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INVESTMENT CENTERS OF AMERICA INC

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13F filer, CIK 1351904, BISMARCK, ND

INVESTMENT CENTERS OF AMERICA INC reported $1,296,345,000 across 639 holdings for the quarter ended 2017-03-31, in a 13F-HR filed 2017-05-15. Its ten largest share positions make up 21.12% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-17-001382

Period
2017-03-31
Reported value
$1.3B
Holdings
639
Top 10 weight
21.12%
New
63
Sold out
40

Largest buys vs the previous quarter

SecurityShares changeApprox. value
IJRadded+72,364$5.01M
IVEadded+46,837$4.87M
BSVadded+51,266$4.09M
IVVadded+17,205$4.08M
VEAadded+91,610$3.6M

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
INNreduced-322,381-$5.15M
INVESTORS REAL ESTATE TRUSTreduced-288,421-$1.71M
PMreduced-12,295-$1.39M
DUKreduced-16,216-$1.33M
IBMreduced-7,627-$1.32M

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, Q1 2017

Share positions as resolved from 13F-HR 0001085146-17-001382, largest first. % of portfolio is the value over $1,296,345,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
XETYXEATON VANCE TAX-MANAGED DIVEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 20,050 shares; 2017Q1: 23,750 shares 23,750$262K0.02%+3,700Timeline
DLNWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 3,102 shares; 2017Q1: 3,149 shares 3,149$262K0.02%+47Timeline
ENCANA CORPENCANA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,800 shares; 2016Q3: 19,600 shares; 2016Q4: 22,819 shares; 2017Q1: 22,321 shares 22,321$261K0.02%-498
RGRSTURM RUGER & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 5,237 shares; 2017Q1: 4,813 shares 4,813$259K0.02%-424Timeline
PRICELINE GRP INCPRICELINE GRP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 199 shares; 2016Q3: 199 shares; 2016Q4: 150 shares; 2017Q1: 144 shares 144$257K0.02%-6
CRMSALESFORCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 3,406 shares; 2017Q1: 3,132 shares 3,132$256K0.02%-274Timeline
MPTMEDICAL PROPERTIES TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,250 shares; 2016Q3: 11,250 shares; 2016Q4: 16,050 shares; 2017Q1: 19,690 shares 19,690$256K0.02%+3,640Timeline
SIRIUS XM HOLDINGS INCSIRIUS XM HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 46,865 shares; 2016Q3: 44,957 shares; 2016Q4: 49,228 shares; 2017Q1: 49,651 shares 49,651$256K0.02%+423
WMBWILLIAMS COS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 8,298 shares; 2016Q4: 9,252 shares; 2017Q1: 8,505 shares 8,505$255K0.02%-747Timeline
IWOISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,137 shares; 2016Q3: 2,338 shares; 2016Q4: 1,611 shares; 2017Q1: 1,578 shares 1,578$254K0.02%-33Timeline
OGEOGE ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 7,043 shares; 2016Q3: not reported; 2016Q4: 6,787 shares; 2017Q1: 7,329 shares 7,329$254K0.02%+542Timeline
TORTOISE ENERGY INFRA CORPTORTOISE ENERGY INFRA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 7,182 shares 7,182$252K0.02%new
TSCOTRACTOR SUPPLY COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,536 shares; 2016Q3: 4,256 shares; 2016Q4: 4,329 shares; 2017Q1: 3,623 shares 3,623$250K0.02%-706Timeline
CGNXCOGNEX CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 2,975 shares 2,975$250K0.02%newTimeline
IGMISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,902 shares; 2016Q3: 1,797 shares; 2016Q4: 1,622 shares; 2017Q1: 1,806 shares 1,806$249K0.02%+184Timeline
TXNTEXAS INSTRS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,075 shares 3,075$248K0.02%newTimeline
HWBKHAWTHORN BANCSHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,758 shares; 2017Q1: 11,758 shares 11,758$248K0.02%0Timeline
AOMISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 6,839 shares 6,839$248K0.02%newTimeline
TRNTRINITY INDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,164 shares; 2016Q3: 9,904 shares; 2016Q4: 9,268 shares; 2017Q1: 9,268 shares 9,268$247K0.02%0Timeline
ELSEQUITY LIFESTYLE PROPERTIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,200 shares; 2016Q3: 3,200 shares; 2016Q4: 3,200 shares; 2017Q1: 3,200 shares 3,200$247K0.02%0Timeline
TEVATEVA PHARMACEUTICAL INDS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,505 shares; 2016Q3: 4,649 shares; 2016Q4: 6,199 shares; 2017Q1: 7,649 shares 7,649$244K0.02%+1,450Timeline
SWKSTANLEY BLACK & DECKER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 1,826 shares 1,826$243K0.02%newTimeline
SILVER WHEATON CORPSILVER WHEATON CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,338 shares; 2016Q3: 7,734 shares; 2016Q4: 11,703 shares; 2017Q1: 11,676 shares 11,676$243K0.02%-27
PMTPENNYMAC MTG INVT TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 13,713 shares 13,713$242K0.02%newTimeline
DDOMINION ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 3,033 shares; 2017Q1: 3,074 shares 3,074$241K0.02%+41Timeline
BIIBBIOGEN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 916 shares; 2017Q1: 892 shares 892$241K0.02%-24Timeline
BMOBANK OF MONTREALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 3,213 shares; 2017Q1: 3,216 shares 3,216$241K0.02%+3Timeline
SPYGSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 2,126 shares 2,126$240K0.02%newTimeline
ROKROCKWELL AUTOMATION INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 1,543 shares 1,543$240K0.02%newTimeline
DREYFUSDREYFUSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 76,572 shares; 2016Q3: 66,470 shares; 2016Q4: 73,447 shares; 2017Q1: 71,042 shares 71,042$240K0.02%-2,405
DREYFUS MUN INCOME INCDREYFUS MUN INCOME INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 27,180 shares; 2016Q3: 27,180 shares; 2016Q4: 26,757 shares; 2017Q1: 26,757 shares 26,757$238K0.02%0
MOSMOSAIC COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 9,811 shares; 2016Q4: 7,989 shares; 2017Q1: 8,121 shares 8,121$238K0.02%+132Timeline
MCHPMICROCHIP TECHNOLOGY INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,216 shares 3,216$237K0.02%newTimeline
OPPJWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 6,304 shares; 2017Q1: 6,304 shares 6,304$237K0.02%0Timeline
FITBIT INCFITBIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 39,822 shares 39,822$237K0.02%new
NOCNORTHROP GRUMMAN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 983 shares; 2017Q1: 983 shares 983$236K0.02%0Timeline
OKEONEOK INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 3,918 shares; 2017Q1: 4,202 shares 4,202$235K0.02%+284Timeline
NMLNEUBERGER ENGY INFRSTR & INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 23,340 shares; 2017Q1: 22,990 shares 22,990$234K0.02%-350Timeline
SHMSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,784 shares; 2016Q4: 5,590 shares; 2017Q1: 4,813 shares 4,813$233K0.02%-777Timeline
BDJBLACKROCK ENHANCED EQUITY DIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 25,076 shares; 2016Q3: 23,946 shares; 2016Q4: 26,544 shares; 2017Q1: 26,794 shares 26,794$231K0.02%+250Timeline
XMVTXBLACKROCK MUNIVEST FUND IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,790 shares; 2016Q3: 15,750 shares; 2016Q4: 15,112 shares; 2017Q1: 15,112 shares 15,112$231K0.02%0Timeline
BKDBROOKDALE SR LIVING INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 17,200 shares; 2017Q1: 17,200 shares 17,200$231K0.02%0Timeline
AMATAPPLIED MATLS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 5,864 shares 5,864$230K0.02%newTimeline
VOOGVANGUARD ADMIRAL FDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 2,089 shares; 2017Q1: 1,948 shares 1,948$230K0.02%-141Timeline
DISH NETWORK CORPORATIONDISH NETWORK CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 3,600 shares; 2017Q1: 3,600 shares 3,600$229K0.02%0
BSXBOSTON SCIENTIFIC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 10,473 shares; 2017Q1: 9,273 shares 9,273$228K0.02%-1,200Timeline
AALAMERICAN AIRLINES GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 4,693 shares; 2017Q1: 5,348 shares 5,348$228K0.02%+655Timeline
POWERSHARESPOWERSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,510 shares; 2016Q3: 11,897 shares; 2016Q4: 11,632 shares; 2017Q1: 11,530 shares 11,530$228K0.02%-102
Lincoln National CorporatLincoln National CorporatQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 6,245 shares 6,245$226K0.02%new
DIEBOLD NXDF INCDIEBOLD NXDF INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,537 shares; 2016Q3: 10,537 shares; 2016Q4: 8,526 shares; 2017Q1: 7,349 shares 7,349$226K0.02%-1,177
PNRPENTAIR PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,032 shares; 2016Q4: 4,600 shares; 2017Q1: 3,607 shares 3,607$225K0.02%-993Timeline
AQUA AMERICA INCAQUA AMERICA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 7,590 shares; 2016Q3: 7,096 shares; 2016Q4: 7,293 shares; 2017Q1: 6,982 shares 6,982$225K0.02%-311
POWERSHARES ETF TR II S&P50…POWERSHARES ETF TR II S&P500 LQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,357 shares; 2016Q3: 10,301 shares; 2016Q4: 8,159 shares; 2017Q1: 5,172 shares 5,172$225K0.02%-2,987
ALLERGAN PLCALLERGAN PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 1,007 shares; 2017Q1: 935 shares 935$224K0.02%-72
LNGCHENIERE ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,540 shares; 2016Q3: 4,672 shares; 2016Q4: 5,432 shares; 2017Q1: 4,697 shares 4,697$222K0.02%-735Timeline
MANHMANHATTAN ASSOCIATES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 4,230 shares 4,230$222K0.02%newTimeline
MDXGMIMEDX GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 47,850 shares; 2016Q3: 42,050 shares; 2016Q4: 23,150 shares; 2017Q1: 22,850 shares 22,850$221K0.02%-300Timeline
RWMPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,630 shares; 2016Q3: 6,230 shares; 2016Q4: 6,280 shares; 2017Q1: 4,630 shares 4,630$221K0.02%-1,650Timeline
FEPFIRST TR EXCH TRD ALPHDX FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,081 shares; 2016Q3: 10,197 shares; 2016Q4: 10,020 shares; 2017Q1: 6,862 shares 6,862$220K0.02%-3,158Timeline
KKELLANOVAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 3,022 shares; 2017Q1: 3,024 shares 3,024$219K0.02%+2Timeline
GTGOODYEAR TIRE & RUBR COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 6,810 shares; 2016Q4: not reported; 2017Q1: 6,066 shares 6,066$217K0.02%newTimeline
RYDEX ETF TRUSTRYDEX ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,593 shares; 2016Q3: 2,436 shares; 2016Q4: 1,806 shares; 2017Q1: 1,576 shares 1,576$214K0.02%-230
PCGPG&E CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,187 shares 3,187$212K0.02%newTimeline
CCLCARNIVAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,599 shares 3,599$212K0.02%newTimeline
PSAPUBLIC STORAGEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 917 shares; 2016Q4: 992 shares; 2017Q1: 955 shares 955$211K0.02%-37Timeline
HYLSFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,964 shares; 2016Q3: 6,768 shares; 2016Q4: 4,529 shares; 2017Q1: 4,280 shares 4,280$211K0.02%-249Timeline
POWERSHARESPOWERSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 7,266 shares 7,266$210K0.02%new
MPCMARATHON PETE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 4,102 shares 4,102$209K0.02%newTimeline
GLUGABELLI GLOBAL UTIL & INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,253 shares; 2016Q3: 11,392 shares; 2016Q4: 10,928 shares; 2017Q1: 11,185 shares 11,185$209K0.02%+257Timeline
MGVVANGUARD WORLD FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 2,995 shares; 2017Q1: 2,995 shares 2,995$206K0.02%0Timeline
BERRY GLOBAL GROUP INCBERRY GLOBAL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 4,400 shares; 2017Q1: 4,200 shares 4,200$205K0.02%-200
RCSPIMCO STRATEGIC INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,942 shares; 2016Q3: 12,791 shares; 2016Q4: 15,074 shares; 2017Q1: 21,339 shares 21,339$205K0.02%+6,265Timeline
AETNA INC NEWAETNA INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 1,609 shares 1,609$204K0.02%new
URIUNITED RENTALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 1,618 shares 1,618$203K0.02%newTimeline
KRGKITE REALTY GROUP TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 9,037 shares; 2016Q3: 9,258 shares; 2016Q4: 10,203 shares; 2017Q1: 9,528 shares 9,528$202K0.02%-675Timeline
MCKMCKESSON CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,371 shares; 2016Q3: 1,381 shares; 2016Q4: not reported; 2017Q1: 1,364 shares 1,364$202K0.02%newTimeline
UAUNDER ARMOUR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,764 shares; 2016Q3: 8,625 shares; 2016Q4: 9,161 shares; 2017Q1: 11,086 shares 11,086$202K0.02%+1,925Timeline
CHICALAMOS CONV OPPORTUNITIES &Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,617 shares; 2016Q3: 18,617 shares; 2016Q4: 19,622 shares; 2017Q1: 18,022 shares 18,022$202K0.02%-1,600Timeline
FISVFISERV INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 1,742 shares 1,742$201K0.02%newTimeline
BENFRANKLIN TEMPLETON INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 4,789 shares 4,789$201K0.02%newTimeline
TMOTHERMO FISHER SCIENTIFIC INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 1,296 shares 1,296$200K0.02%newTimeline
TUPPERWARE BRANDS CORPTUPPERWARE BRANDS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,212 shares 3,212$200K0.02%new
NMZNUVEEN MUN HIGH INCOME OPPORQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,200 shares; 2016Q3: 16,180 shares; 2016Q4: 14,740 shares; 2017Q1: 15,040 shares 15,040$197K0.02%+300Timeline
XBKNXBLACKROCK INVEST QLTY MUNIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 13,605 shares 13,605$194K0.01%newTimeline
MUABLACKROCK MUNIASSETS FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,500 shares; 2016Q3: 12,866 shares; 2016Q4: 13,366 shares; 2017Q1: 13,366 shares 13,366$189K0.01%0Timeline
XFOFXCOHEN & STEERS CLOSED-ENDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,909 shares; 2016Q3: 13,020 shares; 2016Q4: 13,138 shares; 2017Q1: 15,154 shares 15,154$188K0.01%+2,016Timeline
KKR & CO LPKKR & CO LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,067 shares 10,067$184K0.01%new
NEUBERGER BERMAN CALIFORNIA…NEUBERGER BERMAN CALIFORNIA INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,350 shares; 2016Q3: 14,350 shares; 2016Q4: 13,013 shares; 2017Q1: 13,013 shares 13,013$180K0.01%0
NMSNUVEEN MINN QUALITY MUN INMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,626 shares 10,626$177K0.01%newTimeline
PFLPIMCO INCOME STRATEGY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 17,207 shares; 2016Q4: 17,228 shares; 2017Q1: 15,702 shares 15,702$175K0.01%-1,526Timeline
NUVEEN SENIOR INCOME FUNDNUVEEN SENIOR INCOME FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,513 shares; 2016Q3: 15,288 shares; 2016Q4: 26,788 shares; 2017Q1: 25,375 shares 25,375$172K0.01%-1,413
AQUINOX PHARMACEUTICALS INCAQUINOX PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,363 shares 10,363$172K0.01%new
PMMFRANKLIN MANAGED MUN INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 21,556 shares; 2016Q3: 21,556 shares; 2016Q4: 23,556 shares; 2017Q1: 23,020 shares 23,020$168K0.01%-536Timeline
EFTEATON VANCE FLOATING RATE INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,019 shares; 2016Q3: 11,019 shares; 2016Q4: 11,019 shares; 2017Q1: 11,019 shares 11,019$168K0.01%0Timeline
KIMBALL INTL INCKIMBALL INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,000 shares; 2016Q3: 10,000 shares; 2016Q4: 10,000 shares; 2017Q1: 10,000 shares 10,000$165K0.01%0
FERRELLGAS PARTNERS L.P.FERRELLGAS PARTNERS L.P.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 31,350 shares; 2016Q3: 31,310 shares; 2016Q4: 26,699 shares; 2017Q1: 26,763 shares 26,763$162K0.01%+64
XNEAXNUVEEN AMT FREE QLTY MUN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,514 shares; 2017Q1: 11,514 shares 11,514$153K0.01%0Timeline
VKQINVESCO MUNICIPAL TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,739 shares; 2016Q3: 11,869 shares; 2016Q4: 12,007 shares; 2017Q1: 12,146 shares 12,146$153K0.01%+139Timeline
RIGTRANSOCEAN LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,707 shares; 2016Q3: 12,870 shares; 2016Q4: 14,660 shares; 2017Q1: 12,333 shares 12,333$151K0.01%-2,327Timeline
NORTHSTAR REALTY EUROPE CORPNORTHSTAR REALTY EUROPE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,179 shares; 2016Q3: 16,031 shares; 2016Q4: 13,545 shares; 2017Q1: 12,019 shares 12,019$145K0.01%-1,526
MONOGRAM RESIDENTIAL TR INCMONOGRAM RESIDENTIAL TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,000 shares; 2016Q3: 13,000 shares; 2016Q4: 14,448 shares; 2017Q1: 14,448 shares 14,448$144K0.01%0
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,691 shares; 2016Q3: 14,100 shares; 2016Q4: 13,500 shares; 2017Q1: 13,850 shares 13,850$141K0.01%+350
IGRCBRE GBL REAL ESTATE INC FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 18,580 shares 18,580$137K0.01%newTimeline
FRONTIER COMMUNICATIONS CORPFRONTIER COMMUNICATIONS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 43,604 shares; 2016Q3: 50,494 shares; 2016Q4: 76,711 shares; 2017Q1: 65,496 shares 65,496$134K0.01%-11,215
DAKTDAKTRONICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,702 shares; 2017Q1: 13,582 shares 13,582$129K0.01%+1,880Timeline
PFNPIMCO INCOME STRATEGY FD IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 12,515 shares; 2016Q4: 12,515 shares; 2017Q1: 12,515 shares 12,515$127K0.01%0Timeline
AEGON N VAEGON N VQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 19,429 shares; 2016Q4: 23,695 shares; 2017Q1: 23,695 shares 23,695$122K0.01%0
GLOBAL XGLOBAL XQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,057 shares; 2016Q3: 11,057 shares; 2016Q4: 11,057 shares; 2017Q1: 13,980 shares 13,980$121K0.01%+2,923
SBLKSTAR BULK CARRIERS CORP.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,000 shares 10,000$118K0.01%newTimeline
FIAT CHRYSLER AUTOMOBILES NFIAT CHRYSLER AUTOMOBILES NQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,086 shares 10,086$110K0.01%new
CXCEMEX SAB DE CVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 12,162 shares; 2017Q1: 12,162 shares 12,162$109K0.01%0Timeline
CHESEPEAKE ENERGY CORPCHESEPEAKE ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,677 shares; 2016Q3: 12,802 shares; 2016Q4: 24,087 shares; 2017Q1: 18,147 shares 18,147$108K0.01%-5,940
GABGABELLI EQUITY TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 16,572 shares 16,572$99K0.01%newTimeline
ETJEATON VANCE RISK-MANAGED DIVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,155 shares; 2017Q1: 10,715 shares 10,715$98K0.01%-440Timeline
FIFTH STR ASSET MGMT INCFIFTH STR ASSET MGMT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 21,000 shares 21,000$96K0.01%new
CALUMET SPECIALTY PRODS PARTCALUMET SPECIALTY PRODS PARTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 30,574 shares; 2016Q3: 29,432 shares; 2016Q4: 24,822 shares; 2017Q1: 23,692 shares 23,692$93K0.01%-1,130
VVRINVESCO SR INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,849 shares; 2016Q3: 15,064 shares; 2016Q4: 15,126 shares; 2017Q1: 18,242 shares 18,242$85K0.01%+3,116Timeline
ALLIANZGI CONV INCOME FD IIALLIANZGI CONV INCOME FD IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 12,039 shares; 2017Q1: 13,620 shares 13,620$82K0.01%+1,581
HIOWESTERN ASSET HIGH INCOME OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 15,629 shares; 2016Q4: 15,629 shares; 2017Q1: 15,629 shares 15,629$79K0.01%0Timeline
NQ MOBILE INCNQ MOBILE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,740 shares; 2016Q3: 11,740 shares; 2016Q4: 11,740 shares; 2017Q1: 15,590 shares 15,590$66K0.01%+3,850
GOLDFIELD CORPGOLDFIELD CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,000 shares 10,000$58K<0.01%new
AU OPTRONICS CORPAU OPTRONICS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 15,000 shares; 2016Q4: 15,000 shares; 2017Q1: 15,000 shares 15,000$57K<0.01%0
Lee Enterprises IncLee Enterprises IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 21,230 shares; 2016Q3: 21,230 shares; 2016Q4: 21,230 shares; 2017Q1: 21,230 shares 21,230$55K<0.01%0
SUPERVALU INCSUPERVALU INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,425 shares; 2016Q3: 14,768 shares; 2016Q4: 18,686 shares; 2017Q1: 13,472 shares 13,472$53K<0.01%-5,214
CLOUD PEAK ENERGY INCCLOUD PEAK ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,857 shares 10,857$50K<0.01%new
DENBURY RES INCDENBURY RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 18,981 shares; 2017Q1: 18,288 shares 18,288$48K<0.01%-693
CLNECLEAN ENERGY FUELS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 16,124 shares; 2017Q1: 16,343 shares 16,343$43K<0.01%+219Timeline
XDHYXCREDIT SUISSE HIGH YIELD CREQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 21,200 shares; 2016Q3: 24,700 shares; 2016Q4: 22,640 shares; 2017Q1: 15,440 shares 15,440$42K<0.01%-7,200Timeline
SEADRILL ORDSEADRILL ORDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,135 shares; 2016Q3: 17,785 shares; 2016Q4: 24,791 shares; 2017Q1: 22,346 shares 22,346$37K<0.01%-2,445
CIKUBS ASSET MGMT INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 10,442 shares; 2017Q1: 10,442 shares 10,442$34K<0.01%0Timeline
ALIMERA SCIENCES INCALIMERA SCIENCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 17,400 shares; 2016Q4: 24,000 shares; 2017Q1: 24,000 shares 24,000$33K<0.01%0
PENGROWTH ENERGY CORPPENGROWTH ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 21,366 shares; 2016Q3: 20,766 shares; 2016Q4: 23,766 shares; 2017Q1: 22,529 shares 22,529$22K<0.01%-1,237
PEREGRINE PHARMACEUTICALS INPEREGRINE PHARMACEUTICALS INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 25,000 shares; 2016Q4: 25,000 shares; 2017Q1: 25,050 shares 25,050$16K<0.01%+50
PHARMATHENE INCPHARMATHENE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 18,000 shares 18,000$15K<0.01%new
POLYMET MINING CORPPOLYMET MINING CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 15,500 shares; 2017Q1: 18,500 shares 18,500$14K<0.01%+3,000
PALATIN TECHNOLOGIES INCPALATIN TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 24,500 shares; 2017Q1: 24,500 shares 24,500$8K<0.01%0
ENSERVCO CORP COM NEWENSERVCO CORP COM NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 16,000 shares 16,000$5K<0.01%new

Principal amounts

Notes and convertibles filed as a face amount (PRN). A face amount is never added to a share count (H6).

SecurityTypeAmountValueChange
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1principal80,000$82K0
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1principal60,000$60K0

Sold out in Q1 2017

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

SecurityShares beforeValue beforeType
NORTHSTAR REIT.NORTHSTAR REIT.55,007$835Kshares
SPECTRA ENERGY CORPSPECTRA ENERGY CORP13,826$566Kshares
TFISPDR SERIES TRUST11,493$548Kshares
GRAMERCY PPTY TR COMGRAMERCY PPTY TR COM55,003$504Kshares
DFEWISDOMTREE TR9,093$500Kshares
RABROOKFIELD REAL ASSETS INCOM22,261$495Kshares
ELLAUDER ESTEE COS INC5,680$434Kshares
BLACKROCK MUN BD TRBLACKROCK MUN BD TR27,822$424Kshares
GLOBAL NET LEASE INCGLOBAL NET LEASE INC48,267$378Kshares
RVNUDBX ETF TR13,242$341Kshares
BARCLAYS BANK PLCBARCLAYS BANK PLC11,588$295Kshares
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST5,025$284Kshares
GW PHARMACEUTICALS PLCGW PHARMACEUTICALS PLC2,510$281Kshares
DBEFDBX ETF TR9,518$267Kshares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR6,384$249Kshares
WESTAR ENERGY INCWESTAR ENERGY INC4,408$248Kshares
DHSWISDOMTREE TR3,610$242Kshares
VASCULAR SOLUTIONS INCVASCULAR SOLUTIONS INC4,200$235Kshares
SCHDSCHWAB STRATEGIC TR5,326$231Kshares
Cynosure, Inc.Cynosure, Inc.5,065$231Kshares
BP PRUDHOE BAY RTY TRBP PRUDHOE BAY RTY TR9,724$230Kshares
BSRRSIERRA BANCORP8,497$227Kshares
SMITH & WESSON BRANDS, INC.SMITH & WESSON BRANDS, INC.11,087$227Kshares
AZNASTRAZENECA PLC-SPONS ADR8,256$225Kshares
SNYDERS LANCE INCSNYDERS LANCE INC5,812$222Kshares
FXLFIRST TR EXCHANGE-TRADED FD5,479$209Kshares
PBIPITNEY BOWES INC13,468$204Kshares
ETRENTERGY CORP NEW2,718$201Kshares
NATIONAL OILWELL VARCO INCNATIONAL OILWELL VARCO INC5,392$200Kshares
PUTMAN HIGH INCOME SEC FUNDPUTMAN HIGH INCOME SEC FUND20,211$166Kshares
OSBCOLD SECOND BANCORP INC DEL12,434$137Kshares
FTFRANKLIN UNVL TR19,824$133Kshares
RMCFROCKY MTN CHOCOLATE FACTORY11,500$117Kshares
NORDIC AMERN OFFSHORE LTDNORDIC AMERN OFFSHORE LTD28,199$78Kshares
NOKNOKIA CORP14,408$68Kshares
ACHILLION PHARMACEUTICALS INACHILLION PHARMACEUTICALS IN13,733$57Kshares
VANGUARDVANGUARD41,543$19Kshares
VGZVISTA GOLD CORP17,000$16Kshares
TRIANGLE PETE CORPTRIANGLE PETE CORP22,850$2Kshares
REXAHN PHARMACEUTICALS INCREXAHN PHARMACEUTICALS INC17,503$2Kshares

How Q1 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 0001085146-17-001382 base2017-05-15acceptance time not in the bulk data set