYSHIPS INC COM PAR NEW | Y2109Q309 | Stock | 23,986 | $89,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 11,000 | $88,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 18,700 | $87,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 27,225 | $87,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,400 | $79,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 100,012 | $76,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 10,333 | $74,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 18,693 | $70,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 11,500 | $67,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 11,982 | $64,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 18,000 | $62,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 12,155 | $61,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 78,724 | $57,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 42,000 | $55,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 30,500 | $54,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 10,200 | $53,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 50,960 | $48,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 11,000 | $45,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 18,633 | $42,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 12,850 | $40,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 22,700 | $38,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 11,900 | $36,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 13,333 | $29,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 10,534 | $25,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 78,500 | $25,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 20,000 | $23,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 10,563 | $22,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 17,250 | $22,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 36,700 | $19,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 11,751 | $17,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 12,000 | $16,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 23,900 | $15,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,025 | $15,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 16,300 | $12,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 57,844 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001606587-17-000039 | this filing | 2017-01-24 | acceptance time not in the bulk data set |