13F-HR filed by Sheaff Brock Investment Advisors, LLC
Sheaff Brock Investment Advisors, LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-13, with 567 holding rows worth $761,135,000.
- Accession
- 0001606587-17-000689
- Filer
- CIK 1666789
- Filed
- 2017-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 567 entries on the cover page, a total value of $761,135,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $761,135,000 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 |
|---|---|---|---|---|---|---|
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 25,922 | $180,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 10,648 | $179,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 28,928 | $178,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 13,384 | $176,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 12,207 | $174,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 11,264 | $173,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 28,820 | $162,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 11,930 | $162,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 12,000 | $161,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 13,200 | $159,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 11,715 | $157,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 18,885 | $157,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 25,683 | $157,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 14,298 | $154,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 19,750 | $154,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 28,119 | $154,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 16,000 | $145,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 13,501 | $144,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 13,500 | $143,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 11,226 | $141,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 10,441 | $140,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 134,333 | $138,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 13,416 | $137,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 19,410 | $133,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 15,301 | $131,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 140,012 | $131,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 12,460 | $130,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 15,100 | $129,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 14,922 | $129,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 16,300 | $128,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 21,203 | $127,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 12,541 | $127,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 16,925 | $120,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 22,107 | $118,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 26,040 | $114,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 11,500 | $113,000 | thousands by filing date | principal |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 21,166 | $109,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 26,300 | $108,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 13,550 | $102,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 12,333 | $97,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 28,078 | $87,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 18,700 | $83,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 11,500 | $82,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 22,225 | $78,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 18,000 | $78,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 13,800 | $77,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 11,982 | $74,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 12,741 | $65,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 10,200 | $61,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 25,600 | $56,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 42,000 | $55,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 12,300 | $55,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 16,018 | $54,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 11,555 | $53,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 10,148 | $43,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 17,436 | $41,000 | thousands by filing date | principal |
| ENSYNC INC. | 29359T102 | Common Stock | 78,724 | $41,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 13,290 | $35,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 16,950 | $35,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 10,642 | $30,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 26,200 | $28,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 13,333 | $25,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 11,751 | $24,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 14,183 | $23,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,025 | $22,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 36,700 | $17,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 10,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001606587-17-000689 | this filing | 2017-11-13 | acceptance time not in the bulk data set |