13F-HR filed by Sheaff Brock Investment Advisors, LLC
Sheaff Brock Investment Advisors, LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-03, with 508 holding rows worth $1,340,619,000.
- Accession
- 0001606587-21-001479
- Filer
- CIK 1666789
- Filed
- 2021-11-03
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 672 entries on the cover page, a total value of $1,340,619,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,340,619,000 with VALUE read as thousands by filing date, 13F file number 028-17380. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerInnovative Portfolios028-21180
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 |
|---|---|---|---|---|---|---|
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 13,000 | $68,000 | thousands by filing date | |
| SENESTECH INC | 81720R208 | COM NEW | 44,500 | $67,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 10,010 | $57,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 17,480 | $53,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 12,000 | $30,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 12,214 | $28,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 10,100 | $22,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y158 | RIGHT 11/05/2022 | 17,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001606587-21-001479 | this filing | 2021-11-03 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001606587-22-001251 | base | 2022-06-02 | acceptance time not in the bulk data set |