13F-HR filed by Moloney Securities Asset Management, LLC
Moloney Securities Asset Management, LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-14, with 235 holding rows worth $165,609,000.
- Accession
- 0001697934-17-000002
- Filer
- CIK 1697934
- Filed
- 2017-02-14
- 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, 236 entries on the cover page, a total value of $165,609,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $165,599,000 with VALUE read as thousands by filing date, 13F file number 028-17870. 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 |
|---|---|---|---|---|---|---|
| Berkshire Hathaway Inc | 084670702 | COM | 36,136 | $5,889,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 41,487 | $4,780,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 99,564 | $4,323,000 | thousands by filing date | |
| IJH | 464287507 | COM | 25,087 | $4,148,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 123,128 | $3,891,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 33,032 | $3,826,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 77,007 | $3,275,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 34,488 | $2,900,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 25,089 | $2,876,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 23,165 | $2,726,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 38,145 | $2,579,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 27,727 | $2,503,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2,967 | $2,351,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 35,716 | $2,219,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 54,968 | $2,154,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 36,122 | $2,126,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 81,152 | $1,970,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 139,525 | $1,902,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 35,463 | $1,893,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 29,714 | $1,736,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 9,698 | $1,732,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 41,351 | $1,714,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 14,373 | $1,684,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 10,124 | $1,680,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 15,675 | $1,634,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 18,782 | $1,627,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 12,807 | $1,517,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 6,763 | $1,512,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 10,591 | $1,428,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 15,905 | $1,361,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 19,497 | $1,344,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 31,793 | $1,322,000 | thousands by filing date | |
| CHS INC. 8 PFD 8 PFDPFD | 12542R209 | PREFERRED STOCK | 42,491 | $1,244,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 13,293 | $1,216,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 16,989 | $1,137,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 17,162 | $1,075,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 13,447 | $1,044,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 3,443 | $1,039,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 6,400 | $1,024,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 17,322 | $1,004,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 27,653 | $992,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 6,728 | $984,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 24,763 | $951,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 11,118 | $914,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 3,628 | $907,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 12,344 | $888,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 29,342 | $883,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 14,007 | $882,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 6,319 | $869,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 22,309 | $859,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 15,916 | $855,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 9,034 | $844,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 12,559 | $843,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 20,789 | $835,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 10,647 | $831,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 12,898 | $827,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 8,253 | $811,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 24,911 | $809,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 6,882 | $785,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 14,039 | $774,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 13,749 | $770,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 21,198 | $769,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 18,560 | $763,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 10,751 | $762,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 6,581 | $757,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 14,020 | $742,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 5,991 | $729,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 10,146 | $722,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 29,637 | $692,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 8,970 | $691,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 4,860 | $680,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 53,452 | $673,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 868 | $670,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 17,803 | $665,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 15,154 | $655,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 21,105 | $644,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 9,819 | $640,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 6,047 | $636,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 10,491 | $634,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 7,318 | $627,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 5,981 | $626,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 12,027 | $611,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 25,336 | $610,000 | thousands by filing date | |
| ALLEGIANCY LLC 6 UNIT MEMBERS | 01748m106 | PFD | 55,500 | $610,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 5,749 | $591,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 3,309 | $588,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 5,054 | $585,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 12,077 | $584,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 4,284 | $574,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 4,799 | $573,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 49,434 | $572,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 6,843 | $566,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 4,720 | $553,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 7,436 | $551,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 9,823 | $548,000 | thousands by filing date | |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 21,800 | $545,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 7,926 | $545,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 9,674 | $542,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 14,123 | $539,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 4,896 | $537,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 9,277 | $536,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 9,320 | $533,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 6,387 | $527,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 19,201 | $519,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 14,866 | $513,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 4,722 | $511,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 7,098 | $506,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 7,326 | $506,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 5,420 | $498,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 21,388 | $495,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 2,147 | $483,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 4,519 | $469,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 9,332 | $468,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 11,369 | $463,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 613 | $460,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 6,383 | $457,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 5,220 | $450,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 9,049 | $446,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 4,334 | $439,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 17,200 | $437,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 6,113 | $435,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 32,625 | $434,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 5,854 | $430,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 12,109 | $424,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 2,651 | $413,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 201,550 | $411,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 49,039 | $409,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 5,131 | $408,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 8,097 | $398,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 6,300 | $389,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 4,418 | $386,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 16,678 | $382,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 3,338 | $378,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 82,225 | $378,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 7,280 | $367,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 16,568 | $366,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 13,274 | $363,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 7,000 | $339,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 3,234 | $334,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 9,321 | $331,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 2,056 | $329,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 18,250 | $323,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 6,209 | $321,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 3,425 | $320,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 4,881 | $319,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 3,753 | $315,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 22,680 | $314,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 8,665 | $312,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 3,494 | $309,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 7,812 | $309,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 2,523 | $307,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 3,077 | $307,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 2,599 | $304,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 5,188 | $303,000 | thousands by filing date | |
| POWERSHARES DWA TACTICAL SECTOR ROTATION PORTFOLIO | 73937B498 | ETF | 12,361 | $300,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 13,821 | $299,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 5,504 | $295,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 5,724 | $294,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 1,425 | $293,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,503 | $290,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 6,535 | $290,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 11,610 | $289,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 5,820 | $286,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 3,330 | $284,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 15,646 | $279,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 2,638 | $277,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 3,119 | $270,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 9,300 | $268,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 5,568 | $267,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 4,945 | $262,000 | thousands by filing date | |
| GWG HLDGS INC PFD | 36192a885 | PFD | 262 | $262,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 3,425 | $259,000 | thousands by filing date | |
| ROCHE HLDG LTD SPONS ADR (ISIN #US7711951043 SEDOL #B014J8) | 771195104 | ADR | 9,026 | $258,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 2,285 | $252,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 9,176 | $248,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 10,369 | $240,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 4,153 | $239,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 2,143 | $235,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 4,215 | $234,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 3,658 | $233,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 4,018 | $232,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 2,199 | $231,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,191 | $230,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 5,595 | $227,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 5,829 | $224,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 6,048 | $221,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 3,645 | $218,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 733 | $217,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 753 | $214,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 5,926 | $213,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 9,105 | $212,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 3,894 | $204,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 1,518 | $202,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 3,416 | $202,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 20,054 | $194,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 11,676 | $180,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 17,571 | $175,000 | thousands by filing date | |
| UTS KEYSTONE SOLUTIONS INC UNI | 493606305 | PFD | 17,000 | $170,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 21,060 | $169,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 10,825 | $163,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 93,000 | $159,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 50,000 | $154,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 22,085 | $152,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 12,411 | $151,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 21,791 | $148,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 13,000 | $147,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 14,744 | $145,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 10,000 | $145,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 15,400 | $136,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 33,600 | $128,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 24,000 | $121,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 15,665 | $115,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 16,950 | $113,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 20,033 | $104,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 12,544 | $102,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 16,579 | $91,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 10,000 | $83,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 16,909 | $71,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 12,200 | $60,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 10,000 | $46,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 27,500 | $38,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 24,525 | $35,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 45,000 | $22,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 10,000 | $9,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 20,000 | $8,000 | thousands by filing date | |
| Applied Visual Scien | 038287108 | COM | 1,220,000 | $5,000 | thousands by filing date | |
| HeartFlow Inc | 141743104 | COM | 90,000 | $5,000 | thousands by filing date | |
| PHARMACYTE BIOTECH INC | 71715X104 | COMMON STOCK | 10,000 | $1,000 | thousands by filing date | |
| Comprehensive Care Corp | 204620207 | COM | 10,000 | $1,000 | thousands by filing date | |
| UNITED RES HLDGS GRP | 91137r105 | COM | 108,000 | $1,000 | thousands by filing date | |
| ROLLS-ROYCE HOLDINGS PLC NON CUM RED PREF SHS -C- ISIN#GB00B669WX96 | G76225138 | Preferred Stock | 29,484 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Gulf United Energy Inc. Ordinary Shares | 402580104 | COM | 27,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENVIRO VORAXIAL TECHNOLOGY | 29403V103 | COMMON | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOW INC | 98158H106 | DOW | 700,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RTS CHANTICLEER CONTRA CUSIP | 159991108 | RT | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001697934-17-000002 | this filing | 2017-02-14 | acceptance time not in the bulk data set |