SII INVESTMENTS INC/WI

13F filer, CIK 1351903, APPLETON, WI

SII INVESTMENTS INC/WI reported $1,307,123,000 across 592 holdings for the quarter ended 2016-09-30, in a 13F-HR filed 2016-11-10. Its ten largest share positions make up 27.9% of the portfolio.

Filed 2016-11-10 (acceptance time not in the bulk data set), ingested 2026-10-07 19:11:14 UTC13F-HR 0001085146-16-004730

Period: 2016-09-30
Reported value: $1.31B
Holdings: 592
Top 10 weight: 27.9%
New: 80
Sold out: 72

Largest buys vs the previous quarter

Security	Shares change	Approx. value
NICadded	+433,460	$16.6M
VTVadded	+95,830	$8.34M
VUGadded	+70,833	$7.95M
BNDadded	+84,828	$7.14M
VOOadded	+31,554	$6.27M

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

Security	Shares change	Approx. value
VYMreduced	-109,096	-$7.8M
AAPLreduced	-66,727	-$7.55M
RWOreduced	-133,035	-$6.6M
VWOreduced	-144,754	-$5.45M
PGreduced	-59,480	-$5.33M

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 0001085146-16-004730, largest first. % of portfolio is the value over $1,307,123,000, the sum of the share positions whose value is usable for ratios (method).

Security	Shares	Value	% of portfolio	Change	Timeline
KMXCARMAX INC	4,530	$240K	0.02%	+304	Timeline
IXCISHARES TR	7,254	$239K	0.02%	new	Timeline
NVGNUVEEN AMT FREE MUN CR INC F	14,893	$239K	0.02%	new	Timeline
DALDELTA AIR LINES INC	6,000	$238K	0.02%	-806	Timeline
TRACON PHARMACEUTICALS INCTRACON PHARMACEUTICALS INC	35,701	$238K	0.02%	new
AIGAMERICAN INTL GROUP INC	3,967	$237K	0.02%	-309	Timeline
CLXCLOROX CO DEL	1,856	$235K	0.02%	+14	Timeline
BLACKSTONE GROUP LP/THEBLACKSTONE GROUP LP/THE	9,146	$233K	0.02%	-8,424
Lincoln National CorporatLincoln National Corporat	6,913	$233K	0.02%	new
PPLPPL CORP	6,773	$232K	0.02%	+306	Timeline
IFVFIRST TR EXCHANGE TRADED FD	13,312	$232K	0.02%	new	Timeline
NUVNUVEEN MUN VALUE FD INC	21,780	$230K	0.02%	+1,534	Timeline
HANESBRANDS INCHANESBRANDS INC	9,077	$229K	0.02%	+127
CENTURYLINK INCCENTURYLINK INC	8,385	$229K	0.02%	new
COFCAPITAL ONE FINL CORP	3,176	$228K	0.02%	new	Timeline
POWERSHARES ETF TRUST DWA T…POWERSHARES ETF TRUST DWA TECH	5,336	$228K	0.02%	new
RDVYFIRST TR EXCHANGE TRADED FD	10,251	$226K	0.02%	new	Timeline
MDYSTATE STR SPDR S&P MIDCAP 40	793	$224K	0.02%	-155	Timeline
SHMSPDR SERIES TRUST	4,583	$224K	0.02%	new	Timeline
ALLEGHANY CORP DELALLEGHANY CORP DEL	424	$223K	0.02%	-3
TSLATESLA INC	1,098	$222K	0.02%	-358	Timeline
KEYKEYCORP	18,399	$222K	0.02%	+4,342	Timeline
ZOES KITCHEN INCZOES KITCHEN INC	10,000	$222K	0.02%	new
PAYXPAYCHEX INC	3,810	$221K	0.02%	new	Timeline
LNCLINCOLN NATL CORP IND	4,708	$221K	0.02%	new	Timeline
NXPNUVEEN SELECT TAX-FREE INCOM	14,435	$221K	0.02%	+393	Timeline
DLNWISDOMTREE TR	2,853	$221K	0.02%	new	Timeline
LIFE STORAGE INCLIFE STORAGE INC	2,473	$221K	0.02%	new
MGCVANGUARD WORLD FD	2,976	$219K	0.02%	new	Timeline
FDXFEDEX CORP	1,248	$218K	0.02%	-200	Timeline
NUVEEN INTER DURATION MUNNUVEEN INTER DURATION MUN	15,550	$215K	0.02%	0
ALLERGAN PLCALLERGAN PLC	930	$214K	0.02%	-263
BUCKEYE PARTNERS LP (BPL)BUCKEYE PARTNERS LP (BPL)	2,949	$214K	0.02%	+41
SCHBSCHWAB STRATEGIC TR	4,055	$213K	0.02%	new	Timeline
VSSVANGUARD INTL EQUITY INDEX F	2,155	$213K	0.02%	-25	Timeline
TFISPDR SERIES TRUST	4,191	$210K	0.02%	new	Timeline
IWBISHARES TR	1,734	$208K	0.02%	-950	Timeline
BTZBLACKROCK CR ALLOCATION	15,586	$208K	0.02%	+4,000	Timeline
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST	4,923	$207K	0.02%	-3,714
VTWOVANGUARD SCOTTSDALE FDS	2,076	$206K	0.02%	new	Timeline
COSTCOSTCO WHOLESALE CORPORATION	1,326	$204K	0.02%	-1,407	Timeline
CCLCARNIVAL CORP	4,214	$204K	0.02%	new	Timeline
USALIBERTY ALL STAR EQUITY FD	39,217	$204K	0.02%	+5,765	Timeline
VTWVVANGUARD SCOTTSDALE FDS	2,233	$203K	0.02%	new	Timeline
EMLPFIRST TR EXCHANGE-TRADED FD	8,015	$202K	0.02%	new	Timeline
FDLFIRST TR EXCHANGE-TRADED FD	7,378	$201K	0.02%	-39,456	Timeline
ITBISHARES TR	7,283	$201K	0.02%	new	Timeline
NEARISHARES U S ETF TR	4,000	$201K	0.02%	new	Timeline
REGLPROSHARES TR	4,316	$200K	0.02%	new	Timeline
WSRWHITESTONE REIT	14,383	$200K	0.02%	new	Timeline
BFORALPS ETF TR	6,233	$200K	0.02%	new	Timeline
FTSE RAFI 1000 US Lg CapFTSE RAFI 1000 US Lg Cap	2,144	$200K	0.02%	-4,284
FCXFREEPORT MCMORAN INC	18,040	$196K	0.01%	-31	Timeline
IPATH S&P GSCI CRUDE OI…IPATH S&P GSCI CRUDE OIL TOTAL	33,215	$194K	0.01%	-19,432
FRONTIER COMMUNICATIONS CORPFRONTIER COMMUNICATIONS CORP	48,002	$194K	0.01%	+307
ALBANY MOLECULAR RESHALBANY MOLECULAR RESH	11,210	$186K	0.01%	new
ASAASA GOLD AND PRECIOUS MTLS L	12,273	$184K	0.01%	+2,000	Timeline
NUVEEN MICH QUALITY INCOME …NUVEEN MICH QUALITY INCOME MUN FD…	11,670	$172K	0.01%	0
GSGISHARES S&P GSCI COMMODITY-	10,777	$159K	0.01%	-613	Timeline
XFRAXBLACKROCK FLOATING RATE INCO	10,426	$144K	0.01%	+51	Timeline
FIRST DATA CORP NEW COM CL AFIRST DATA CORP NEW COM CL A	10,507	$140K	0.01%	new
DEUTSCHE HIGH INCOME TR SHSDEUTSCHE HIGH INCOME TR SHS	14,535	$135K	0.01%	0
NHSNEUBERGER HIGH YIELD ST FD I	11,130	$132K	0.01%	new	Timeline
PFOFLAHERTY & CRUMRINE PFD INCO	10,750	$126K	0.01%	0	Timeline
HIOWESTERN ASSET HIGH INCOME OP	25,050	$126K	0.01%	new	Timeline
ACTGACACIA RESH CORP	18,680	$125K	0.01%	-300	Timeline
DREYFUS STRATEGIC MUNS INCDREYFUS STRATEGIC MUNS INC	13,223	$123K	0.01%	0
PHKPIMCO HIGH INCOME FD	11,895	$119K	0.01%	+187	Timeline
WINDSTREAM HLDGS INCWINDSTREAM HLDGS INC	11,979	$119K	0.01%	+133
XEROX CORPXEROX CORP	11,545	$116K	0.01%	new
Invesco Global Listed Priva…Invesco Global Listed Private Equ…	10,362	$113K	0.01%	-5,267
WHITING PETE CORP NEWWHITING PETE CORP NEW	12,694	$112K	0.01%	new
CONNQCONNS INC	10,000	$103K	0.01%	new	Timeline
BLACKROCK DEBT STRAT FD INCBLACKROCK DEBT STRAT FD INC	27,609	$101K	0.01%	0
NAVIDEA BIOPHARMACEUTICALS INAVIDEA BIOPHARMACEUTICALS I	90,315	$82K	0.01%	+19,300
SPPPSPROTT ASSET MANAGEMENT LP	10,200	$78K	0.01%	0	Timeline
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INC	11,471	$68K	0.01%	new
TACTRANSALTA CORP	11,276	$49K	<0.01%	-903	Timeline
NGDNEW GOLD INC	10,475	$46K	<0.01%	-1,000	Timeline
CHINA AUTOMOTIVE SYS INCCHINA AUTOMOTIVE SYS INC	10,000	$42K	<0.01%	new
VCELVERICEL CORP	14,500	$40K	<0.01%	+3,000	Timeline
DREYFUSDREYFUS	10,000	$34K	<0.01%	-10,000
SEADRILL ORDSEADRILL ORD	12,452	$26K	<0.01%	-355
NLSTNETLIST, INC. COM STK	17,930	$22K	<0.01%	new	Timeline
WESTPORT FUEL SYSTEMS INCWESTPORT FUEL SYSTEMS INC	11,207	$17K	<0.01%	new
CHANTICLEER HLDGS INCCHANTICLEER HLDGS INC	30,000	$16K	<0.01%	0
QUICKLOGIC CORPQUICKLOGIC CORP	20,050	$14K	<0.01%	0
CUMULUS MEDIA INCCUMULUS MEDIA INC	10,003	$3K	<0.01%	0

Principal amounts

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

Security	Type	Amount	Value	Change
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1	principal	135,000	$135K	-20,000
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1	principal	89,000	$91K	0
PROSPECT CAPITAL CORPORATIO…PROSPECT CAPITAL CORPORATION 5.75… Convertible	principal	45,000	$46K	0
BLACKROCK TCP CAPITAL CORPBLACKROCK TCP CAPITAL CORP COM	principal	30,000	$31K	0

Sold out in Q3 2016

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

Security	Shares before	Value before	Type
JOHNSON CONTROLS INT FJOHNSON CONTROLS INT F	69,421	$3.08M	shares
Invesco S&P 500 Pure GrowthInvesco S&P 500 Pure Growth	26,465	$2.15M	shares
IMCBISHARES TR	11,990	$1.78M	shares
IEIISHARES TR	10,885	$1.38M	shares
KSSKOHLS CORP	29,178	$1.1M	shares
RYDEX ETF TRUSTRYDEX ETF TRUST	7,543	$917K	shares
FTSE RAFI US 1500 Small CapFTSE RAFI US 1500 Small Cap	8,765	$850K	shares
HYLSFIRST TR EXCHANGE-TRADED FD	17,718	$845K	shares
FLRFLUOR CORP	16,576	$820K	shares
MARMARRIOTT INTL INC NEW	11,393	$759K	shares
SAIASAIA INC	28,161	$707K	shares
CRICARTERS INC	6,395	$681K	shares
BAXBAXTER INTL INC	15,036	$680K	shares
FXRFIRST TR EXCHANGE-TRADED FD	21,869	$599K	shares
FXUFIRST TR EXCHANGE-TRADED FD	20,727	$559K	shares
JUNIPER NETWORKS INCJUNIPER NETWORKS INC	20,527	$461K	shares
CERNER CORPCERNER CORP	7,944	$461K	shares
ENERGY TRANSFER PRTNRS L PENERGY TRANSFER PRTNRS L P	11,555	$443K	shares
SIGISELECTIVE INS GROUP INC	11,521	$442K	shares
RRYDER SYS INC	7,161	$436K	shares
E M C CORP MASSE M C CORP MASS	15,573	$423K	shares
CHRWC H ROBINSON WORLDWIDE IN	5,579	$416K	shares
CYPRESS SEMICONDUCTOR CORPCYPRESS SEMICONDUCTOR CORP	37,252	$396K	shares
FBTFIRST TR EXCHANGE-TRADED FD	4,264	$381K	shares
LINEAR TECHNOLOGY CORPLINEAR TECHNOLOGY CORP	8,138	$377K	shares
UPBDUPBOUND GROUP INC	30,495	$375K	shares
POWERSHARESPOWERSHARES	16,512	$375K	shares
IHFISHARES TR	2,919	$370K	shares
ECLECOLAB INC	3,057	$364K	shares
UYGPROSHARES TR	5,490	$363K	shares
SYKSTRYKER CORPORATION	3,011	$362K	shares
STATE STREETSTATE STREET	3,367	$351K	shares
DEODIAGEO PLC	3,007	$342K	shares
SWKSSKYWORKS SOLUTIONS INC	5,373	$338K	shares
KNOLL INCKNOLL INC	13,741	$335K	shares
SPDR SERIES TRUSTSPDR SERIES TRUST	4,941	$329K	shares
DESWISDOMTREE TR	4,366	$313K	shares
WMWASTE MGMT INC DEL	4,677	$311K	shares
ITAISHARES TR	2,415	$297K	shares
COLUMBIA PIPELINE GROUP INCCOLUMBIA PIPELINE GROUP INC	11,343	$289K	shares
BNYBANK OF NY MELLON CORP	7,230	$282K	shares
XLISELECT SECTOR SPDR TR	4,922	$277K	shares
GREAT PLAINS ENERGY INCGREAT PLAINS ENERGY INC	8,197	$249K	shares
Invesco Large-Cap GrowthInvesco Large-Cap Growth	7,610	$237K	shares
IXPISHARES TR	3,782	$236K	shares
WDCWESTERN DIGITAL CORP	4,799	$231K	shares
MSMORGAN STANLEY	8,772	$228K	shares
MOSMOSAIC CO	8,706	$227K	shares
AGCOAGCO CORP	4,733	$224K	shares
STERICYCLE INCSTERICYCLE INC	2,129	$221K	shares
APDAIR PRODUCTS AND CHEMICALS I	1,534	$217K	shares
BRK-ABERKSHIRE HATHAWAY INC DEL	1	$217K	shares
MLRGISHARES TR	1,766	$216K	shares
SOVRAN SELF STORAGE INCSOVRAN SELF STORAGE INC	2,075	$214K	shares
UALUNITED AIRLS HLDGS INC	5,188	$213K	shares
GOVERNMENT PPTYS INCOME TRGOVERNMENT PPTYS INCOME TR	8,700	$201K	shares
INVESCO WATER RESOURCES ETFINVESCO WATER RESOURCES ETF	8,594	$201K	shares
CSWCCAPITAL SOUTHWEST CORP	13,706	$190K	shares
SIERRA WIRELESS INCSIERRA WIRELESS INC	10,875	$184K	shares
BRISTOW GROUP INCBRISTOW GROUP INC	14,055	$160K	shares
NUVEEN SELECT TAX FREE INCOMNUVEEN SELECT TAX FREE INCOM	10,220	$151K	shares
PMOFRANKLIN MUN OPPORTUNITIES T	10,547	$140K	shares
HBANHUNTINGTON BANCSHARES INC	12,967	$117K	shares
ABERDEEN ASIA-PACIFIC INCOM…ABERDEEN ASIA-PACIFIC INCOME F	22,610	$114K	shares
GRAMERCY PPTY TR COMGRAMERCY PPTY TR COM	11,677	$109K	shares
PMMFRANKLIN MANAGED MUN INCOME	10,872	$87K	shares
TEMPLETON GLOBAL INCOME FDTEMPLETON GLOBAL INCOME FD	11,818	$77K	shares
WESTERN ASSET MGD HI INCM FDWESTERN ASSET MGD HI INCM FD	16,174	$74K	shares
SUPERVALU INCSUPERVALU INC	10,079	$47K	shares
DIGITAL ALLY INCDIGITAL ALLY INC	10,000	$39K	shares
SEQUENOM INC COM NEWSEQUENOM INC COM NEW	16,233	$13K	shares
ANTARES PHARMA INCANTARES PHARMA INC	10,100	$11K	shares

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).

Filing	Role	Amendment	Filed	Accepted	Ingested
13F-HR 0001085146-16-004730	base		2016-11-10	acceptance time not in the bulk data set	2026-10-07 19:11:14 UTC