13F-HR/A filed by Sheaff Brock Investment Advisors, LLC
Sheaff Brock Investment Advisors, LLC filed this 13F-HR/A for the quarter ended 2021-09-30, filed 2022-06-02, with 549 holding rows worth $1,361,393,000.
- Accession
- 0001606587-22-001251
- Filer
- CIK 1666789
- Filed
- 2022-06-02
- 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, amendment of type restatement, 549 entries on the cover page, a total value of $1,361,393,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,361,393,000 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 |
|---|---|---|---|---|---|---|
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 12,075 | $193,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 19,480 | $190,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 24,850 | $190,000 | thousands by filing date | |
| SERVICE PPTYS TR | 81761L102 | COM SH BEN INT | 16,812 | $188,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 24,000 | $188,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 11,498 | $187,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 10,000 | $185,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 11,037 | $184,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 10,500 | $180,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 20,661 | $179,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 11,000 | $175,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 11,141 | $169,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 11,222 | $167,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 12,000 | $164,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 12,730 | $163,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 15,792 | $155,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 10,912 | $155,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 11,000 | $149,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 15,453 | $141,000 | thousands by filing date | |
| SIMON PROPERTY GRP ACQ HOLDI | 82880R202 | UNIT 99/99/9999 | 14,000 | $139,000 | thousands by filing date | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838X102 | COM | 23,233 | $138,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 10,000 | $136,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 12,033 | $136,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 13,635 | $130,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 20,500 | $129,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 13,096 | $125,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 10,042 | $125,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 11,156 | $119,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 10,625 | $114,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 42,732 | $109,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120202 | COM NEW | 11,000 | $100,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 26,647 | $97,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 26,714 | $96,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 10,000 | $93,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 20,825 | $89,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 10,000 | $80,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 47,000 | $78,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 10,000 | $75,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 10,450 | $74,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 10,263 | $72,000 | thousands by filing date | |
| 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 | 10,610 | $60,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 17,480 | $53,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 11,445 | $43,000 | 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 | 12,600 | $27,000 | 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 | superseded | 2021-11-03 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001606587-22-001251 | this filing | 2022-06-02 | acceptance time not in the bulk data set |