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Disclosery

Benchmark Capital Advisors

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13F filer, CIK 1352859, NEW YORK, NY

Benchmark Capital Advisors reported $128,791,000 across 142 holdings for the quarter ended 2017-09-30, in a 13F-HR filed 2017-10-25. Its ten largest share positions make up 31.37% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001352859-17-000011

Period
2017-09-30
Reported value
$129M
Holdings
142
Top 10 weight
31.37%
New
12
Sold out
10

Largest buys vs the previous quarter

SecurityShares changeApprox. value
BRK-Aadded+9$2.47M
Mnew+61,200$1.33M
BABAnew+5,970$1.03M
AERIE PHARMACEUTICALS INCadded+16,000$778K
CORENERGY INFRASTRUCTURE TRnew+17,558$621K

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
SPARTON CORPexited-100,171-$2.2M
GMreduced-12,300-$497K
JNJexited-2,948-$390K
BARCLAYS BK PLCexited-24,700-$315K
BIOSCRIP INCreduced-109,000-$299K

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2017

Share positions as resolved from 13F-HR 0001352859-17-000011, largest first. % of portfolio is the value over $128,324,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
BMYBRISTOL-MYERS SQUIBB COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 98,634 shares; 2017Q2: 99,134 shares; 2017Q3: 98,034 shares 98,034$6.25M4.87%-1,100Timeline
GMGENERAL MTRS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 151,743 shares; 2017Q2: 150,368 shares; 2017Q3: 138,068 shares 138,068$5.58M4.34%-12,300Timeline
RELM WIRELESS CORPRELM WIRELESS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,629,648 shares; 2017Q2: 1,515,148 shares; 2017Q3: 1,527,673 shares 1,527,673$5.5M4.29%+12,525
PFEPFIZER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 116,949 shares; 2017Q2: 116,974 shares; 2017Q3: 110,675 shares 110,675$3.95M3.08%-6,299Timeline
KKR & CO LPKKR & CO LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 164,290 shares; 2017Q2: 160,286 shares; 2017Q3: 159,958 shares 159,958$3.25M2.53%-328
ABRARBOR REALTY TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 419,919 shares; 2017Q2: 423,769 shares; 2017Q3: 395,419 shares 395,419$3.24M2.53%-28,350Timeline
MSFTMICROSOFT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 46,215 shares; 2017Q2: 44,115 shares; 2017Q3: 43,365 shares 43,365$3.23M2.52%-750Timeline
HTGCHERCULES CAPITAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 252,367 shares; 2017Q2: 251,217 shares; 2017Q3: 247,162 shares 247,162$3.19M2.48%-4,055Timeline
MPTMEDICAL PROPERTIES TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 237,100 shares; 2017Q2: 239,550 shares; 2017Q3: 231,850 shares 231,850$3.04M2.37%-7,700Timeline
BRK-ABERKSHIRE HATHAWAY INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 3 shares; 2017Q2: 2 shares; 2017Q3: 11 shares 11$3.02M2.35%+9Timeline
PHYSSPROTT ASSET MANAGEMENT LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 266,071 shares; 2017Q2: 264,371 shares; 2017Q3: 284,671 shares 284,671$2.97M2.32%+20,300Timeline
WALGREENS BOOTS ALLIANCE INCWALGREENS BOOTS ALLIANCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 33,000 shares; 2017Q2: 33,050 shares; 2017Q3: 31,550 shares 31,550$2.44M1.9%-1,500
MDLZMONDELEZ INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 66,133 shares; 2017Q2: 65,273 shares; 2017Q3: 59,523 shares 59,523$2.42M1.89%-5,750Timeline
COLONY NORTHSTAR INCCOLONY NORTHSTAR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 205,961 shares; 2017Q2: 205,717 shares; 2017Q3: 188,769 shares 188,769$2.37M1.85%-16,948
CCITIGROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 43,195 shares; 2017Q2: 31,490 shares; 2017Q3: 30,320 shares 30,320$2.21M1.72%-1,170Timeline
AAPLAPPLE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 21,271 shares; 2017Q2: 14,011 shares; 2017Q3: 13,961 shares 13,961$2.15M1.68%-50Timeline
RED LION HOTELS CORPRED LION HOTELS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 248,674 shares; 2017Q2: 246,611 shares; 2017Q3: 242,941 shares 242,941$2.1M1.64%-3,670
MFA FINL INCMFA FINL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 247,822 shares; 2017Q2: 248,722 shares; 2017Q3: 234,522 shares 234,522$2.05M1.6%-14,200
CHIMERA INVESTMENT CORPCHIMERA INVESTMENT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 118,320 shares; 2017Q2: 118,320 shares; 2017Q3: 107,180 shares 107,180$2.03M1.58%-11,140
DXJWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 38,230 shares; 2017Q3: 35,730 shares 35,730$1.95M1.52%-2,500Timeline
SELECT INCOME REITSELECT INCOME REITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 79,450 shares; 2017Q2: 77,850 shares; 2017Q3: 73,450 shares 73,450$1.72M1.34%-4,400
RWTREDWOOD TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 112,967 shares; 2017Q2: 112,367 shares; 2017Q3: 104,467 shares 104,467$1.7M1.33%-7,900Timeline
COACH INCCOACH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 53,620 shares; 2017Q2: 46,220 shares; 2017Q3: 40,520 shares 40,520$1.63M1.27%-5,700
MONMOUTH REAL ESTATE INVT COMONMOUTH REAL ESTATE INVT COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 105,100 shares; 2017Q2: 103,600 shares; 2017Q3: 94,900 shares 94,900$1.54M1.2%-8,700
DVNDEVON ENERGY CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 29,553 shares; 2017Q2: 44,053 shares; 2017Q3: 41,753 shares 41,753$1.53M1.19%-2,300Timeline
NVSNOVARTIS AGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 16,600 shares; 2017Q3: 17,100 shares 17,100$1.47M1.14%+500Timeline
AERIE PHARMACEUTICALS INCAERIE PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 49,325 shares; 2017Q2: 13,400 shares; 2017Q3: 29,400 shares 29,400$1.43M1.11%+16,000
LEUTHOLD FDS INC GRIZZLY SH…LEUTHOLD FDS INC GRIZZLY SHORTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 301,500 shares; 2017Q2: 299,500 shares; 2017Q3: 264,300 shares 264,300$1.42M1.11%-35,200
MMACYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 61,200 shares 61,200$1.33M1.04%newTimeline
STEWSRH TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 141,500 shares; 2017Q2: 140,500 shares; 2017Q3: 128,000 shares 128,000$1.31M1.02%-12,500Timeline
BSLBLACKSTONE SENI FLTN RAT 202Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 86,728 shares; 2017Q2: 86,728 shares; 2017Q3: 73,928 shares 73,928$1.3M1.01%-12,800Timeline
TAT&T INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 25,652 shares; 2017Q2: 29,615 shares; 2017Q3: 32,608 shares 32,608$1.28M1%+2,993Timeline
VSATVIASAT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 20,600 shares; 2017Q2: 20,850 shares; 2017Q3: 19,550 shares 19,550$1.26M0.98%-1,300Timeline
PGPROCTER & GAMBLE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 13,350 shares; 2017Q2: 13,750 shares; 2017Q3: 13,500 shares 13,500$1.23M0.96%-250Timeline
IEVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 20,070 shares; 2017Q2: 26,495 shares; 2017Q3: 25,045 shares 25,045$1.17M0.91%-1,450Timeline
CHSCPCHS INC CUM REDEMABLE PFD 8%Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 43,857 shares; 2017Q2: 43,357 shares; 2017Q3: 39,407 shares 39,407$1.17M0.91%-3,950Timeline
BHKBLACKROCK CORE BD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 86,054 shares; 2017Q2: 89,054 shares; 2017Q3: 80,054 shares 80,054$1.13M0.88%-9,000Timeline
MRKMERCK & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 18,200 shares; 2017Q2: 18,000 shares; 2017Q3: 16,300 shares 16,300$1.04M0.81%-1,700Timeline
VOLT INFORMATION SCIEN COMVOLT INFORMATION SCIEN COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 345,940 shares; 2017Q2: 342,892 shares; 2017Q3: 331,192 shares 331,192$1.04M0.81%-11,700
BABAALIBABA GROUP HLDG LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 5,970 shares 5,970$1.03M0.8%newTimeline
GSPRAGOLDMAN SACHS GROUP INC DEP SHQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 46,069 shares; 2017Q2: 45,769 shares; 2017Q3: 42,069 shares 42,069$1M0.78%-3,700Timeline
REMISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 26,087 shares; 2017Q2: 24,637 shares; 2017Q3: 21,137 shares 21,137$990K0.77%-3,500Timeline
ABBVABBVIE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 10,850 shares; 2017Q3: 11,050 shares 11,050$982K0.77%+200Timeline
SRPTSAREPTA THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 7,500 shares; 2017Q2: 10,000 shares; 2017Q3: 20,400 shares 20,400$925K0.72%+10,400Timeline
GENERAL ELEC COGENERAL ELEC COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 34,150 shares; 2017Q2: 39,400 shares; 2017Q3: 36,800 shares 36,800$890K0.69%-2,600
TEMPLETON GLOBAL TOTAL RT A…TEMPLETON GLOBAL TOTAL RT ADV CL …Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 76,743 shares; 2017Q2: 76,790 shares; 2017Q3: 69,951 shares 69,951$863K0.67%-6,839
HCP INCHCP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 29,550 shares; 2017Q2: 30,050 shares; 2017Q3: 28,750 shares 28,750$800K0.62%-1,300
OHIOMEGA HEALTHCARE INVS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 22,775 shares; 2017Q2: 24,675 shares; 2017Q3: 24,975 shares 24,975$797K0.62%+300Timeline
HOUSTON AMERN ENERGY CORPHOUSTON AMERN ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,578,459 shares; 2017Q2: 1,582,459 shares; 2017Q3: 1,569,459 shares 1,569,459$785K0.61%-13,000
CSCOCISCO SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 22,800 shares; 2017Q3: 22,800 shares 22,800$767K0.6%0Timeline
***SEASPAN CORPORATION CUM …***SEASPAN CORPORATION CUM REDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 29,550 shares; 2017Q2: 30,850 shares; 2017Q3: 30,050 shares 30,050$720K0.56%-800
DIAXNUVEEN DOW 30SM DYNAMIC OVERWRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 36,365 shares; 2017Q2: 42,693 shares; 2017Q3: 41,693 shares 41,693$707K0.55%-1,000Timeline
AMGNAMGEN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 5,000 shares; 2017Q2: 5,000 shares; 2017Q3: 3,500 shares 3,500$653K0.51%-1,500Timeline
JCIJOHNSON CONTROLS INTERNATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 14,600 shares; 2017Q3: 15,600 shares 15,600$629K0.49%+1,000Timeline
CORENERGY INFRASTRUCTURE TRCORENERGY INFRASTRUCTURE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 17,558 shares 17,558$621K0.48%new
NFLXNETFLIX INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 3,100 shares; 2017Q2: 3,100 shares; 2017Q3: 3,400 shares 3,400$617K0.48%+300Timeline
METAMETA PLATFORMS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 3,550 shares; 2017Q2: 3,550 shares; 2017Q3: 3,550 shares 3,550$607K0.47%0Timeline
KWKENNEDY-WILSON HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 32,500 shares; 2017Q2: 32,500 shares; 2017Q3: 32,500 shares 32,500$603K0.47%0Timeline
ISTAR INCISTAR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 59,150 shares; 2017Q2: 57,950 shares; 2017Q3: 51,050 shares 51,050$602K0.47%-6,900
DEMWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 14,049 shares; 2017Q2: 14,199 shares; 2017Q3: 13,799 shares 13,799$593K0.46%-400Timeline
METMETLIFE INC PFD SERIES A FLOATQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 24,100 shares; 2017Q2: 24,100 shares; 2017Q3: 23,100 shares 23,100$579K0.45%-1,000Timeline
SNYSANOFI SAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,300 shares; 2017Q2: 12,000 shares; 2017Q3: 11,600 shares 11,600$578K0.45%-400Timeline
GOOGALPHABET INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 600 shares; 2017Q2: 600 shares; 2017Q3: 600 shares 600$575K0.45%0Timeline
CTSHCOGNIZANT TECHNOLOGY SOLUTIOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 5,400 shares; 2017Q3: 7,650 shares 7,650$555K0.43%+2,250Timeline
COPCONOCOPHILLIPSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 11,250 shares; 2017Q2: 11,350 shares; 2017Q3: 11,050 shares 11,050$553K0.43%-300Timeline
RGLDROYAL GOLD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 6,800 shares; 2017Q2: 6,600 shares; 2017Q3: 6,200 shares 6,200$533K0.42%-400Timeline
TEVATEVA PHARMACEUTICAL INDS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 32,244 shares; 2017Q2: 31,944 shares; 2017Q3: 29,844 shares 29,844$525K0.41%-2,100Timeline
GLDSPDR GOLD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 4,035 shares; 2017Q2: 4,035 shares; 2017Q3: 4,035 shares 4,035$491K0.38%0Timeline
CAPITAL PRODUCT PARTNERS L PCAPITAL PRODUCT PARTNERS L PQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 142,580 shares; 2017Q2: 140,280 shares; 2017Q3: 138,780 shares 138,780$486K0.38%-1,500
MSPRAMorgan Stanley Dep Shs repstgQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 24,305 shares; 2017Q2: 24,305 shares; 2017Q3: 20,605 shares 20,605$475K0.37%-3,700Timeline
MUCBLACKROCK MUNIHLDNGS CALIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 33,000 shares; 2017Q2: 32,000 shares; 2017Q3: 32,000 shares 32,000$474K0.37%0Timeline
RETAIL OPPORTUNITY INVESTME…RETAIL OPPORTUNITY INVESTMENTSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 24,000 shares; 2017Q2: 24,000 shares; 2017Q3: 24,000 shares 24,000$456K0.36%0
PICO HLDGS INCPICO HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 30,000 shares; 2017Q2: 30,000 shares; 2017Q3: 26,207 shares 26,207$438K0.34%-3,793
VGKVANGUARD INTL EQUITY INDEX FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 7,450 shares; 2017Q3: 7,450 shares 7,450$435K0.34%0Timeline
RDIREADING INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 27,600 shares; 2017Q2: 27,600 shares; 2017Q3: 27,600 shares 27,600$434K0.34%0Timeline
OEFISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 9,215 shares; 2017Q2: 3,850 shares; 2017Q3: 3,850 shares 3,850$429K0.33%0Timeline
BRK-BBERKSHIRE HATHAWAY INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 2,300 shares 2,300$422K0.33%newTimeline
GALTGALECTIN THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 194,200 shares; 2017Q2: 194,200 shares; 2017Q3: 194,200 shares 194,200$416K0.32%0Timeline
XLESELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 5,468 shares; 2017Q2: 5,918 shares; 2017Q3: 5,918 shares 5,918$405K0.32%0Timeline
MCRMFS CHARTER INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 52,850 shares; 2017Q2: 51,550 shares; 2017Q3: 45,150 shares 45,150$391K0.3%-6,400Timeline
CVUCPI AEROSTRUCTURES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 39,800 shares; 2017Q2: 40,400 shares; 2017Q3: 40,400 shares 40,400$378K0.29%0Timeline
VNQVANGUARD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 3,815 shares; 2017Q2: 4,315 shares; 2017Q3: 4,465 shares 4,465$371K0.29%+150Timeline
B RILEY FINANCIAL 7.50 SNR …B RILEY FINANCIAL 7.50 SNR NTSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 14,447 shares 14,447$370K0.29%new
AIGAMERICAN INTL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 6,000 shares; 2017Q2: 6,500 shares; 2017Q3: 6,000 shares 6,000$368K0.29%-500Timeline
CLCOLGATE PALMOLIVE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 5,000 shares; 2017Q2: 5,000 shares; 2017Q3: 5,000 shares 5,000$364K0.28%0Timeline
ALLYALLY FINL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 18,500 shares; 2017Q2: 15,000 shares; 2017Q3: 15,000 shares 15,000$364K0.28%0Timeline
PIMCO DYNAMIC CR INCOME FDPIMCO DYNAMIC CR INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 15,400 shares; 2017Q2: 15,400 shares; 2017Q3: 15,400 shares 15,400$355K0.28%0
DISDISNEY WALT COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 4,150 shares; 2017Q2: 4,150 shares; 2017Q3: 3,550 shares 3,550$350K0.27%-600Timeline
XPOXPO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 5,000 shares 5,000$339K0.26%newTimeline
VZVERIZON COMMUNICATIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 6,068 shares; 2017Q2: 6,770 shares; 2017Q3: 6,783 shares 6,783$336K0.26%+13Timeline
DARDARLING INGREDIENTS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 12,500 shares; 2017Q3: 19,000 shares 19,000$333K0.26%+6,500Timeline
VTIVANGUARD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,530 shares; 2017Q2: 2,480 shares; 2017Q3: 2,480 shares 2,480$321K0.25%0Timeline
GOLDMAN SACHS GROUP INC 6.2…GOLDMAN SACHS GROUP INC 6.2% $1.5…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 9,200 shares; 2017Q2: 9,200 shares; 2017Q3: 12,200 shares 12,200$320K0.25%+3,000
PowerShares QQQ Trust Unit …PowerShares QQQ Trust Unit SerQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,900 shares; 2017Q2: 1,915 shares; 2017Q3: 2,165 shares 2,165$315K0.25%+250
AMZNAMAZON COM INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 322 shares; 2017Q3: 322 shares 322$310K0.24%0Timeline
GDGENERAL DYNAMICS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,500 shares; 2017Q2: 2,500 shares; 2017Q3: 1,500 shares 1,500$308K0.24%-1,000Timeline
CBS CORP NEWCBS CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 5,600 shares; 2017Q3: 5,100 shares 5,100$296K0.23%-500
VERTEX ENERGY INCVERTEX ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 386,669 shares; 2017Q2: 389,669 shares; 2017Q3: 389,669 shares 389,669$296K0.23%0
ALLIANCEBERNSTEIN MUN N Y P…ALLIANCEBERNSTEIN MUN N Y PTFLQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 29,597 shares; 2017Q3: 29,597 shares 29,597$296K0.23%0
FRANKLIN NY TAX FREEFRANKLIN NY TAX FREEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 25,938 shares; 2017Q3: 25,938 shares 25,938$288K0.22%0
MINABERDEEN INTER INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 69,800 shares; 2017Q2: 72,300 shares; 2017Q3: 66,300 shares 66,300$284K0.22%-6,000Timeline
XLVSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 3,375 shares; 2017Q2: 2,975 shares; 2017Q3: 3,425 shares 3,425$280K0.22%+450Timeline
ANNALY CAPITAL MANAGEMENTANNALY CAPITAL MANAGEMENTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 21,500 shares; 2017Q2: 23,100 shares; 2017Q3: 21,900 shares 21,900$267K0.21%-1,200
***TSAKOS ENERGY NAVIGATION…***TSAKOS ENERGY NAVIGATION LTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 10,100 shares; 2017Q2: 10,300 shares; 2017Q3: 10,300 shares 10,300$264K0.21%0
FDXFEDEX CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,300 shares; 2017Q2: 1,100 shares; 2017Q3: 1,150 shares 1,150$259K0.2%+50Timeline
TEEKAY CORPORATIONTEEKAY CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 36,500 shares; 2017Q3: 29,000 shares 29,000$259K0.2%-7,500
KYNKAYNE ANDERSON ENERGY INFRSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 14,500 shares; 2017Q2: 14,500 shares; 2017Q3: 14,200 shares 14,200$258K0.2%-300Timeline
TBTPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 7,000 shares; 2017Q2: 7,000 shares; 2017Q3: 7,000 shares 7,000$249K0.19%0Timeline
PFFISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 6,050 shares; 2017Q3: 5,900 shares 5,900$229K0.18%-150Timeline
INVESCO AEROSPACE & DEFENSE…INVESCO AEROSPACE & DEFENSE ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 4,400 shares; 2017Q3: 4,400 shares 4,400$226K0.18%0
NQPNUVEEN PA INVT QUALITY MUN FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 16,600 shares; 2017Q3: 16,600 shares 16,600$225K0.18%0Timeline
FIRST PACIFIC ADVISORSFIRST PACIFIC ADVISORSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 27,663 shares; 2017Q2: 27,858 shares; 2017Q3: 21,805 shares 21,805$219K0.17%-6,053
MCDMCDONALDS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 1,384 shares; 2017Q3: 1,384 shares 1,384$217K0.17%0Timeline
BARCLAYS BK PLCBARCLAYS BK PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 5,534 shares 5,534$217K0.17%new
TRINITY BIOTECH PLCTRINITY BIOTECH PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 40,472 shares; 2017Q2: 40,172 shares; 2017Q3: 37,882 shares 37,882$213K0.17%-2,290
HC2 HLDGS INCHC2 HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 40,000 shares; 2017Q2: 40,000 shares; 2017Q3: 40,000 shares 40,000$211K0.16%0
HDVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 3,200 shares; 2017Q2: not reported; 2017Q3: 2,400 shares 2,400$206K0.16%newTimeline
LORD ABBETT MUNI INCOM N Y …LORD ABBETT MUNI INCOM N Y SERQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 18,173 shares; 2017Q3: 18,173 shares 18,173$206K0.16%0
PBAPEMBINA PIPELINE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 5,800 shares 5,800$204K0.16%newTimeline
CHEMBIO DIAGNOSTICSCHEMBIO DIAGNOSTICSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 12,000 shares; 2017Q3: 32,900 shares 32,900$204K0.16%+20,900
CNOBCONNECTONE BANCORP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 8,206 shares 8,206$202K0.16%newTimeline
TEEKAY OFFSHORE PARTNERS LPTEEKAY OFFSHORE PARTNERS LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 83,500 shares; 2017Q2: 83,500 shares; 2017Q3: 81,500 shares 81,500$194K0.15%-2,000
ROCKWELL MED INCROCKWELL MED INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 23,400 shares; 2017Q2: 22,900 shares; 2017Q3: 22,400 shares 22,400$192K0.15%-500
CELLDEX THERAPEUTICS INC NEWCELLDEX THERAPEUTICS INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 64,800 shares; 2017Q2: 64,800 shares; 2017Q3: 64,800 shares 64,800$185K0.14%0
ABERDEEN ASIA-PACIFIC INCOM…ABERDEEN ASIA-PACIFIC INCOME FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 31,100 shares; 2017Q2: 33,500 shares; 2017Q3: 33,500 shares 33,500$173K0.13%0
KTOSKRATOS DEFENSE & SEC SOLUTIOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 35,000 shares; 2017Q2: 27,500 shares; 2017Q3: 13,000 shares 13,000$170K0.13%-14,500Timeline
BIOLINERX LTD-SPONS ADRBIOLINERX LTD-SPONS ADRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 144,000 shares; 2017Q2: 144,000 shares; 2017Q3: 146,000 shares 146,000$164K0.13%+2,000
TWO HARBORS INVESTMENT CORPTWO HARBORS INVESTMENT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 15,000 shares; 2017Q3: 15,000 shares 15,000$151K0.12%0
LORD ABBETT SHORT DURATION …LORD ABBETT SHORT DURATION INCOME…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 34,475 shares; 2017Q2: 34,740 shares; 2017Q3: 35,012 shares 35,012$150K0.12%+272
APPLIED DNA SCIENCES INCAPPLIED DNA SCIENCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 50,000 shares; 2017Q2: 50,000 shares; 2017Q3: 50,000 shares 50,000$143K0.11%0
EATON VANCE MUNS TR EV NY M…EATON VANCE MUNS TR EV NY MUNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 14,147 shares; 2017Q3: 14,147 shares 14,147$143K0.11%0
PLATFORM SPECIALTY PRODS CORPLATFORM SPECIALTY PRODS CORQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 14,000 shares; 2017Q2: 14,000 shares; 2017Q3: 12,500 shares 12,500$139K0.11%-1,500
VANGUARD SHORT-TERM INVESTM…VANGUARD SHORT-TERM INVESTMENT-GR…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 10,161 shares; 2017Q2: 10,195 shares; 2017Q3: 10,225 shares 10,225$109K0.08%+30
RIVERPARK FDS TR STRAT INC …RIVERPARK FDS TR STRAT INC RTAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 10,327 shares; 2017Q2: 10,430 shares; 2017Q3: 10,526 shares 10,526$100K0.08%+96
BIOSCRIP INCBIOSCRIP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 144,000 shares; 2017Q3: 35,000 shares 35,000$96K0.07%-109,000
GLOBAL SHIP LEASE INC NEWGLOBAL SHIP LEASE INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 79,800 shares; 2017Q2: 57,350 shares; 2017Q3: 57,350 shares 57,350$90K0.07%0
Real Industry IncReal Industry IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 42,500 shares; 2017Q2: 41,000 shares; 2017Q3: 32,500 shares 32,500$58K0.05%-8,500
AGROFRESH SOLUTIONS INCAGROFRESH SOLUTIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 12,000 shares 12,000$7K0.01%new
PRESIDENTIAL RLTY NEW CL BPRESIDENTIAL RLTY NEW CL BQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 115,300 shares; 2017Q2: 115,300 shares; 2017Q3: 74,000 shares 74,000$6K<0.01%-41,300
GLOBAL ENERGY HLDGS GR COMGLOBAL ENERGY HLDGS GR COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 58,335 shares; 2017Q2: 58,335 shares; 2017Q3: 69,447 shares 69,447$00%+11,112Value filed as zero, left out of ratios.
NUVERRA ENVIRONMENTAL SOLUTINUVERRA ENVIRONMENTAL SOLUTIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 38,980 shares 38,980$00%newValue filed as zero, left out of ratios.

Options

Puts and calls, as filed. The amount and value describe the underlying shares, not the option premium, so they stay out of % of portfolio (H5).

SecurityTypeAmountValueChange
GENERAL MTRS COGENERAL MTRS CO *W EXP 07/10/201call20,846$467K-1,200

Sold out in Q3 2017

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
SPARTON CORPSPARTON CORP100,171$2.2Mshares
JNJJOHNSON & JOHNSON2,948$390Kshares
BARCLAYS BK PLCBARCLAYS BK PLC24,700$315Kshares
AXGNAXOGEN INC11,500$193Kshares
PROSHARES TRPROSHARES TR13,000$165Kshares
GPROGOPRO INC10,000$81Kshares
Biosig Tech Inc Com NewBiosig Tech Inc Com New27,000$40Kshares
BRIDGELINE DIGITAL INCBRIDGELINE DIGITAL INC20,000$11Kshares
PHANTOM FIBER CORP COM NEWPHANTOM FIBER CORP COM NEW100,000$0shares
NUVERRA ENVIRONMENTAL SOL W…NUVERRA ENVIRONMENTAL SOL WTS86,520$0shares

How Q3 2017 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001352859-17-000011 base2017-10-25acceptance time not in the bulk data set