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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 $1,362,215,000 across 593 holdings for the quarter ended 2017-09-30, in a 13F-HR filed 2017-11-13. Its ten largest share positions make up 23.28% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-17-002266

Period
2017-09-30
Reported value
$1.36B
Holdings
593
Top 10 weight
23.28%
New
59
Sold out
57

Largest buys vs the previous quarter

SecurityShares changeApprox. value
DOWDUPONT INCnew+66,129$4.59M
FASTadded+71,306$3.25M
VTVadded+32,218$3.22M
SDYadded+29,824$2.72M
IJHadded+14,015$2.51M

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
EFAVreduced-48,296-$3.43M
Dow Chemical Companyexited-49,417-$3.12M
AAPLreduced-16,347-$2.52M
FDLreduced-83,154-$2.41M
CARE CAP PPTYS INCexited-77,522-$2.07M

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 0001085146-17-002266, largest first. % of portfolio is the value over $1,362,215,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
CPBTHE CAMPBELLS COMPANYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,861 shares; 2016Q3: 3,767 shares; 2016Q4: 4,272 shares; 2017Q1: 5,155 shares; 2017Q2: 5,033 shares; 2017Q3: 4,963 shares 4,963$232K0.02%-70Timeline
FCTFIRST TR SR FLTG RATE INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,675 shares; 2016Q3: 16,675 shares; 2016Q4: 19,030 shares; 2017Q1: 19,030 shares; 2017Q2: 17,175 shares; 2017Q3: 17,175 shares 17,175$232K0.02%0Timeline
ALEALLETE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,139 shares; 2016Q3: not reported; 2016Q4: 4,883 shares; 2017Q1: 4,859 shares; 2017Q2: 3,321 shares; 2017Q3: 3,016 shares 3,016$232K0.02%-305Timeline
SIRIUS XM HOLDINGS INCSIRIUS XM HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 46,865 shares; 2016Q3: 44,957 shares; 2016Q4: 49,228 shares; 2017Q1: 49,651 shares; 2017Q2: 45,479 shares; 2017Q3: 40,828 shares 40,828$227K0.02%-4,651
DWXSPDR INDEX SHS FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 5,660 shares 5,660$227K0.02%newTimeline
POWERSHARESPOWERSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,633 shares; 2016Q3: 5,213 shares; 2016Q4: 6,813 shares; 2017Q1: 7,014 shares; 2017Q2: 4,493 shares; 2017Q3: 4,118 shares 4,118$227K0.02%-375
FAIRMOUNT SANTROL HLDGS INCFAIRMOUNT SANTROL HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 52,695 shares; 2016Q3: 47,225 shares; 2016Q4: 60,575 shares; 2017Q1: 60,575 shares; 2017Q2: 47,225 shares; 2017Q3: 47,225 shares 47,225$225K0.02%0
CAGCONAGRA BRANDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,133 shares; 2016Q3: 16,275 shares; 2016Q4: 17,198 shares; 2017Q1: 21,437 shares; 2017Q2: 25,002 shares; 2017Q3: 6,636 shares 6,636$224K0.02%-18,366Timeline
BAXBAXTER INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 5,213 shares; 2017Q3: 3,574 shares 3,574$223K0.02%-1,639Timeline
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; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,357 shares; 2016Q3: 10,301 shares; 2016Q4: 8,159 shares; 2017Q1: 5,172 shares; 2017Q2: not reported; 2017Q3: 4,832 shares 4,832$222K0.02%new
DHID R HORTON INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 5,480 shares 5,480$220K0.02%newTimeline
CNPCENTERPOINT ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 9,460 shares; 2017Q1: 9,481 shares; 2017Q2: not reported; 2017Q3: 7,469 shares 7,469$219K0.02%newTimeline
SCZISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 3,560 shares 3,560$219K0.02%newTimeline
NOCNORTHROP GRUMMAN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 983 shares; 2017Q1: 983 shares; 2017Q2: 800 shares; 2017Q3: 764 shares 764$219K0.02%-36Timeline
OLEDUNIVERSAL DISPLAY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 1,702 shares 1,702$219K0.02%newTimeline
GEOGEO GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 7,528 shares; 2016Q3: not reported; 2016Q4: 6,832 shares; 2017Q1: 8,022 shares; 2017Q2: 10,485 shares; 2017Q3: 8,061 shares 8,061$218K0.02%-2,424Timeline
AETNA INC NEWAETNA INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 1,609 shares; 2017Q2: 1,886 shares; 2017Q3: 1,359 shares 1,359$218K0.02%-527
MFCMANULIFE FINL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 10,599 shares 10,599$216K0.02%newTimeline
VLUEISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 2,812 shares 2,812$216K0.02%newTimeline
SCHFSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 8,641 shares; 2017Q3: 6,488 shares 6,488$216K0.02%-2,153Timeline
PNRPENTAIR PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,032 shares; 2016Q4: 4,600 shares; 2017Q1: 3,607 shares; 2017Q2: 3,309 shares; 2017Q3: 3,169 shares 3,169$214K0.02%-140Timeline
MGVVANGUARD WORLD FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 2,995 shares; 2017Q1: 2,995 shares; 2017Q2: not reported; 2017Q3: 2,986 shares 2,986$214K0.02%newTimeline
MKCMCCORMICK & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 2,083 shares 2,083$214K0.02%newTimeline
SWKSTANLEY BLACK & DECKER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 1,826 shares; 2017Q2: not reported; 2017Q3: 1,410 shares 1,410$213K0.02%newTimeline
VISVANGUARD WORLD FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 2,004 shares; 2017Q1: 3,467 shares; 2017Q2: not reported; 2017Q3: 1,600 shares 1,600$213K0.02%newTimeline
BERRY GLOBAL GROUP INCBERRY GLOBAL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 4,400 shares; 2017Q1: 4,200 shares; 2017Q2: 3,600 shares; 2017Q3: 3,747 shares 3,747$212K0.02%+147
FCXFREEPORT MCMORAN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 10,785 shares; 2017Q1: 69,525 shares; 2017Q2: 90,174 shares; 2017Q3: 15,171 shares 15,171$211K0.02%-75,003Timeline
OEFISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 1,899 shares 1,899$210K0.02%newTimeline
IWOISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,137 shares; 2016Q3: 2,338 shares; 2016Q4: 1,611 shares; 2017Q1: 1,578 shares; 2017Q2: 1,316 shares; 2017Q3: 1,177 shares 1,177$210K0.02%-139Timeline
USALIBERTY ALL STAR EQUITY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 34,965 shares 34,965$210K0.02%newTimeline
SHMSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,784 shares; 2016Q4: 5,590 shares; 2017Q1: 4,813 shares; 2017Q2: 4,290 shares; 2017Q3: 4,290 shares 4,290$209K0.02%0Timeline
ACNACCENTURE PLC IRELANDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 1,519 shares 1,519$207K0.02%newTimeline
UNITED STATES STL CORP NEWUNITED STATES STL CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 7,019 shares; 2017Q1: 17,805 shares; 2017Q2: 24,215 shares; 2017Q3: 7,990 shares 7,990$207K0.02%-16,225
LEGLEGGETT & PLATT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,023 shares; 2016Q3: 4,723 shares; 2016Q4: 6,214 shares; 2017Q1: 6,361 shares; 2017Q2: 4,700 shares; 2017Q3: 4,300 shares 4,300$207K0.02%-400Timeline
NUVEEN SHORT DURATION CREDITNUVEEN SHORT DURATION CREDITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 11,906 shares 11,906$207K0.02%new
HARRIS CORP INCHARRIS CORP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 2,010 shares; 2017Q3: 1,568 shares 1,568$207K0.02%-442
IMCVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 1,521 shares; 2017Q3: 1,399 shares 1,399$206K0.02%-122Timeline
GCVGABELLI CONV & INC SECS FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 35,595 shares 35,595$205K0.02%newTimeline
ECFELLSWORTH GROWTH & INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 22,048 shares 22,048$204K0.01%newTimeline
LAM RESEARCH CORPLAM RESEARCH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 1,086 shares 1,086$203K0.01%new
DEMWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 4,934 shares; 2017Q3: 4,685 shares 4,685$201K0.01%-249Timeline
XMVTXBLACKROCK MUNIVEST FUND IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,790 shares; 2016Q3: 15,750 shares; 2016Q4: 15,112 shares; 2017Q1: 15,112 shares; 2017Q2: 15,112 shares; 2017Q3: 12,962 shares 12,962$201K0.01%-2,150Timeline
MUABLACKROCK MUNIASSETS FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,500 shares; 2016Q3: 12,866 shares; 2016Q4: 13,366 shares; 2017Q1: 13,366 shares; 2017Q2: 13,342 shares; 2017Q3: 13,342 shares 13,342$201K0.01%0Timeline
AIGAMERICAN INTL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 3,266 shares 3,266$200K0.01%newTimeline
POWERSHARESPOWERSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,510 shares; 2016Q3: 11,897 shares; 2016Q4: 11,632 shares; 2017Q1: 11,530 shares; 2017Q2: 10,644 shares; 2017Q3: 10,420 shares 10,420$200K0.01%-224
BKDBROOKDALE SR LIVING INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 17,200 shares; 2017Q1: 17,200 shares; 2017Q2: 16,700 shares; 2017Q3: 18,700 shares 18,700$198K0.01%+2,000Timeline
KIMBALL INTL INCKIMBALL INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,000 shares; 2016Q3: 10,000 shares; 2016Q4: 10,000 shares; 2017Q1: 10,000 shares; 2017Q2: 10,000 shares; 2017Q3: 10,000 shares 10,000$198K0.01%0
XFOFXCOHEN & STEERS CLOSED-ENDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,909 shares; 2016Q3: 13,020 shares; 2016Q4: 13,138 shares; 2017Q1: 15,154 shares; 2017Q2: 14,661 shares; 2017Q3: 14,936 shares 14,936$196K0.01%+275Timeline
WHITING PETE CORP NEWWHITING PETE CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 28,472 shares; 2016Q3: 27,546 shares; 2016Q4: 40,416 shares; 2017Q1: 41,362 shares; 2017Q2: 36,559 shares; 2017Q3: 35,795 shares 35,795$195K0.01%-764
PMTPENNYMAC MTG INVT TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 13,713 shares; 2017Q2: 12,321 shares; 2017Q3: 11,030 shares 11,030$193K0.01%-1,291Timeline
NMZNUVEEN MUN HIGH INCOME OPPORQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,200 shares; 2016Q3: 16,180 shares; 2016Q4: 14,740 shares; 2017Q1: 15,040 shares; 2017Q2: 15,940 shares; 2017Q3: 14,206 shares 14,206$193K0.01%-1,734Timeline
PMMFRANKLIN MANAGED MUN INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 21,556 shares; 2016Q3: 21,556 shares; 2016Q4: 23,556 shares; 2017Q1: 23,020 shares; 2017Q2: 25,320 shares; 2017Q3: 25,320 shares 25,320$192K0.01%0Timeline
INVESCO MORTGAGE CAPITAL INCINVESCO MORTGAGE CAPITAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 10,846 shares; 2017Q3: 11,047 shares 11,047$189K0.01%+201
NEUBERGER BERMAN CALIFORNIA…NEUBERGER BERMAN CALIFORNIA INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,350 shares; 2016Q3: 14,350 shares; 2016Q4: 13,013 shares; 2017Q1: 13,013 shares; 2017Q2: 13,013 shares; 2017Q3: 13,013 shares 13,013$183K0.01%0
FIAT CHRYSLER AUTOMOBILES NFIAT CHRYSLER AUTOMOBILES NQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,086 shares; 2017Q2: 10,086 shares; 2017Q3: 10,086 shares 10,086$180K0.01%0
FIDUCIARY CLAYMORE ENGRY INFFIDUCIARY CLAYMORE ENGRY INFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 13,721 shares 13,721$177K0.01%new
NUVEEN SENIOR INCOME FUNDNUVEEN SENIOR INCOME FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,513 shares; 2016Q3: 15,288 shares; 2016Q4: 26,788 shares; 2017Q1: 25,375 shares; 2017Q2: 23,375 shares; 2017Q3: 26,375 shares 26,375$176K0.01%+3,000
AQUINOX PHARMACEUTICALS INCAQUINOX PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,363 shares; 2017Q2: not reported; 2017Q3: 12,345 shares 12,345$175K0.01%new
KTOSKRATOS DEFENSE & SEC SOLUTIOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 13,630 shares; 2017Q3: 13,130 shares 13,130$171K0.01%-500Timeline
MDXGMIMEDX GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 47,850 shares; 2016Q3: 42,050 shares; 2016Q4: 23,150 shares; 2017Q1: 22,850 shares; 2017Q2: not reported; 2017Q3: 14,150 shares 14,150$170K0.01%newTimeline
CHESEPEAKE ENERGY CORPCHESEPEAKE ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,677 shares; 2016Q3: 12,802 shares; 2016Q4: 24,087 shares; 2017Q1: 18,147 shares; 2017Q2: 32,370 shares; 2017Q3: 38,780 shares 38,780$166K0.01%+6,410
MGFABERDEEN GOVT MARKETS INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 32,500 shares 32,500$162K0.01%newTimeline
FXNFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 23,195 shares; 2016Q3: 22,695 shares; 2016Q4: 20,418 shares; 2017Q1: 21,554 shares; 2017Q2: 19,298 shares; 2017Q3: 11,333 shares 11,333$162K0.01%-7,965Timeline
VKQINVESCO MUNICIPAL TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,739 shares; 2016Q3: 11,869 shares; 2016Q4: 12,007 shares; 2017Q1: 12,146 shares; 2017Q2: 12,284 shares; 2017Q3: 12,419 shares 12,419$158K0.01%+135Timeline
PRETIUM RESOURCES INCPRETIUM RESOURCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 10,750 shares; 2017Q3: 16,750 shares 16,750$155K0.01%+6,000
INVESCO DYNAMIC CR OPPORTUNIINVESCO DYNAMIC CR OPPORTUNIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 12,692 shares 12,692$151K0.01%new
CALUMET SPECIALTY PRODS PARTCALUMET SPECIALTY PRODS PARTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 30,574 shares; 2016Q3: 29,432 shares; 2016Q4: 24,822 shares; 2017Q1: 23,692 shares; 2017Q2: 23,984 shares; 2017Q3: 17,984 shares 17,984$149K0.01%-6,000
XBKNXBLACKROCK INVEST QLTY MUNIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 13,605 shares; 2017Q2: 10,020 shares; 2017Q3: 10,020 shares 10,020$148K0.01%0Timeline
CHORD ENERGY CORPORATIONCHORD ENERGY CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 21,286 shares; 2016Q3: 20,876 shares; 2016Q4: 18,092 shares; 2017Q1: 23,278 shares; 2017Q2: 22,413 shares; 2017Q3: 14,849 shares 14,849$138K0.01%-7,564
PFNPIMCO INCOME STRATEGY FD IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 12,515 shares; 2016Q4: 12,515 shares; 2017Q1: 12,515 shares; 2017Q2: 12,515 shares; 2017Q3: 12,515 shares 12,515$134K0.01%0Timeline
RIGTRANSOCEAN LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,707 shares; 2016Q3: 12,870 shares; 2016Q4: 14,660 shares; 2017Q1: 12,333 shares; 2017Q2: not reported; 2017Q3: 11,846 shares 11,846$127K0.01%newTimeline
FERRELLGAS PARTNERS L.P.FERRELLGAS PARTNERS L.P.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 31,350 shares; 2016Q3: 31,310 shares; 2016Q4: 26,699 shares; 2017Q1: 26,763 shares; 2017Q2: 23,550 shares; 2017Q3: 21,852 shares 21,852$112K0.01%-1,698
GABGABELLI EQUITY TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 16,572 shares; 2017Q2: 15,429 shares; 2017Q3: 16,572 shares 16,572$107K0.01%+1,143Timeline
AMERICA FIRST MULTIFAMILY INAMERICA FIRST MULTIFAMILY INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 17,250 shares 17,250$103K0.01%new
XEXGXEATON VANCE TAX-MANAGED GLOBQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,223 shares; 2016Q3: 14,573 shares; 2016Q4: 128,102 shares; 2017Q1: 124,643 shares; 2017Q2: not reported; 2017Q3: 10,686 shares 10,686$99K0.01%newTimeline
SBLKSTAR BULK CARRIERS CORP.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,000 shares; 2017Q2: 10,000 shares; 2017Q3: 10,000 shares 10,000$98K0.01%0Timeline
GLOBAL XGLOBAL XQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,057 shares; 2016Q3: 11,057 shares; 2016Q4: 11,057 shares; 2017Q1: 13,980 shares; 2017Q2: 13,980 shares; 2017Q3: 11,057 shares 11,057$83K0.01%-2,923
HIOWESTERN ASSET HIGH INCOME OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 15,629 shares; 2016Q4: 15,629 shares; 2017Q1: 15,629 shares; 2017Q2: 15,629 shares; 2017Q3: 15,629 shares 15,629$80K0.01%0Timeline
FIFTH STREET FIN CORP COMFIFTH STREET FIN CORP COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 14,200 shares 14,200$78K0.01%new
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 11,612 shares; 2017Q3: 11,612 shares 11,612$71K0.01%0
APOLLO INVT CORPAPOLLO INVT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 10,877 shares 10,877$67K<0.01%new
Lee Enterprises IncLee Enterprises IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 21,230 shares; 2016Q3: 21,230 shares; 2016Q4: 21,230 shares; 2017Q1: 21,230 shares; 2017Q2: 21,230 shares; 2017Q3: 21,230 shares 21,230$47K<0.01%0
XDHYXCREDIT SUISSE HIGH YIELD CREQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 21,200 shares; 2016Q3: 24,700 shares; 2016Q4: 22,640 shares; 2017Q1: 15,440 shares; 2017Q2: 13,500 shares; 2017Q3: 13,500 shares 13,500$38K<0.01%0Timeline
REWALK ROBOTICS LTDREWALK ROBOTICS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 23,050 shares; 2017Q3: 23,050 shares 23,050$34K<0.01%0
CLNECLEAN ENERGY FUELS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 16,124 shares; 2017Q1: 16,343 shares; 2017Q2: 13,748 shares; 2017Q3: 13,468 shares 13,468$33K<0.01%-280Timeline
ALIMERA SCIENCES INCALIMERA SCIENCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 17,400 shares; 2016Q4: 24,000 shares; 2017Q1: 24,000 shares; 2017Q2: 24,000 shares; 2017Q3: 24,000 shares 24,000$32K<0.01%0
PENGROWTH ENERGY CORPPENGROWTH ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 21,366 shares; 2016Q3: 20,766 shares; 2016Q4: 23,766 shares; 2017Q1: 22,529 shares; 2017Q2: 20,389 shares; 2017Q3: 18,389 shares 18,389$19K<0.01%-2,000
PALATIN TECHNOLOGIES INCPALATIN TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 24,500 shares; 2017Q1: 24,500 shares; 2017Q2: 24,500 shares; 2017Q3: 23,000 shares 23,000$15K<0.01%-1,500

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 4.750% 4/1principal60,000$60K0
SFL CORPORATION LTDSFL CORPORATION LTD NOTE 5.750%10/1principal50,000$52Knew
PDLI 4 2/1/18PDLI 4 2/1/18 Bond 30/360P2 Uprincipal50,000$50Knew
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1principal45,000$46K+5,000
TICC CAPITAL CORPTICC CAPITAL CORP DBCV 7.500%11/0principal15,000$15Knew

Sold out in Q3 2017

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

SecurityShares beforeValue beforeType
Dow Chemical CompanyDow Chemical Company49,417$3.12Mshares
CARE CAP PPTYS INCCARE CAP PPTYS INC77,522$2.07Mshares
DU PONT E I DE NEMOURS & CODU PONT E I DE NEMOURS & CO13,102$1.05Mshares
JCIJOHNSON CONTROLS INTERNATION20,388$884Kshares
UBS Alerian MLP/ MLPIUBS Alerian MLP/ MLPI27,298$725Kshares
POWERSHARES S&amp;P SMALLCA…POWERSHARES S&amp;P SMALLCAP LOW15,375$672Kshares
VMCVULCAN MATLS CO5,056$638Kshares
POWERSHARES EXCHANGEPOWERSHARES EXCHANGE14,510$629Kshares
BARCLAYS BANK PLC 8.125% PBARCLAYS BANK PLC 8.125% P23,424$625Kshares
IGLBISHARES TR9,618$593Kshares
IJJISHARES TR2,950$437Kshares
IEPICAHN ENTERPRISES LP8,287$433Kshares
ONEOK PARTNERS LP LTD PARTNONEOK PARTNERS LP LTD PARTN7,969$408Kshares
BIDUBAIDU INC2,171$388Kshares
HUMHUMANA INC1,531$368Kshares
RWOSPDR INDEX SHS FDS7,549$361Kshares
BUCKEYE PARTNERS LP (BPL)BUCKEYE PARTNERS LP (BPL)5,367$342Kshares
DWS Mun Income TrDWS Mun Income Tr24,668$334Kshares
SPTLSPDR SERIES TRUST4,247$307Kshares
MATMATTEL INC13,939$298Kshares
VIRTUS TOTAL RETURN FUND INCVIRTUS TOTAL RETURN FUND INC23,981$293Kshares
HPEHEWLETT PACKARD ENTERPRISE C16,798$279Kshares
IGEISHARES TR8,531$271Kshares
WECWEC ENERGY GROUP INC4,313$264Kshares
Lincoln National CorporatLincoln National Corporat6,815$260Kshares
FTHIFIRST TR EXCHANGE TRADED FD11,715$256Kshares
GDXVANECK ETF TRUST11,037$245Kshares
HASHASBRO INC2,179$245Kshares
FEPFIRST TR EXCH TRD ALPHDX FD6,657$231Kshares
TMOTHERMO FISHER SCIENTIFIC INC1,317$230Kshares
DREYFUSDREYFUS63,115$222Kshares
REYNOLDS AMERICAN INCREYNOLDS AMERICAN INC3,376$221Kshares
TESORO CORPTESORO CORP2,353$221Kshares
GLUGABELLI GLOBAL UTIL & INCOME10,742$216Kshares
EFGISHARES TR2,925$214Kshares
RCSPIMCO STRATEGIC INCOME FD21,041$213Kshares
DLRDIGITAL RLTY TR INC1,885$212Kshares
ALLEGHANY CORP DELALLEGHANY CORP DEL349$210Kshares
ALLERGAN PLCALLERGAN PLC859$210Kshares
ROKROCKWELL AUTOMATION INC1,293$209Kshares
DIEBOLD NXDF INCDIEBOLD NXDF INC7,349$207Kshares
JBLUJETBLUE AIRWAYS CORP9,114$205Kshares
AALAMERICAN AIRLINES GROUP INC4,081$203Kshares
BLKBBLACKBAUD INC2,360$203Kshares
HPQHP INC11,877$202Kshares
TECKTECK RESOURCES LTD11,150$194Kshares
EFTEATON VANCE FLOATING RATE IN11,019$168Kshares
ENBRIDGE ENERGY PARTNERS L PENBRIDGE ENERGY PARTNERS L P10,368$167Kshares
HRZNHORIZON TECHNOLOGY FIN CORP11,959$136Kshares
FDDFIRST TR EXCHANGE-TRADED FD10,400$136Kshares
MONOGRAM RESIDENTIAL TR INCMONOGRAM RESIDENTIAL TR INC13,000$127Kshares
VVRINVESCO SR INCOME TR17,637$81Kshares
FRONTIER COMMUNICATIONS CORPFRONTIER COMMUNICATIONS CORP50,134$56Kshares
SYNCHRONOSS TECHNOLOGIES INCSYNCHRONOSS TECHNOLOGIES INC30,000$28Kprincipal
VGZVISTA GOLD CORP20,000$17Kshares
PEREGRINE PHARMACEUTICALS INPEREGRINE PHARMACEUTICALS IN25,050$15Kshares
POLYMET MINING CORPPOLYMET MINING CORP13,300$8Kshares

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 0001085146-17-002266 base2017-11-13acceptance time not in the bulk data set