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Disclosery

National Planning Corp

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13F filer, CIK 1492262, EL SEGUNDO, CA

National Planning Corp reported $1,259,309,000 across 658 holdings for the quarter ended 2016-09-30, in a 13F-HR filed 2016-11-10. Its ten largest share positions make up 22.52% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-16-004729

Period
2016-09-30
Reported value
$1.26B
Holdings
658
Top 10 weight
22.52%
New
51
Sold out
59

Largest buys vs the previous quarter

SecurityShares changeApprox. value
IWMadded+201,132$23.8M
PowerShares QQQ Trust Unit …added+148,607$17.3M
EEMadded+427,570$15.9M
VYMInew+231,746$12.9M
VTIadded+99,265$10.8M

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
SPYreduced-111,297-$23.7M
MDYreduced-79,546-$21.9M
IYRreduced-233,848-$17.6M
POWERSHARES ETF TR II S&P50…reduced-254,112-$10.3M
AGGreduced-59,356-$6.6M

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.

Holdings, Q3 2016

Share positions as resolved from 13F-HR 0001085146-16-004729, largest first. % of portfolio is the value over $1,259,303,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
ROYAL DUTCH SHELL PLC SPN A…ROYAL DUTCH SHELL PLC SPN ADRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,446 shares; 2016Q3: 5,437 shares 5,437$279K0.02%-1,009
ALLERGAN PLCALLERGAN PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,229 shares; 2016Q3: 1,390 shares 1,390$277K0.02%+161
TEVATEVA PHARMACEUTICAL INDS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 7,127 shares; 2016Q3: 6,717 shares 6,717$274K0.02%-410Timeline
RLIRLI CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,676 shares; 2016Q3: 5,002 shares 5,002$273K0.02%+326Timeline
DTEDTE ENERGY COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,072 shares; 2016Q3: 2,869 shares 2,869$273K0.02%-203Timeline
DISCOVER FINL SVCSDISCOVER FINL SVCSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,656 shares; 2016Q3: 4,734 shares 4,734$273K0.02%-922
FCXFREEPORT MCMORAN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 23,369 shares; 2016Q3: 24,069 shares 24,069$272K0.02%+700Timeline
BHKBLACKROCK CORE BD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 19,954 shares; 2016Q3: 20,386 shares 20,386$272K0.02%+432Timeline
PCGPG&E CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,626 shares; 2016Q3: 4,435 shares 4,435$271K0.02%+809Timeline
ESEVERSOURCE ENERGYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,960 shares; 2016Q3: 4,974 shares 4,974$270K0.02%+14Timeline
TERRA NITROGEN CO L PTERRA NITROGEN CO L PQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,555 shares; 2016Q3: 2,535 shares 2,535$268K0.02%-20
IGMISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,180 shares 2,180$267K0.02%newTimeline
MUMICRON TECHNOLOGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,294 shares; 2016Q3: 15,294 shares 15,294$266K0.02%-2,000Timeline
FANGDIAMONDBACK ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,800 shares; 2016Q3: 2,800 shares 2,800$263K0.02%0Timeline
PEGPUBLIC SVC ENTERPRISE GROUPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,181 shares; 2016Q3: 6,275 shares 6,275$263K0.02%+1,094Timeline
ABALLIANCEBERNSTEIN HLDG L PQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,013 shares; 2016Q3: 12,411 shares 12,411$262K0.02%+2,398Timeline
MDUMDU RES GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 9,885 shares; 2016Q3: 9,939 shares 9,939$262K0.02%+54Timeline
NMSNUVEEN MINN QUALITY MUN INMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,746 shares; 2016Q3: 15,816 shares 15,816$262K0.02%+5,070Timeline
CVBFCVB FINL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,164 shares; 2016Q3: 15,164 shares 15,164$261K0.02%0Timeline
ACREARES COML REAL ESTATE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 19,425 shares; 2016Q3: 19,925 shares 19,925$261K0.02%+500Timeline
TRANSENTERIX INCTRANSENTERIX INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 181,950 shares; 2016Q3: 179,450 shares 179,450$260K0.02%-2,500
NUENUCOR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,046 shares; 2016Q3: 5,046 shares 5,046$259K0.02%0Timeline
CIIBLACKROCK ENHANCED LARGE CAPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,329 shares; 2016Q3: 20,006 shares 20,006$258K0.02%+2,677Timeline
EWZISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,728 shares; 2016Q3: 6,910 shares 6,910$258K0.02%+182Timeline
AFDMFIRST TR EXCH TRADED FD IIIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 5,016 shares 5,016$258K0.02%newTimeline
STTSTATE STR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,205 shares; 2016Q3: 3,534 shares 3,534$256K0.02%-1,671Timeline
BLACKROCK MUNIYIELD ARIZ FDBLACKROCK MUNIYIELD ARIZ FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,600 shares; 2016Q3: 16,600 shares 16,600$256K0.02%0
AMTAMERICAN TOWER CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,136 shares; 2016Q3: 2,212 shares 2,212$255K0.02%+76Timeline
VICTORY PORTFOLIOS IIVICTORY PORTFOLIOS IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,117 shares; 2016Q3: 7,269 shares 7,269$253K0.02%-3,848
VOYA PRIME RATE TRUSTVOYA PRIME RATE TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 50,724 shares; 2016Q3: 47,724 shares 47,724$252K0.02%-3,000
PIIPOLARIS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,946 shares; 2016Q3: 3,139 shares 3,139$251K0.02%+193Timeline
ILCGISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,065 shares; 2016Q3: 2,113 shares 2,113$251K0.02%+48Timeline
FPEFIRST TR EXCH TRADED FD IIIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,046 shares; 2016Q3: 12,905 shares 12,905$251K0.02%+859Timeline
AOKISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 7,523 shares; 2016Q3: 7,623 shares 7,623$250K0.02%+100Timeline
CAPSTEAD MTG CORPCAPSTEAD MTG CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 28,275 shares; 2016Q3: 26,175 shares 26,175$250K0.02%-2,100
CAGCONAGRA BRANDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,178 shares; 2016Q3: 5,176 shares 5,176$249K0.02%-2Timeline
JKHYHENRY JACK & ASSOC INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,497 shares; 2016Q3: 3,052 shares 3,052$249K0.02%-445Timeline
DLRDIGITAL RLTY TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,641 shares; 2016Q3: 2,628 shares 2,628$245K0.02%-13Timeline
FXUFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,587 shares; 2016Q3: 9,510 shares 9,510$243K0.02%-1,077Timeline
HPHELMERICH & PAYNE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,985 shares; 2016Q3: 3,885 shares 3,885$243K0.02%-100Timeline
POWERSHARESPOWERSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,461 shares; 2016Q3: 16,488 shares 16,488$243K0.02%+1,027
BIIBBIOGEN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,145 shares; 2016Q3: 820 shares 820$242K0.02%-325Timeline
UALUNITED AIRLS HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,103 shares 4,103$240K0.02%newTimeline
SPGIS&P GLOBAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,906 shares; 2016Q3: 1,908 shares 1,908$239K0.02%+2Timeline
XCHYXCALAMOS CONV & HIGH INCOME FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,676 shares; 2016Q3: 23,482 shares 23,482$239K0.02%+4,806Timeline
SYKSTRYKER CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 1,982 shares 1,982$237K0.02%newTimeline
HPEHEWLETT PACKARD ENTERPRISE CQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,192 shares; 2016Q3: 10,227 shares 10,227$236K0.02%+35Timeline
SMDVPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 5,047 shares 5,047$236K0.02%newTimeline
BLACKROCK INCBLACKROCK INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 624 shares; 2016Q3: 659 shares 659$236K0.02%+35
PAAPLAINS ALL AMERN PIPELINE LQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 7,964 shares 7,964$233K0.02%newTimeline
GSGOLDMAN SACHS GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,053 shares; 2016Q3: 1,262 shares 1,262$229K0.02%-1,791Timeline
ONEOK PARTNERS LP LTD PARTNONEOK PARTNERS LP LTD PARTNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,915 shares; 2016Q3: 5,800 shares 5,800$229K0.02%-115
WMBWILLIAMS COS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 7,692 shares 7,692$225K0.02%newTimeline
IYKISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,733 shares; 2016Q3: 1,996 shares 1,996$223K0.02%+263Timeline
SPABSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,796 shares; 2016Q3: 3,796 shares 3,796$222K0.02%0Timeline
WISDOMTREE TRWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,975 shares; 2016Q3: 2,965 shares 2,965$222K0.02%-10
GHYGISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,513 shares 4,513$221K0.02%newTimeline
CQPCHENIERE ENERGY PARTNERS L PQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,174 shares; 2016Q3: 8,174 shares 8,174$219K0.02%0Timeline
HOGHARLEY DAVIDSON INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 3,855 shares 3,855$218K0.02%newTimeline
MWAMUELLER WTR PRODS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 19,802 shares; 2016Q3: 19,982 shares 19,982$218K0.02%+180Timeline
SPIRIT AIRLS INCSPIRIT AIRLS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,583 shares 4,583$218K0.02%new
BLACKROCK CAP INVT CORPBLACKROCK CAP INVT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,700 shares; 2016Q3: 31,600 shares 31,600$216K0.02%+13,900
UHSUNIVERSAL HLTH SVCS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,725 shares; 2016Q3: 1,725 shares 1,725$215K0.02%0Timeline
CATCHMARK TIMBER TR INC CL ACATCHMARK TIMBER TR INC CL AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 22,049 shares; 2016Q3: 19,954 shares 19,954$215K0.02%-2,095
DESWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,968 shares; 2016Q3: 2,968 shares 2,968$214K0.02%0Timeline
RXIISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,435 shares; 2016Q3: 2,435 shares 2,435$214K0.02%0Timeline
NATIONAL GRID PLCNATIONAL GRID PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,418 shares; 2016Q3: 3,345 shares 3,345$213K0.02%-73
ALPS ETF TRALPS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 9,315 shares; 2016Q3: 9,696 shares 9,696$213K0.02%+381
EXREXTRA SPACE STORAGE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,476 shares; 2016Q3: 2,857 shares 2,857$212K0.02%-1,619Timeline
PNRPENTAIR PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,797 shares; 2016Q3: 3,800 shares 3,800$211K0.02%+3Timeline
MGAMAGNA INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,348 shares; 2016Q3: 5,318 shares 5,318$211K0.02%-30Timeline
HEWJISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,130 shares; 2016Q3: 8,265 shares 8,265$210K0.02%-7,865Timeline
IXJISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,108 shares; 2016Q3: 2,202 shares 2,202$208K0.02%-906Timeline
MCKMCKESSON CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 1,550 shares 1,550$208K0.02%newTimeline
PIONEER NATURAL RESOURCES COPIONEER NATURAL RESOURCES COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 1,199 shares 1,199$208K0.02%new
WYWEYERHAEUSER COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 7,336 shares; 2016Q3: 7,070 shares 7,070$207K0.02%-266Timeline
ASBASSOCIATED BANC-CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,377 shares; 2016Q3: 10,204 shares 10,204$207K0.02%-1,173Timeline
AIVLWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,678 shares 2,678$206K0.02%newTimeline
EOSEATON VANCE ENHANCED EQUITYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,057 shares; 2016Q3: 15,592 shares 15,592$205K0.02%+2,535Timeline
NEW YORK COMMUNITY BANCORPNEW YORK COMMUNITY BANCORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,177 shares; 2016Q3: 14,677 shares 14,677$205K0.02%-3,500
PDTHANCOCK JOHN PREM DIVID FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 14,047 shares 14,047$204K0.02%newTimeline
AEEAMEREN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,342 shares; 2016Q3: 3,997 shares 3,997$203K0.02%-345Timeline
ECLECOLAB INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,823 shares; 2016Q3: 1,799 shares 1,799$203K0.02%-24Timeline
BAXBAXTER INTL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,711 shares; 2016Q3: 4,272 shares 4,272$203K0.02%-439Timeline
SCANA CORP NEWSCANA CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,816 shares 2,816$203K0.02%new
TRIPTRIPADVISOR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,181 shares; 2016Q3: 3,181 shares 3,181$202K0.02%0Timeline
MPCMARATHON PETE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,684 shares 4,684$200K0.02%newTimeline
BUCKEYE PARTNERS LP (BPL)BUCKEYE PARTNERS LP (BPL)Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,891 shares; 2016Q3: 3,122 shares 3,122$200K0.02%-1,769
PIONEER MUNICIPAL HIGH INCO…PIONEER MUNICIPAL HIGH INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,600 shares; 2016Q3: 15,600 shares 15,600$199K0.02%0
QQQXNUVEEN NASDAQ 100 DYNAMIC OVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,814 shares; 2016Q3: 10,834 shares 10,834$196K0.02%+20Timeline
FXNFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,628 shares; 2016Q3: 13,485 shares 13,485$193K0.02%-1,143Timeline
XCMUXMFS HIGH YIELD MUN TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 41,865 shares; 2016Q3: 41,865 shares 41,865$192K0.02%0Timeline
TAHOE RES INCTAHOE RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,551 shares; 2016Q3: 17,524 shares 17,524$191K0.02%+973
HLHECLA MINING COMPANYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 32,006 shares; 2016Q3: 28,606 shares 28,606$189K0.02%-3,400Timeline
BCRXBIOCRYST PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 41,000 shares; 2016Q3: 40,850 shares 40,850$183K0.01%-150Timeline
TEMPLETON GLOBAL INCOME FDTEMPLETON GLOBAL INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 29,447 shares; 2016Q3: 29,447 shares 29,447$183K0.01%0
CELLDEX THERAPEUTICS INC NEWCELLDEX THERAPEUTICS INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 55,246 shares; 2016Q3: 55,246 shares 55,246$182K0.01%0
HTGCHERCULES CAPITAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 13,245 shares 13,245$174K0.01%newTimeline
ETWEATON VANCE TAX-MANAGED GLOBQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,592 shares; 2016Q3: 16,494 shares 16,494$174K0.01%-98Timeline
ZIOPHARM ONCOLOGY INCZIOPHARM ONCOLOGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 27,024 shares; 2016Q3: 29,524 shares 29,524$171K0.01%+2,500
PEOPLE'S UNITED FINANCIAL I…PEOPLE'S UNITED FINANCIAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,515 shares; 2016Q3: 10,115 shares 10,115$169K0.01%-400
Invesco Global Listed Priva…Invesco Global Listed Private Equ…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,055 shares; 2016Q3: 16,055 shares 16,055$169K0.01%0
DNPDNP SELECT INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,143 shares; 2016Q3: 16,762 shares 16,762$168K0.01%+3,619Timeline
MFMABERDEEN MUN INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 24,000 shares; 2016Q3: 24,000 shares 24,000$168K0.01%0Timeline
ERIIENERGY RECOVERY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,446 shares; 2016Q3: 16,446 shares 16,446$166K0.01%0Timeline
ALLIANZGI CONV INCOME FDALLIANZGI CONV INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 19,106 shares; 2016Q3: 26,949 shares 26,949$166K0.01%+7,843
MYIBLACKROCK MUNIYIELD QUALITYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,467 shares; 2016Q3: 11,467 shares 11,467$164K0.01%0Timeline
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,386 shares; 2016Q3: 13,902 shares 13,902$160K0.01%+2,516
LRAD CORPLRAD CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 97,216 shares; 2016Q3: 97,216 shares 97,216$159K0.01%0
OPKOPKO HEALTH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,050 shares; 2016Q3: 16,040 shares 16,040$156K0.01%+1,990Timeline
ENERPLUS CORPENERPLUS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 22,965 shares; 2016Q3: 22,965 shares 22,965$155K0.01%0
BLWBLACKROCK LTD DURATION INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 10,277 shares 10,277$154K0.01%newTimeline
IGAVOYA GLBL ADV & PREM OPP FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 15,917 shares 15,917$152K0.01%newTimeline
TEITEMPLETON EMERGING MKTS INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,905 shares; 2016Q3: 13,998 shares 13,998$150K0.01%+93Timeline
DREYFUSDREYFUSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 47,326 shares; 2016Q3: 47,676 shares 47,676$150K0.01%+350
VLYVALLEY NATL BANCORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,654 shares; 2016Q3: 13,654 shares 13,654$136K0.01%0Timeline
NEW AMERICA HIGH INCOME FUN…NEW AMERICA HIGH INCOME FUND IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,297 shares; 2016Q3: 15,023 shares 15,023$133K0.01%-1,274
NUVNUVEEN MUN VALUE FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 13,126 shares 13,126$131K0.01%newTimeline
THL CREDIT INCTHL CREDIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,750 shares; 2016Q3: 14,450 shares 14,450$130K0.01%-1,300
JPCNUVEEN PFD & INCOME OPPORTUNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,617 shares; 2016Q3: 13,617 shares 13,617$129K0.01%0Timeline
MCEWEN MNG INCMCEWEN MNG INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 33,225 shares; 2016Q3: 36,225 shares 36,225$128K0.01%+3,000
GPROGOPRO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,325 shares; 2016Q3: 11,660 shares 11,660$124K0.01%-665Timeline
HBANHUNTINGTON BANCSHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,055 shares 11,055$116K0.01%newTimeline
HIXWESTERN ASSET HIGH INCOM FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,736 shares; 2016Q3: 16,736 shares 16,736$116K0.01%0Timeline
OXFORD LANE CAP CORPOXFORD LANE CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,100 shares; 2016Q3: 11,100 shares 11,100$114K0.01%0
GRAMERCY PPTY TR COMGRAMERCY PPTY TR COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,017 shares; 2016Q3: 12,817 shares 12,817$114K0.01%-3,200
XETYXEATON VANCE TAX-MANAGED DIVEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,153 shares 11,153$113K0.01%newTimeline
NORTHSTAR REALTY EUROPE CORPNORTHSTAR REALTY EUROPE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,154 shares; 2016Q3: 10,554 shares 10,554$106K0.01%+400
SANBANCO SANTANDER SAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 23,755 shares; 2016Q3: 21,775 shares 21,775$105K0.01%-1,980Timeline
RDNTRADNET INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,296 shares; 2016Q3: 15,296 shares 15,296$102K0.01%0Timeline
INVESTORS REAL ESTATE TRUSTINVESTORS REAL ESTATE TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,210 shares; 2016Q3: 16,084 shares 16,084$97K0.01%-126
ETJEATON VANCE RISK-MANAGED DIVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 10,700 shares 10,700$95K0.01%newTimeline
ANTARES PHARMA INCANTARES PHARMA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 64,333 shares; 2016Q3: 57,233 shares 57,233$93K0.01%-7,100
EODALLSPRING GLOBAL DIVIDEND OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,038 shares; 2016Q3: 17,038 shares 17,038$92K0.01%-1,000Timeline
LIONBRIDGE TECHNOLOGIES INCLIONBRIDGE TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,700 shares; 2016Q3: 18,700 shares 18,700$90K0.01%0
SPPPSPROTT ASSET MANAGEMENT LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,083 shares; 2016Q3: 12,593 shares 12,593$88K0.01%-1,490Timeline
USALIBERTY ALL STAR EQUITY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,125 shares; 2016Q3: 17,518 shares 17,518$85K0.01%+393Timeline
TWITTER INCTWITTER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,524 shares 4,524$83K0.01%new
CHESEPEAKE ENERGY CORPCHESEPEAKE ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,082 shares; 2016Q3: 14,982 shares 14,982$82K0.01%-100
TREVENA INCTREVENA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 19,452 shares; 2016Q3: 19,952 shares 19,952$80K0.01%+500
TSITCW STRATEGIC INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,692 shares; 2016Q3: 14,692 shares 14,692$78K0.01%0Timeline
EXCO RESOURCES INCEXCO RESOURCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 500,500 shares; 2016Q3: 76,000 shares 76,000$74K0.01%-424,500
TRIANGLE PETE CORPTRIANGLE PETE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 274,375 shares; 2016Q3: 304,875 shares 304,875$69K0.01%+30,500
NOBLE CORP PLCNOBLE CORP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,053 shares; 2016Q3: 13,708 shares 13,708$65K0.01%-3,345
AGENUS INCAGENUS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,000 shares; 2016Q3: 10,000 shares 10,000$42K<0.01%0
UNITED DEV FUNDING XXXREG…UNITED DEV FUNDING XXXREGISTRAT…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,455 shares; 2016Q3: 15,955 shares 15,955$40K<0.01%-2,500
NYMXFNYMOX PHARMACEUTICAL CORP COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,000 shares; 2016Q3: 11,000 shares 11,000$32K<0.01%0Timeline
GLU MOBILE INCGLU MOBILE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,269 shares; 2016Q3: 16,039 shares 16,039$30K<0.01%-230
ARENA PHARMECEUTICALS INCARENA PHARMECEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 21,000 shares; 2016Q3: 17,450 shares 17,450$26K<0.01%-3,550
ABRAXAS PETROLEUM CORPABRAXAS PETROLEUM CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,505 shares; 2016Q3: 11,505 shares 11,505$18K<0.01%-1,000
NOVAVAX INCNOVAVAX INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 12,335 shares 12,335$18K<0.01%new
ATHERSYS INCATHERSYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,000 shares; 2016Q3: 10,000 shares 10,000$16K<0.01%0
U S GEOTHERMAL INCU S GEOTHERMAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,900 shares; 2016Q3: 20,900 shares 20,900$14K<0.01%0
GOLDEN STAR RES LTD CDAGOLDEN STAR RES LTD CDAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,000 shares; 2016Q3: 15,000 shares 15,000$12K<0.01%0
MANNKIND CORPMANNKIND CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 24,636 shares; 2016Q3: 23,736 shares 23,736$10K<0.01%-900
NEURALSTEM INCNEURALSTEM INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,500 shares; 2016Q3: 14,500 shares 14,500$4K<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
AAPLAPPLE INC COMcall400$5K0
TWITTER INCTWITTER INC COMcall5,800$1Knew

Sold out in Q3 2016

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

SecurityShares beforeValue beforeType
VICTORYSHARES INTERNATIONALVICTORYSHARES INTERNATIONAL151,374$5.04Mshares
VICTORY PORTFOLIOS IIVICTORY PORTFOLIOS II157,649$5.04Mshares
IYMISHARES TR36,364$2.89Mshares
MACMACERICH CO20,415$1.79Mshares
NAVISTAR INTERNATIONALNAVISTAR INTERNATIONAL103,975$1.24Mshares
FXZFIRST TR EXCHANGE-TRADED FD29,631$1Mshares
NUVEEN PREM INCOME MUN FDNUVEEN PREM INCOME MUN FD62,140$954Kshares
NUVEEN PREM INCOME MUN FDNUVEEN PREM INCOME MUN FD60,488$934Kshares
NUVEEN SELECT QUALITY MUN FDNUVEEN SELECT QUALITY MUN FD59,431$929Kshares
NUVEEN MUN MKT OPPORTUNITYNUVEEN MUN MKT OPPORTUNITY55,796$840Kshares
NVONOVO-NORDISK A S13,311$745Kshares
ENBRIDGE ENERGY PARTNERS L PENBRIDGE ENERGY PARTNERS L P30,872$696Kshares
ITOTISHARES TR14,053$690Kshares
RYDEX ETF TRUSTRYDEX ETF TRUST7,478$650Kshares
IEPICAHN ENTERPRISES LP10,554$616Kshares
INVESCO FINANCIAL PREFERRED…INVESCO FINANCIAL PREFERRED ETF29,439$569Kshares
ISHARES TRISHARES TR52,375$553Kshares
ACWVISHARES INC6,370$495Kshares
BBHVANECK ETF TRUST3,864$454Kshares
CURRENCYSHS JAPANESE YEN TRCURRENCYSHS JAPANESE YEN TR4,616$442Kshares
E M C CORP MASSE M C CORP MASS15,665$441Kshares
AMERICAN CAPITAL AGENCY CORPAMERICAN CAPITAL AGENCY CORP21,748$424Kshares
MXIISHARES TR7,943$410Kshares
REZISHARES TR5,812$394Kshares
IWVISHARES TR2,916$371Kshares
ALCOA INCALCOA INC35,457$366Kshares
FXHFIRST TR EXCHANGE-TRADED FD5,845$359Kshares
DSIISHARES TR4,382$350Kshares
HANESBRANDS INCHANESBRANDS INC12,674$325Kshares
UNILEVER N VUNILEVER N V6,764$312Kshares
KRGKITE REALTY GROUP TRUST9,735$287Kshares
ATOATMOS ENERGY CORP3,469$275Kshares
EMNEASTMAN CHEM CO4,217$270Kshares
XPCQXPIMCO CALIF MUN INCOME FD15,450$268Kshares
AWKAMERICAN WTR WKS CO INC NEW3,188$262Kshares
FISVFISERV INC2,389$261Kshares
XPGPXPIMCO GLOBAL STOCKPLUS INCOM12,410$253Kshares
NNNNNN REIT INC4,735$248Kshares
BLUEBIRD BIO INCBLUEBIRD BIO INC4,440$246Kshares
MZTIMARZETTI COMPANY1,905$244Kshares
EFADPROSHARES TR6,718$243Kshares
UAAUNDER ARMOUR INC6,229$237Kshares
ISHARESISHARES19,537$233Kshares
NXPINXP SEMICONDUCTORS N V2,698$221Kshares
NEUNEWMARKET CORP500$212Kshares
ALLIANZGI EQUITY & CONV INCOALLIANZGI EQUITY & CONV INCO11,086$212Kshares
ST JUDE MED INCST JUDE MED INC2,543$212Kshares
EBAYEBAY INC.6,869$211Kshares
MONSANTO CO NEWMONSANTO CO NEW1,984$210Kshares
MATMATTEL INC6,412$209Kshares
AALAMERICAN AIRLINES GROUP INC6,179$207Kshares
BUDANHEUSER BUSCH INBEV SA NV1,641$205Kshares
DOVDOVER CORP2,918$203Kshares
STATE STREETSTATE STREET1,865$202Kshares
ELECTRO RENT CORPELECTRO RENT CORP10,480$162Kshares
HYTBLACKROCK CORPOR HI YLD FD I10,110$107Kshares
POWERSHARES DB MULTISECT CPOWERSHARES DB MULTISECT C13,143$102Kshares
XEXGXEATON VANCE TAX-MANAGED GLOB10,628$92Kshares
ELEPHANT TALK COMM CORPELEPHANT TALK COMM CORP31,591$5Kshares

How Q3 2016 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 0001085146-16-004729 base2016-11-10acceptance time not in the bulk data set