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Benchmark Capital Advisors

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13F filer, CIK 1352859, NEW YORK, NY

Benchmark Capital Advisors reported $132,987,000 across 134 holdings for the quarter ended 2018-09-30, in a 13F-HR filed 2018-11-09. Its ten largest share positions make up 34.94% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001352859-18-000009

Period
2018-09-30
Reported value
$133M
Holdings
134
Top 10 weight
34.94%
New
10
Sold out
7

Largest buys vs the previous quarter

SecurityShares changeApprox. value
NWLadded+61,550$1.25M
FALCON MINERALS CORPnew+102,000$1.12M
DALadded+9,300$538K
AAPLadded+2,215$500K
ROYAL DUTCH SHELL PLC SPN A…added+5,600$382K

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
DXJexited-32,130-$1.73M
TPRexited-29,070-$1.36M
INTCreduced-28,450-$1.35M
SELECT INCOME REITexited-58,550-$1.32M
ROKUexited-27,414-$1.17M

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 2018

Share positions as resolved from 13F-HR 0001352859-18-000009, largest first. % of portfolio is the value over $132,684,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
AAPLAPPLE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 21,271 shares; 2017Q2: 14,011 shares; 2017Q3: 13,961 shares; 2017Q4: 16,447 shares; 2018Q1: 32,366 shares; 2018Q2: 37,991 shares; 2018Q3: 40,206 shares 40,206$9.08M6.84%+2,215Timeline
BK TECHNOLOGIES INCBK TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 1,484,948 shares; 2018Q3: 1,481,748 shares 1,481,748$6M4.52%-3,200
KKRKKR & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 178,463 shares; 2018Q3: 177,000 shares 177,000$4.83M3.64%-1,463Timeline
ABRARBOR REALTY TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 419,919 shares; 2017Q2: 423,769 shares; 2017Q3: 395,419 shares; 2017Q4: 395,419 shares; 2018Q1: 388,819 shares; 2018Q2: 403,519 shares; 2018Q3: 409,969 shares 409,969$4.71M3.55%+6,450Timeline
MSFTMICROSOFT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 46,215 shares; 2017Q2: 44,115 shares; 2017Q3: 43,365 shares; 2017Q4: 43,105 shares; 2018Q1: 42,765 shares; 2018Q2: 40,465 shares; 2018Q3: 39,715 shares 39,715$4.54M3.42%-750Timeline
PFEPFIZER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 116,949 shares; 2017Q2: 116,974 shares; 2017Q3: 110,675 shares; 2017Q4: 100,075 shares; 2018Q1: 97,525 shares; 2018Q2: 90,725 shares; 2018Q3: 89,125 shares 89,125$3.93M2.96%-1,600Timeline
BRK-ABERKSHIRE HATHAWAY INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 3 shares; 2017Q2: 2 shares; 2017Q3: 11 shares; 2017Q4: 11 shares; 2018Q1: 11 shares; 2018Q2: 11 shares; 2018Q3: 11 shares 11$3.52M2.65%0Timeline
GMGENERAL MTRS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 151,743 shares; 2017Q2: 150,368 shares; 2017Q3: 138,068 shares; 2017Q4: 114,493 shares; 2018Q1: 111,093 shares; 2018Q2: 104,593 shares; 2018Q3: 102,593 shares 102,593$3.45M2.6%-2,000Timeline
MPTMEDICAL PROPERTIES TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 237,100 shares; 2017Q2: 239,550 shares; 2017Q3: 231,850 shares; 2017Q4: 229,350 shares; 2018Q1: 222,550 shares; 2018Q2: 217,250 shares; 2018Q3: 211,950 shares 211,950$3.16M2.38%-5,300Timeline
HTGCHERCULES CAPITAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 252,367 shares; 2017Q2: 251,217 shares; 2017Q3: 247,162 shares; 2017Q4: 248,462 shares; 2018Q1: 244,139 shares; 2018Q2: 241,717 shares; 2018Q3: 239,017 shares 239,017$3.15M2.37%-2,700Timeline
RED LION HOTELS CORPRED LION HOTELS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 248,674 shares; 2017Q2: 246,611 shares; 2017Q3: 242,941 shares; 2017Q4: 249,141 shares; 2018Q1: 243,441 shares; 2018Q2: 233,297 shares; 2018Q3: 215,547 shares 215,547$2.69M2.03%-17,750
PHYSSPROTT ASSET MANAGEMENT LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 266,071 shares; 2017Q2: 264,371 shares; 2017Q3: 284,671 shares; 2017Q4: 283,671 shares; 2018Q1: 276,471 shares; 2018Q2: 263,371 shares; 2018Q3: 257,371 shares 257,371$2.46M1.85%-6,000Timeline
BMYBRISTOL-MYERS SQUIBB COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 98,634 shares; 2017Q2: 99,134 shares; 2017Q3: 98,034 shares; 2017Q4: 86,000 shares; 2018Q1: 80,350 shares; 2018Q2: 39,550 shares; 2018Q3: 38,950 shares 38,950$2.42M1.82%-600Timeline
NWLNEWELL BRANDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 44,560 shares; 2018Q3: 106,110 shares 106,110$2.15M1.62%+61,550Timeline
DALDELTA AIR LINES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 23,350 shares; 2018Q2: 27,050 shares; 2018Q3: 36,350 shares 36,350$2.1M1.58%+9,300Timeline
AERIE PHARMACEUTICALS INCAERIE PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 49,325 shares; 2017Q2: 13,400 shares; 2017Q3: 29,400 shares; 2017Q4: 29,600 shares; 2018Q1: 29,600 shares; 2018Q2: 35,000 shares; 2018Q3: 33,500 shares 33,500$2.06M1.55%-1,500
CCITIGROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 43,195 shares; 2017Q2: 31,490 shares; 2017Q3: 30,320 shares; 2017Q4: 30,320 shares; 2018Q1: 29,470 shares; 2018Q2: 27,525 shares; 2018Q3: 28,725 shares 28,725$2.06M1.55%+1,200Timeline
WALGREENS BOOTS ALLIANCE INCWALGREENS BOOTS ALLIANCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 33,000 shares; 2017Q2: 33,050 shares; 2017Q3: 31,550 shares; 2017Q4: 31,250 shares; 2018Q1: 30,450 shares; 2018Q2: 28,350 shares; 2018Q3: 28,250 shares 28,250$2.06M1.55%-100
MMACYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 61,200 shares; 2017Q4: 61,200 shares; 2018Q1: 60,000 shares; 2018Q2: 57,000 shares; 2018Q3: 54,900 shares 54,900$1.91M1.44%-2,100Timeline
TAT&T INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 25,652 shares; 2017Q2: 29,615 shares; 2017Q3: 32,608 shares; 2017Q4: 47,122 shares; 2018Q1: 48,636 shares; 2018Q2: 55,352 shares; 2018Q3: 56,019 shares 56,019$1.88M1.42%+667Timeline
MRKMERCK & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 18,200 shares; 2017Q2: 18,000 shares; 2017Q3: 16,300 shares; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 27,750 shares; 2018Q3: 25,550 shares 25,550$1.81M1.37%-2,200Timeline
GOOGALPHABET INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 600 shares; 2017Q2: 600 shares; 2017Q3: 600 shares; 2017Q4: 609 shares; 2018Q1: 500 shares; 2018Q2: 1,425 shares; 2018Q3: 1,420 shares 1,420$1.7M1.28%-5Timeline
CHIMERA INVESTMENT CORPCHIMERA INVESTMENT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 118,320 shares; 2017Q2: 118,320 shares; 2017Q3: 107,180 shares; 2017Q4: 107,180 shares; 2018Q1: 99,230 shares; 2018Q2: 94,230 shares; 2018Q3: 91,910 shares 91,910$1.67M1.26%-2,320
MDLZMONDELEZ INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 66,133 shares; 2017Q2: 65,273 shares; 2017Q3: 59,523 shares; 2017Q4: 59,523 shares; 2018Q1: 44,523 shares; 2018Q2: 39,123 shares; 2018Q3: 38,523 shares 38,523$1.66M1.25%-600Timeline
STEWSRH TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 141,500 shares; 2017Q2: 140,500 shares; 2017Q3: 128,000 shares; 2017Q4: 128,000 shares; 2018Q1: 146,400 shares; 2018Q2: 143,400 shares; 2018Q3: 139,400 shares 139,400$1.56M1.18%-4,000Timeline
DVNDEVON ENERGY CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 29,553 shares; 2017Q2: 44,053 shares; 2017Q3: 41,753 shares; 2017Q4: 40,553 shares; 2018Q1: 40,503 shares; 2018Q2: 38,803 shares; 2018Q3: 38,803 shares 38,803$1.55M1.17%0Timeline
MONMOUTH REAL ESTATE INVT COMONMOUTH REAL ESTATE INVT COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 105,100 shares; 2017Q2: 103,600 shares; 2017Q3: 94,900 shares; 2017Q4: 94,900 shares; 2018Q1: 90,700 shares; 2018Q2: 87,700 shares; 2018Q3: 86,400 shares 86,400$1.45M1.09%-1,300
VTRVENTAS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 23,200 shares; 2018Q2: 25,900 shares; 2018Q3: 26,000 shares 26,000$1.41M1.07%+100Timeline
METAMETA PLATFORMS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 3,550 shares; 2017Q2: 3,550 shares; 2017Q3: 3,550 shares; 2017Q4: 3,452 shares; 2018Q1: 3,800 shares; 2018Q2: 9,625 shares; 2018Q3: 8,575 shares 8,575$1.41M1.06%-1,050Timeline
VOLT INFORMATION SCIEN COMVOLT INFORMATION SCIEN COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 345,940 shares; 2017Q2: 342,892 shares; 2017Q3: 331,192 shares; 2017Q4: 313,892 shares; 2018Q1: 330,745 shares; 2018Q2: 338,315 shares; 2018Q3: 349,488 shares 349,488$1.35M1.01%+11,173
GALTGALECTIN THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 194,200 shares; 2017Q2: 194,200 shares; 2017Q3: 194,200 shares; 2017Q4: 185,200 shares; 2018Q1: 221,700 shares; 2018Q2: 221,700 shares; 2018Q3: 222,700 shares 222,700$1.34M1.01%+1,000Timeline
ROYAL DUTCH SHELL PLC SPN A…ROYAL DUTCH SHELL PLC SPN ADRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 3,300 shares; 2018Q1: 12,800 shares; 2018Q2: 12,800 shares; 2018Q3: 18,400 shares 18,400$1.25M0.95%+5,600
BSLBLACKSTONE SENI FLTN RAT 202Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 86,728 shares; 2017Q2: 86,728 shares; 2017Q3: 73,928 shares; 2017Q4: 73,328 shares; 2018Q1: 69,328 shares; 2018Q2: 68,628 shares; 2018Q3: 67,628 shares 67,628$1.22M0.92%-1,000Timeline
CORENERGY INFRASTRUCTURE TRCORENERGY INFRASTRUCTURE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 17,558 shares; 2017Q4: 34,168 shares; 2018Q1: 33,168 shares; 2018Q2: 31,868 shares; 2018Q3: 30,868 shares 30,868$1.16M0.87%-1,000
MDTMEDTRONIC PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 11,925 shares; 2018Q1: 11,925 shares; 2018Q2: 11,925 shares; 2018Q3: 11,625 shares 11,625$1.14M0.86%-300Timeline
FALCON MINERALS CORPFALCON MINERALS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 102,000 shares 102,000$1.12M0.85%new
NFLXNETFLIX INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 3,100 shares; 2017Q2: 3,100 shares; 2017Q3: 3,400 shares; 2017Q4: 3,377 shares; 2018Q1: 3,377 shares; 2018Q2: 3,377 shares; 2018Q3: 2,907 shares 2,907$1.09M0.82%-470Timeline
CHSCPCHS INC CUM REDEMABLE PFD 8%Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 43,857 shares; 2017Q2: 43,357 shares; 2017Q3: 39,407 shares; 2017Q4: 39,207 shares; 2018Q1: 38,307 shares; 2018Q2: 36,507 shares; 2018Q3: 35,707 shares 35,707$1.06M0.8%-800Timeline
CHEMBIO DIAGNOSTICSCHEMBIO DIAGNOSTICSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 12,000 shares; 2017Q3: 32,900 shares; 2017Q4: 66,417 shares; 2018Q1: 75,092 shares; 2018Q2: 96,235 shares; 2018Q3: 100,535 shares 100,535$1.06M0.8%+4,300
BHKBLACKROCK CORE BD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 86,054 shares; 2017Q2: 89,054 shares; 2017Q3: 80,054 shares; 2017Q4: 82,054 shares; 2018Q1: 83,054 shares; 2018Q2: 82,294 shares; 2018Q3: 82,294 shares 82,294$1.05M0.79%0Timeline
AVTAVNET INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 24,800 shares; 2018Q2: 23,300 shares; 2018Q3: 23,000 shares 23,000$1.03M0.78%-300Timeline
COLONY CAPITAL INCCOLONY CAPITAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 164,953 shares; 2018Q3: 163,614 shares 163,614$996K0.75%-1,339
JNJJOHNSON & JOHNSONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 3,448 shares; 2017Q2: 2,948 shares; 2017Q3: not reported; 2017Q4: 4,113 shares; 2018Q1: 4,098 shares; 2018Q2: 7,298 shares; 2018Q3: 7,148 shares 7,148$988K0.74%-150Timeline
GSPRAGOLDMAN SACHS GROUP INC DEP SHQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 46,069 shares; 2017Q2: 45,769 shares; 2017Q3: 42,069 shares; 2017Q4: 42,069 shares; 2018Q1: 47,169 shares; 2018Q2: 43,969 shares; 2018Q3: 43,369 shares 43,369$984K0.74%-600Timeline
WMTWALMART INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 10,575 shares; 2018Q2: 10,575 shares; 2018Q3: 10,425 shares 10,425$979K0.74%-150Timeline
DISDISNEY WALT COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 4,150 shares; 2017Q2: 4,150 shares; 2017Q3: 3,550 shares; 2017Q4: 9,632 shares; 2018Q1: 8,650 shares; 2018Q2: 8,950 shares; 2018Q3: 8,073 shares 8,073$944K0.71%-877Timeline
LEUTHOLD FDS INC GRIZZLY SH…LEUTHOLD FDS INC GRIZZLY SHORTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 53,325 shares; 2018Q3: 52,650 shares 52,650$929K0.7%-675
B RILEY FINANCIAL SNR NTSB RILEY FINANCIAL SNR NTSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 35,600 shares; 2018Q3: 36,600 shares 36,600$921K0.69%+1,000
TEVATEVA PHARMACEUTICAL INDS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 32,244 shares; 2017Q2: 31,944 shares; 2017Q3: 29,844 shares; 2017Q4: 47,544 shares; 2018Q1: 45,044 shares; 2018Q2: 44,244 shares; 2018Q3: 41,544 shares 41,544$895K0.67%-2,700Timeline
GENERAL ELEC COGENERAL ELEC COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 34,150 shares; 2017Q2: 39,400 shares; 2017Q3: 36,800 shares; 2017Q4: 51,000 shares; 2018Q1: 50,075 shares; 2018Q2: 83,025 shares; 2018Q3: 78,925 shares 78,925$891K0.67%-4,100
PGPROCTER & GAMBLE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 13,350 shares; 2017Q2: 13,750 shares; 2017Q3: 13,500 shares; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 10,000 shares; 2018Q3: 10,000 shares 10,000$832K0.63%0Timeline
INTCINTEL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 22,000 shares; 2018Q1: 45,250 shares; 2018Q2: 45,950 shares; 2018Q3: 17,500 shares 17,500$828K0.62%-28,450Timeline
CMCSACOMCAST CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 22,775 shares; 2018Q3: 22,775 shares 22,775$806K0.61%0Timeline
COPCONOCOPHILLIPSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 11,250 shares; 2017Q2: 11,350 shares; 2017Q3: 11,050 shares; 2017Q4: 9,650 shares; 2018Q1: 9,650 shares; 2018Q2: 9,650 shares; 2018Q3: 9,650 shares 9,650$747K0.56%0Timeline
DIAXNUVEEN DOW 30SM DYNAMIC OVERWRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 36,365 shares; 2017Q2: 42,693 shares; 2017Q3: 41,693 shares; 2017Q4: 40,193 shares; 2018Q1: 39,493 shares; 2018Q2: 38,006 shares; 2018Q3: 37,206 shares 37,206$736K0.55%-800Timeline
KWKENNEDY-WILSON HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 32,500 shares; 2017Q2: 32,500 shares; 2017Q3: 32,500 shares; 2017Q4: 32,500 shares; 2018Q1: 32,500 shares; 2018Q2: 34,000 shares; 2018Q3: 34,000 shares 34,000$731K0.55%0Timeline
***SEASPAN CORPORATION CUM …***SEASPAN CORPORATION CUM REDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 29,550 shares; 2017Q2: 30,850 shares; 2017Q3: 30,050 shares; 2017Q4: 30,050 shares; 2018Q1: 30,050 shares; 2018Q2: 30,050 shares; 2018Q3: 28,850 shares 28,850$718K0.54%-1,200
TEMPLETON GLOBAL TOTAL RT A…TEMPLETON GLOBAL TOTAL RT ADV CL …Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 76,743 shares; 2017Q2: 76,790 shares; 2017Q3: 69,951 shares; 2017Q4: 69,982 shares; 2018Q1: 66,600 shares; 2018Q2: 61,105 shares; 2018Q3: 61,219 shares 61,219$710K0.54%+114
SRPTSAREPTA THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 7,500 shares; 2017Q2: 10,000 shares; 2017Q3: 20,400 shares; 2017Q4: 21,250 shares; 2018Q1: 17,250 shares; 2018Q2: 2,000 shares; 2018Q3: 4,000 shares 4,000$646K0.49%+2,000Timeline
VERTEX ENERGY INCVERTEX ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 386,669 shares; 2017Q2: 389,669 shares; 2017Q3: 389,669 shares; 2017Q4: 372,769 shares; 2018Q1: 357,269 shares; 2018Q2: 357,269 shares; 2018Q3: 365,769 shares 365,769$625K0.47%+8,500
OHIOMEGA HEALTHCARE INVS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 22,775 shares; 2017Q2: 24,675 shares; 2017Q3: 24,975 shares; 2017Q4: 23,475 shares; 2018Q1: 19,125 shares; 2018Q2: 18,525 shares; 2018Q3: 17,725 shares 17,725$581K0.44%-800Timeline
RWTREDWOOD TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 112,967 shares; 2017Q2: 112,367 shares; 2017Q3: 104,467 shares; 2017Q4: 45,266 shares; 2018Q1: 38,666 shares; 2018Q2: 36,166 shares; 2018Q3: 34,966 shares 34,966$568K0.43%-1,200Timeline
MSPRAMorgan Stanley Dep Shs repstgQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 24,305 shares; 2017Q2: 24,305 shares; 2017Q3: 20,605 shares; 2017Q4: 20,605 shares; 2018Q1: 22,205 shares; 2018Q2: 24,205 shares; 2018Q3: 23,705 shares 23,705$537K0.4%-500Timeline
METMETLIFE INC PFD SERIES A FLOATQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 24,100 shares; 2017Q2: 24,100 shares; 2017Q3: 23,100 shares; 2017Q4: 23,100 shares; 2018Q1: 21,800 shares; 2018Q2: 21,800 shares; 2018Q3: 21,200 shares 21,200$534K0.4%-600Timeline
BRK-BBERKSHIRE HATHAWAY INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 2,300 shares; 2017Q4: 2,300 shares; 2018Q1: 2,300 shares; 2018Q2: 2,300 shares; 2018Q3: 2,300 shares 2,300$492K0.37%0Timeline
RDIREADING INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 27,600 shares; 2017Q2: 27,600 shares; 2017Q3: 27,600 shares; 2017Q4: 27,600 shares; 2018Q1: 32,600 shares; 2018Q2: 33,600 shares; 2018Q3: 31,100 shares 31,100$491K0.37%-2,500Timeline
RGLDROYAL GOLD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 6,800 shares; 2017Q2: 6,600 shares; 2017Q3: 6,200 shares; 2017Q4: 6,200 shares; 2018Q1: 6,200 shares; 2018Q2: 6,200 shares; 2018Q3: 6,200 shares 6,200$478K0.36%0Timeline
HCP INCHCP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 29,550 shares; 2017Q2: 30,050 shares; 2017Q3: 28,750 shares; 2017Q4: 23,500 shares; 2018Q1: 21,550 shares; 2018Q2: 19,250 shares; 2018Q3: 16,900 shares 16,900$445K0.34%-2,350
ISTAR INCISTAR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 59,150 shares; 2017Q2: 57,950 shares; 2017Q3: 51,050 shares; 2017Q4: 50,550 shares; 2018Q1: 44,550 shares; 2018Q2: 40,750 shares; 2018Q3: 39,050 shares 39,050$436K0.33%-1,700
BABAALIBABA GROUP HLDG LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 5,970 shares; 2017Q4: 6,170 shares; 2018Q1: 6,140 shares; 2018Q2: 5,140 shares; 2018Q3: 2,540 shares 2,540$418K0.32%-2,600Timeline
SNYSANOFI SAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 12,300 shares; 2017Q2: 12,000 shares; 2017Q3: 11,600 shares; 2017Q4: 10,500 shares; 2018Q1: 10,500 shares; 2018Q2: 9,300 shares; 2018Q3: 9,300 shares 9,300$415K0.31%0Timeline
VTIVANGUARD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 2,530 shares; 2017Q2: 2,480 shares; 2017Q3: 2,480 shares; 2017Q4: 2,355 shares; 2018Q1: 2,355 shares; 2018Q2: 2,705 shares; 2018Q3: 2,705 shares 2,705$405K0.31%0Timeline
CTSHCOGNIZANT TECHNOLOGY SOLUTIOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 5,400 shares; 2017Q3: 7,650 shares; 2017Q4: 7,550 shares; 2018Q1: 6,450 shares; 2018Q2: 6,450 shares; 2018Q3: 5,250 shares 5,250$405K0.31%-1,200Timeline
XLESELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 5,468 shares; 2017Q2: 5,918 shares; 2017Q3: 5,918 shares; 2017Q4: 5,918 shares; 2018Q1: 5,818 shares; 2018Q2: 6,218 shares; 2018Q3: 5,318 shares 5,318$403K0.3%-900Timeline
OEFISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 9,215 shares; 2017Q2: 3,850 shares; 2017Q3: 3,850 shares; 2017Q4: 3,650 shares; 2018Q1: 3,650 shares; 2018Q2: 3,150 shares; 2018Q3: 3,070 shares 3,070$398K0.3%-80Timeline
NUVERRA ENVIRONMENTAL SOLUTINUVERRA ENVIRONMENTAL SOLUTIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 38,980 shares; 2017Q4: 38,172 shares; 2018Q1: 38,172 shares; 2018Q2: 35,758 shares; 2018Q3: 35,758 shares 35,758$398K0.3%0
QQQINVESCO QQQ TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 2,095 shares; 2018Q3: 2,095 shares 2,095$389K0.29%0Timeline
AMZNAMAZON COM INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 322 shares; 2017Q3: 322 shares; 2017Q4: 222 shares; 2018Q1: 222 shares; 2018Q2: 222 shares; 2018Q3: 192 shares 192$385K0.29%-30Timeline
MFA FINL INCMFA FINL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 247,822 shares; 2017Q2: 248,722 shares; 2017Q3: 234,522 shares; 2017Q4: 230,522 shares; 2018Q1: 55,200 shares; 2018Q2: 54,700 shares; 2018Q3: 51,700 shares 51,700$380K0.29%-3,000
PIMCO DYNAMIC CR INCOME FDPIMCO DYNAMIC CR INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 15,400 shares; 2017Q2: 15,400 shares; 2017Q3: 15,400 shares; 2017Q4: 15,400 shares; 2018Q1: 15,400 shares; 2018Q2: 15,400 shares; 2018Q3: 15,400 shares 15,400$371K0.28%0
RETAIL OPPORTUNITY INVESTME…RETAIL OPPORTUNITY INVESTMENTSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 24,000 shares; 2017Q2: 24,000 shares; 2017Q3: 24,000 shares; 2017Q4: 24,000 shares; 2018Q1: 24,000 shares; 2018Q2: 24,000 shares; 2018Q3: 19,000 shares 19,000$355K0.27%-5,000
PTYPIMCO CORPORATE & INCOME OPPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 11,400 shares; 2018Q1: 18,400 shares; 2018Q2: 18,600 shares; 2018Q3: 19,600 shares 19,600$350K0.26%+1,000Timeline
VZVERIZON COMMUNICATIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 6,068 shares; 2017Q2: 6,770 shares; 2017Q3: 6,783 shares; 2017Q4: 6,349 shares; 2018Q1: 6,308 shares; 2018Q2: 6,511 shares; 2018Q3: 6,524 shares 6,524$348K0.26%+13Timeline
HOUSTON AMERN ENERGY CORPHOUSTON AMERN ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 1,578,459 shares; 2017Q2: 1,582,459 shares; 2017Q3: 1,569,459 shares; 2017Q4: 1,558,959 shares; 2018Q1: 1,558,959 shares; 2018Q2: 1,558,959 shares; 2018Q3: 1,558,959 shares 1,558,959$343K0.26%0
GLDSPDR GOLD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 4,035 shares; 2017Q2: 4,035 shares; 2017Q3: 4,035 shares; 2017Q4: 3,035 shares; 2018Q1: 3,035 shares; 2018Q2: 3,000 shares; 2018Q3: 3,000 shares 3,000$338K0.25%0Timeline
CVUCPI AEROSTRUCTURES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 39,800 shares; 2017Q2: 40,400 shares; 2017Q3: 40,400 shares; 2017Q4: 39,900 shares; 2018Q1: 39,600 shares; 2018Q2: 40,600 shares; 2018Q3: 40,100 shares 40,100$335K0.25%-500Timeline
CBS CORP NEWCBS CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 5,600 shares; 2017Q3: 5,100 shares; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 5,800 shares 5,800$333K0.25%new
VNQVANGUARD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 3,815 shares; 2017Q2: 4,315 shares; 2017Q3: 4,465 shares; 2017Q4: 4,065 shares; 2018Q1: 3,995 shares; 2018Q2: 4,095 shares; 2018Q3: 4,095 shares 4,095$330K0.25%0Timeline
MUCBLACKROCK MUNIHLDNGS CALIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 33,000 shares; 2017Q2: 32,000 shares; 2017Q3: 32,000 shares; 2017Q4: 30,500 shares; 2018Q1: 25,000 shares; 2018Q2: 25,000 shares; 2018Q3: 25,000 shares 25,000$314K0.24%0Timeline
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; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 14,447 shares; 2017Q4: 14,447 shares; 2018Q1: 13,447 shares; 2018Q2: 11,947 shares; 2018Q3: 11,947 shares 11,947$305K0.23%0
LIONS GATE ENTMNT CORPLIONS GATE ENTMNT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 10,000 shares; 2018Q3: 12,500 shares 12,500$291K0.22%+2,500
DELL TECHNOLOGIES INC CLASS…DELL TECHNOLOGIES INC CLASS CLASS…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 3,000 shares; 2018Q3: 3,000 shares 3,000$291K0.22%0
ALLIANCEBERNSTEIN MUN N Y P…ALLIANCEBERNSTEIN MUN N Y PTFLQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 29,597 shares; 2017Q3: 29,597 shares; 2017Q4: 29,597 shares; 2018Q1: 29,597 shares; 2018Q2: 29,597 shares; 2018Q3: 29,597 shares 29,597$287K0.22%0
ANNALY CAPITAL MANAGEMENTANNALY CAPITAL MANAGEMENTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 21,500 shares; 2017Q2: 23,100 shares; 2017Q3: 21,900 shares; 2017Q4: 21,900 shares; 2018Q1: 21,900 shares; 2018Q2: 28,000 shares; 2018Q3: 28,000 shares 28,000$286K0.22%0
PPAINVESCO EXCHANGE TRADED FD TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 4,600 shares; 2018Q3: 4,600 shares 4,600$283K0.21%0Timeline
MGMMGM RESORTS INTERNATIONALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 10,000 shares 10,000$279K0.21%newTimeline
ALLYALLY FINL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 18,500 shares; 2017Q2: 15,000 shares; 2017Q3: 15,000 shares; 2017Q4: 15,000 shares; 2018Q1: 10,500 shares; 2018Q2: 10,500 shares; 2018Q3: 10,500 shares 10,500$278K0.21%0Timeline
FDXFEDEX CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 1,300 shares; 2017Q2: 1,100 shares; 2017Q3: 1,150 shares; 2017Q4: 1,150 shares; 2018Q1: 1,150 shares; 2018Q2: 1,150 shares; 2018Q3: 1,150 shares 1,150$277K0.21%0Timeline
CATCATERPILLAR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 1,800 shares; 2018Q3: 1,800 shares 1,800$274K0.21%0Timeline
AIGAMERICAN INTL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 6,000 shares; 2017Q2: 6,500 shares; 2017Q3: 6,000 shares; 2017Q4: 6,084 shares; 2018Q1: 6,000 shares; 2018Q2: 6,000 shares; 2018Q3: 5,000 shares 5,000$266K0.2%-1,000Timeline
PICO HLDGS INCPICO HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 30,000 shares; 2017Q2: 30,000 shares; 2017Q3: 26,207 shares; 2017Q4: 26,207 shares; 2018Q1: 25,957 shares; 2018Q2: 20,957 shares; 2018Q3: 20,957 shares 20,957$263K0.2%0
***TSAKOS ENERGY NAVIGATION…***TSAKOS ENERGY NAVIGATION LTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 10,100 shares; 2017Q2: 10,300 shares; 2017Q3: 10,300 shares; 2017Q4: 10,300 shares; 2018Q1: 10,300 shares; 2018Q2: 10,100 shares; 2018Q3: 10,100 shares 10,100$255K0.19%0
MCRMFS CHARTER INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 52,850 shares; 2017Q2: 51,550 shares; 2017Q3: 45,150 shares; 2017Q4: 41,150 shares; 2018Q1: 35,650 shares; 2018Q2: 32,750 shares; 2018Q3: 32,250 shares 32,250$250K0.19%-500Timeline
XLVSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 3,375 shares; 2017Q2: 2,975 shares; 2017Q3: 3,425 shares; 2017Q4: 3,075 shares; 2018Q1: 3,100 shares; 2018Q2: 2,700 shares; 2018Q3: 2,620 shares 2,620$249K0.19%-80Timeline
PEPPEPSICO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 2,200 shares 2,200$246K0.19%newTimeline
HC2 HLDGS INCHC2 HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 40,000 shares; 2017Q2: 40,000 shares; 2017Q3: 40,000 shares; 2017Q4: 40,000 shares; 2018Q1: 40,000 shares; 2018Q2: 40,000 shares; 2018Q3: 40,000 shares 40,000$245K0.18%0
BUNGE LTDBUNGE LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 3,500 shares 3,500$240K0.18%new
MINABERDEEN INTER INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 69,800 shares; 2017Q2: 72,300 shares; 2017Q3: 66,300 shares; 2017Q4: 64,300 shares; 2018Q1: 64,300 shares; 2018Q2: 60,300 shares; 2018Q3: 60,300 shares 60,300$227K0.17%0Timeline
PPLPPL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 7,500 shares 7,500$219K0.17%newTimeline
STONEMOR PARTNERS LPSTONEMOR PARTNERS LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 17,500 shares; 2018Q1: 25,000 shares; 2018Q2: 42,500 shares; 2018Q3: 42,500 shares 42,500$218K0.16%0
UPSUNITED PARCEL SVCS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 1,800 shares 1,800$210K0.16%newTimeline
IYYISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 1,500 shares; 2018Q1: not reported; 2018Q2: 1,500 shares; 2018Q3: 1,440 shares 1,440$210K0.16%-60Timeline
NQPNUVEEN PA INVT QUALITY MUN FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 16,600 shares; 2017Q3: 16,600 shares; 2017Q4: 16,600 shares; 2018Q1: 16,600 shares; 2018Q2: 16,600 shares; 2018Q3: 16,600 shares 16,600$207K0.16%0Timeline
ALTABA INCALTABA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: 3,000 shares; 2018Q3: 3,000 shares 3,000$204K0.15%0
FRANKLIN NY TAX FREEFRANKLIN NY TAX FREEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 25,938 shares; 2017Q3: 25,938 shares; 2017Q4: 20,938 shares; 2018Q1: 18,938 shares; 2018Q2: 18,938 shares; 2018Q3: 18,938 shares 18,938$203K0.15%0
CLCOLGATE PALMOLIVE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 5,000 shares; 2017Q2: 5,000 shares; 2017Q3: 5,000 shares; 2017Q4: 5,066 shares; 2018Q1: 5,000 shares; 2018Q2: not reported; 2018Q3: 3,000 shares 3,000$201K0.15%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; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 18,173 shares; 2017Q3: 18,173 shares; 2017Q4: 18,173 shares; 2018Q1: 18,173 shares; 2018Q2: 18,173 shares; 2018Q3: 18,173 shares 18,173$201K0.15%0
FIRST PACIFIC ADVISORSFIRST PACIFIC ADVISORSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 27,663 shares; 2017Q2: 27,858 shares; 2017Q3: 21,805 shares; 2017Q4: 22,119 shares; 2018Q1: 22,119 shares; 2018Q2: 21,287 shares; 2018Q3: 18,776 shares 18,776$187K0.14%-2,511
PLATFORM SPECIALTY PRODS CORPLATFORM SPECIALTY PRODS CORQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 14,000 shares; 2017Q2: 14,000 shares; 2017Q3: 12,500 shares; 2017Q4: 12,500 shares; 2018Q1: 15,000 shares; 2018Q2: 12,500 shares; 2018Q3: 12,500 shares 12,500$156K0.12%0
BIOLINERX LTD-SPONS ADRBIOLINERX LTD-SPONS ADRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 144,000 shares; 2017Q2: 144,000 shares; 2017Q3: 146,000 shares; 2017Q4: 143,000 shares; 2018Q1: 143,000 shares; 2018Q2: 143,000 shares; 2018Q3: 143,000 shares 143,000$153K0.12%0
TEEKAY CORPORATIONTEEKAY CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 36,500 shares; 2017Q3: 29,000 shares; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 21,500 shares 21,500$145K0.11%new
LORD ABBETT SHORT DURATION …LORD ABBETT SHORT DURATION INCOME…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 34,475 shares; 2017Q2: 34,740 shares; 2017Q3: 35,012 shares; 2017Q4: 35,223 shares; 2018Q1: 35,497 shares; 2018Q2: 34,790 shares; 2018Q3: 34,960 shares 34,960$145K0.11%+170
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; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 14,147 shares; 2017Q3: 14,147 shares; 2017Q4: 14,147 shares; 2018Q1: 14,147 shares; 2018Q2: 14,147 shares; 2018Q3: 14,147 shares 14,147$139K0.1%0
CAPITAL PRODUCT PARTNERS L PCAPITAL PRODUCT PARTNERS L PQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 142,580 shares; 2017Q2: 140,280 shares; 2017Q3: 138,780 shares; 2017Q4: 132,280 shares; 2018Q1: 132,280 shares; 2018Q2: 110,280 shares; 2018Q3: 43,280 shares 43,280$120K0.09%-67,000
ABERDEEN ASIA-PACIFIC INCOM…ABERDEEN ASIA-PACIFIC INCOME FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 31,100 shares; 2017Q2: 33,500 shares; 2017Q3: 33,500 shares; 2017Q4: 33,500 shares; 2018Q1: 28,000 shares; 2018Q2: 25,800 shares; 2018Q3: 25,800 shares 25,800$107K0.08%0
RIVERPARK FDS TR STRAT INC …RIVERPARK FDS TR STRAT INC RTAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 10,327 shares; 2017Q2: 10,430 shares; 2017Q3: 10,526 shares; 2017Q4: 10,656 shares; 2018Q1: 10,719 shares; 2018Q2: 10,820 shares; 2018Q3: 10,899 shares 10,899$102K0.08%+79
BIOSIG TECHNOLOGIES INCBIOSIG TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 16,000 shares 16,000$89K0.07%new
TRINITY BIOTECH PLCTRINITY BIOTECH PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 40,472 shares; 2017Q2: 40,172 shares; 2017Q3: 37,882 shares; 2017Q4: 23,982 shares; 2018Q1: 22,928 shares; 2018Q2: 19,728 shares; 2018Q3: 19,728 shares 19,728$79K0.06%0
APPLIED DNA SCIENCES INCAPPLIED DNA SCIENCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 50,000 shares; 2017Q2: 50,000 shares; 2017Q3: 50,000 shares; 2017Q4: 50,000 shares; 2018Q1: 50,000 shares; 2018Q2: 50,000 shares; 2018Q3: 50,000 shares 50,000$74K0.06%0
GLOBAL SHIP LEASE INC NEWGLOBAL SHIP LEASE INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 79,800 shares; 2017Q2: 57,350 shares; 2017Q3: 57,350 shares; 2017Q4: 55,350 shares; 2018Q1: 45,350 shares; 2018Q2: 45,350 shares; 2018Q3: 45,350 shares 45,350$50K0.04%0
TEEKAY OFFSHORE PARTNERS LPTEEKAY OFFSHORE PARTNERS LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 83,500 shares; 2017Q2: 83,500 shares; 2017Q3: 81,500 shares; 2017Q4: 70,500 shares; 2018Q1: 70,500 shares; 2018Q2: 40,500 shares; 2018Q3: 15,500 shares 15,500$36K0.03%-25,000
CELLDEX THERAPEUTICS INC NEWCELLDEX THERAPEUTICS INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 64,800 shares; 2017Q2: 64,800 shares; 2017Q3: 64,800 shares; 2017Q4: 61,000 shares; 2018Q1: 55,000 shares; 2018Q2: 54,400 shares; 2018Q3: 53,400 shares 53,400$24K0.02%-1,000
PRESIDENTIAL RLTY NEW CL BPRESIDENTIAL RLTY NEW CL BQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q4: restricted; 2017Q1: 115,300 shares; 2017Q2: 115,300 shares; 2017Q3: 74,000 shares; 2017Q4: 74,000 shares; 2018Q1: 74,000 shares; 2018Q2: 74,000 shares; 2018Q3: 74,000 shares 74,000$1K<0.01%0

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 07/10/201call18,346$303K0

Sold out in Q3 2018

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

SecurityShares beforeValue beforeType
DXJWISDOMTREE TR32,130$1.73Mshares
TPRTAPESTRY INC29,070$1.36Mshares
SELECT INCOME REITSELECT INCOME REIT58,550$1.32Mshares
ROKUROKU INC27,414$1.17Mshares
DEMWISDOMTREE TR12,299$527Kshares
CNOBCONNECTONE BANCORP INC8,206$204Kshares
GLOBAL ENERGY HLDGS GR COMGLOBAL ENERGY HLDGS GR COM69,447$0shares

How Q3 2018 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 0001352859-18-000009 base2018-11-09acceptance time not in the bulk data set