Skip to content
Disclosery

SII INVESTMENTS INC/WI

Follow

13F filer, CIK 1351903, APPLETON, WI

SII INVESTMENTS INC/WI reported $1,336,426,000 across 595 holdings for the quarter ended 2016-12-31, in a 13F-HR filed 2017-02-13. Its ten largest share positions make up 28.02% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-17-000520

Period
2016-12-31
Reported value
$1.34B
Holdings
595
Top 10 weight
28.02%
New
47
Sold out
44

Largest buys vs the previous quarter

SecurityShares changeApprox. value
VOOadded+27,666$5.68M
POWERSHARES ETF TR IIadded+136,819$5.36M
DONadded+37,460$3.53M
IVWadded+21,697$2.64M
VBRadded+21,578$2.6M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
TLTreduced-115,693-$13.8M
NICreduced-238,218-$11.4M
FXHreduced-94,350-$5.39M
SCHWreduced-102,094-$4.03M
VTVreduced-41,146-$3.83M

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, Q4 2016

Share positions as resolved from 13F-HR 0001085146-17-000520, largest first. % of portfolio is the value over $1,336,426,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
MDYSTATE STR SPDR S&P MIDCAP 40Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 948 shares; 2016Q3: 793 shares; 2016Q4: 804 shares 804$243K0.02%+11Timeline
DVADAVITA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,984 shares; 2016Q3: 3,879 shares; 2016Q4: 3,787 shares 3,787$243K0.02%-92Timeline
WESTAR ENERGY INCWESTAR ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,249 shares; 2016Q3: 5,329 shares; 2016Q4: 4,284 shares 4,284$242K0.02%-1,045
IJTISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 1,786 shares; 2016Q4: 1,586 shares 1,586$240K0.02%-200Timeline
SJMSMUCKER J M COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,740 shares; 2016Q3: 1,835 shares; 2016Q4: 1,849 shares 1,849$237K0.02%+14Timeline
SEAGATE TECHNOLOGY HOLDINGSSEAGATE TECHNOLOGY HOLDINGSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 6,331 shares; 2016Q4: 6,196 shares 6,196$237K0.02%-135
ALLERGAN PLCALLERGAN PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,193 shares; 2016Q3: 930 shares; 2016Q4: 1,130 shares 1,130$237K0.02%+200
BIIBBIOGEN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 843 shares; 2016Q4: 827 shares 827$236K0.02%-16Timeline
iShares S&P AMT-Free Munici…iShares S&P AMT-Free MunicipalQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 9,300 shares 9,300$236K0.02%new
INVESCO FINANCIAL PREFERRED…INVESCO FINANCIAL PREFERRED ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,766 shares; 2016Q3: 13,075 shares; 2016Q4: 13,098 shares 13,098$235K0.02%+23
SPYGSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,443 shares; 2016Q3: 2,713 shares; 2016Q4: 2,222 shares 2,222$234K0.02%-491Timeline
GBXGREENBRIER COS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 5,613 shares 5,613$234K0.02%newTimeline
HISFFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 4,678 shares 4,678$234K0.02%newTimeline
BROADCOM LTDBROADCOM LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 1,332 shares 1,332$234K0.02%new
SCHGSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,334 shares; 2016Q3: 5,234 shares; 2016Q4: 4,105 shares 4,105$229K0.02%-1,129Timeline
MKLMARKEL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 274 shares; 2016Q3: 274 shares; 2016Q4: 254 shares 254$229K0.02%-20Timeline
DLNWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,853 shares; 2016Q4: 2,858 shares 2,858$229K0.02%+5Timeline
NVGNUVEEN AMT FREE MUN CR INC FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 14,893 shares; 2016Q4: 15,864 shares 15,864$229K0.02%+971Timeline
MGCVANGUARD WORLD FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,976 shares; 2016Q4: 2,976 shares 2,976$227K0.02%0Timeline
SUSUNCOR ENERGY INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 6,964 shares 6,964$226K0.02%newTimeline
PCNPIMCO CORPORATE & INCM STRGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,407 shares; 2016Q3: 16,495 shares; 2016Q4: 15,245 shares 15,245$225K0.02%-1,250Timeline
VOOGVANGUARD ADMIRAL FDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,785 shares; 2016Q3: 2,439 shares; 2016Q4: 2,065 shares 2,065$224K0.02%-374Timeline
IYRISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,605 shares; 2016Q3: 3,307 shares; 2016Q4: 2,868 shares 2,868$224K0.02%-439Timeline
BFORALPS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 6,233 shares; 2016Q4: 6,233 shares 6,233$221K0.02%0Timeline
HPSHANCOCK JOHN PFD INCOME FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,051 shares; 2016Q3: 14,717 shares; 2016Q4: 12,382 shares 12,382$220K0.02%-2,335Timeline
CENTURYLINK INCCENTURYLINK INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 8,385 shares; 2016Q4: 9,268 shares 9,268$219K0.02%+883
GMGENERAL MTRS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 6,265 shares 6,265$217K0.02%newTimeline
INVESCO WATER RESOURCES ETFINVESCO WATER RESOURCES ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,594 shares; 2016Q3: not reported; 2016Q4: 8,868 shares 8,868$217K0.02%new
NEARISHARES U S ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,000 shares; 2016Q4: 4,284 shares 4,284$216K0.02%+284Timeline
IEIISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,885 shares; 2016Q3: not reported; 2016Q4: 1,759 shares 1,759$215K0.02%newTimeline
KRGKITE REALTY GROUP TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 9,139 shares 9,139$214K0.02%newTimeline
AEPAMERICAN ELEC PWR CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,968 shares; 2016Q3: 16,293 shares; 2016Q4: 3,399 shares 3,399$214K0.02%-12,894Timeline
LIFE STORAGE INCLIFE STORAGE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,473 shares; 2016Q4: 2,473 shares 2,473$214K0.02%0
FTSE RAFI 1000 US Lg CapFTSE RAFI 1000 US Lg CapQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,428 shares; 2016Q3: 2,144 shares; 2016Q4: 2,144 shares 2,144$214K0.02%0
USALIBERTY ALL STAR EQUITY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 33,452 shares; 2016Q3: 39,217 shares; 2016Q4: 40,982 shares 40,982$211K0.02%+1,765Timeline
CONTINENTAL RES INCCONTINENTAL RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,130 shares; 2016Q3: 5,680 shares; 2016Q4: 4,100 shares 4,100$211K0.02%-1,580
ALBANY MOLECULAR RESHALBANY MOLECULAR RESHQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,210 shares; 2016Q4: 11,210 shares 11,210$211K0.02%0
XLUSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 32,569 shares; 2016Q3: 15,060 shares; 2016Q4: 4,331 shares 4,331$210K0.02%-10,729Timeline
SHMSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,583 shares; 2016Q4: 4,357 shares 4,357$208K0.02%-226Timeline
WSRWHITESTONE REITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 14,383 shares; 2016Q4: 14,383 shares 14,383$207K0.02%0Timeline
IXJISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,527 shares; 2016Q3: 2,527 shares; 2016Q4: 2,172 shares 2,172$206K0.02%-355Timeline
SPGIS&P GLOBAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,900 shares; 2016Q3: 1,900 shares; 2016Q4: 1,900 shares 1,900$205K0.02%0Timeline
ITAISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,415 shares; 2016Q3: not reported; 2016Q4: 1,441 shares 1,441$204K0.02%newTimeline
NUVNUVEEN MUN VALUE FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,246 shares; 2016Q3: 21,780 shares; 2016Q4: 21,380 shares 21,380$204K0.02%-400Timeline
YUMYUM BRANDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,103 shares; 2016Q3: 4,036 shares; 2016Q4: 3,240 shares 3,240$203K0.02%-796Timeline
NXPNUVEEN SELECT TAX-FREE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,042 shares; 2016Q3: 14,435 shares; 2016Q4: 14,435 shares 14,435$200K0.01%0Timeline
BTZBLACKROCK CR ALLOCATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,586 shares; 2016Q3: 15,586 shares; 2016Q4: 15,243 shares 15,243$197K0.01%-343Timeline
IPATH S&P GSCI CRUDE OI…IPATH S&P GSCI CRUDE OIL TOTALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 52,647 shares; 2016Q3: 33,215 shares; 2016Q4: 30,540 shares 30,540$195K0.01%-2,675
CAPSTEAD MTG CORPCAPSTEAD MTG CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 38,161 shares; 2016Q3: 26,201 shares; 2016Q4: 19,161 shares 19,161$192K0.01%-7,040
VERIFONE SYS INCVERIFONE SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,566 shares; 2016Q3: 16,947 shares; 2016Q4: 10,747 shares 10,747$192K0.01%-6,200
NUVEEN INTER DURATION MUNNUVEEN INTER DURATION MUNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,550 shares; 2016Q3: 15,550 shares; 2016Q4: 15,550 shares 15,550$191K0.01%0
WHITING PETE CORP NEWWHITING PETE CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 12,694 shares; 2016Q4: 15,194 shares 15,194$182K0.01%+2,500
BLWBLACKROCK LTD DURATION INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,825 shares 11,825$179K0.01%newTimeline
FCXFREEPORT MCMORAN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,071 shares; 2016Q3: 18,040 shares; 2016Q4: 13,338 shares 13,338$178K0.01%-4,702Timeline
ISHARES TRISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,730 shares; 2016Q3: 16,730 shares; 2016Q4: 11,281 shares 11,281$178K0.01%-5,449
STEWSRH TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 34,759 shares; 2016Q4: 19,039 shares 19,039$170K0.01%-15,720Timeline
GSGISHARES S&P GSCI COMMODITY-Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,390 shares; 2016Q3: 10,777 shares; 2016Q4: 10,656 shares 10,656$168K0.01%-121Timeline
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 81,576 shares; 2016Q3: 27,395 shares; 2016Q4: 15,127 shares 15,127$163K0.01%-12,268
NUVEEN MICH QUALITY INCOME …NUVEEN MICH QUALITY INCOME MUN FD…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,670 shares; 2016Q3: 11,670 shares; 2016Q4: 11,670 shares 11,670$156K0.01%0
XFRAXBLACKROCK FLOATING RATE INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,375 shares; 2016Q3: 10,426 shares; 2016Q4: 10,492 shares 10,492$151K0.01%+66Timeline
FIRST DATA CORP NEW COM CL AFIRST DATA CORP NEW COM CL AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 10,507 shares; 2016Q4: 10,500 shares 10,500$149K0.01%-7
FRONTIER COMMUNICATIONS CORPFRONTIER COMMUNICATIONS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 47,695 shares; 2016Q3: 48,002 shares; 2016Q4: 45,224 shares 45,224$149K0.01%-2,778
AMDADVANCED MICRO DEVICES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 13,025 shares 13,025$147K0.01%newTimeline
TRACON PHARMACEUTICALS INCTRACON PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 35,701 shares; 2016Q4: 29,406 shares 29,406$144K0.01%-6,295
ASAASA GOLD AND PRECIOUS MTLS LQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,273 shares; 2016Q3: 12,273 shares; 2016Q4: 12,273 shares 12,273$135K0.01%0Timeline
GNTGAMCO NAT RES GOLD & INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 19,903 shares 19,903$133K0.01%newTimeline
INTREPID POTASH INCINTREPID POTASH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 63,000 shares 63,000$131K0.01%new
CONNQCONNS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 10,000 shares; 2016Q4: 10,000 shares 10,000$127K0.01%0Timeline
PFOFLAHERTY & CRUMRINE PFD INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,750 shares; 2016Q3: 10,750 shares; 2016Q4: 10,750 shares 10,750$121K0.01%0Timeline
HIOWESTERN ASSET HIGH INCOME OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 25,050 shares; 2016Q4: 23,798 shares 23,798$120K0.01%-1,252Timeline
ACTGACACIA RESH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,980 shares; 2016Q3: 18,680 shares; 2016Q4: 17,680 shares 17,680$118K0.01%-1,000Timeline
DREYFUS STRATEGIC MUNS INCDREYFUS STRATEGIC MUNS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,223 shares; 2016Q3: 13,223 shares; 2016Q4: 13,223 shares 13,223$111K0.01%0
BCXBLACKROCK RES & COMMODITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 13,199 shares 13,199$110K0.01%newTimeline
CHICALAMOS CONV OPPORTUNITIES &Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 10,945 shares 10,945$110K0.01%newTimeline
PHKPIMCO HIGH INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,708 shares; 2016Q3: 11,895 shares; 2016Q4: 11,762 shares 11,762$107K0.01%-133Timeline
MANITOWOC COMPANY INCMANITOWOC COMPANY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 22,005 shares; 2016Q3: 59,528 shares; 2016Q4: 16,971 shares 16,971$102K0.01%-42,557
WINDSTREAM HLDGS INCWINDSTREAM HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,846 shares; 2016Q3: 11,979 shares; 2016Q4: 12,006 shares 12,006$87K0.01%+27
FITBIT INCFITBIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,775 shares 11,775$86K0.01%new
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,471 shares; 2016Q4: 11,087 shares 11,087$73K0.01%-384
SPPPSPROTT ASSET MANAGEMENT LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,200 shares; 2016Q3: 10,200 shares; 2016Q4: 10,200 shares 10,200$70K0.01%0Timeline
TACTRANSALTA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,179 shares; 2016Q3: 11,276 shares; 2016Q4: 12,570 shares 12,570$69K0.01%+1,294Timeline
NAVIDEA BIOPHARMACEUTICALS INAVIDEA BIOPHARMACEUTICALS IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 71,015 shares; 2016Q3: 90,315 shares; 2016Q4: 90,315 shares 90,315$55K<0.01%0
CHINA AUTOMOTIVE SYS INCCHINA AUTOMOTIVE SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 10,000 shares; 2016Q4: 10,000 shares 10,000$54K<0.01%0
SEADRILL ORDSEADRILL ORDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,807 shares; 2016Q3: 12,452 shares; 2016Q4: 11,312 shares 11,312$40K<0.01%-1,140
NGDNEW GOLD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,475 shares; 2016Q3: 10,475 shares; 2016Q4: 10,475 shares 10,475$37K<0.01%0Timeline
VCELVERICEL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,500 shares; 2016Q3: 14,500 shares; 2016Q4: 11,500 shares 11,500$35K<0.01%-3,000Timeline
DREYFUSDREYFUSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,000 shares; 2016Q3: 10,000 shares; 2016Q4: 10,000 shares 10,000$34K<0.01%0
QUICKLOGIC CORPQUICKLOGIC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,050 shares; 2016Q3: 20,050 shares; 2016Q4: 18,050 shares 18,050$25K<0.01%-2,000
NLSTNETLIST, INC. COM STKQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 17,930 shares; 2016Q4: 17,930 shares 17,930$18K<0.01%0Timeline
NAVIOS MARITIME HOLDINGS INCNAVIOS MARITIME HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 10,000 shares 10,000$14K<0.01%new
WESTPORT FUEL SYSTEMS INCWESTPORT FUEL SYSTEMS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,207 shares; 2016Q4: 11,082 shares 11,082$12K<0.01%-125

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% 4/1principal135,000$134K0
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1principal89,000$90K0
PROSPECT CAPITAL CORPORATIO…PROSPECT CAPITAL CORPORATION 5.75… Convertibleprincipal45,000$45K0
BLACKROCK TCP CAPITAL CORPBLACKROCK TCP CAPITAL CORP COMprincipal30,000$31K0

Sold out in Q4 2016

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

SecurityShares beforeValue beforeType
PANWPALO ALTO NETWORKS INC7,615$1.21Mshares
FXLFIRST TR EXCHANGE-TRADED FD29,345$1.08Mshares
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR39,213$1.01Mshares
FXDFIRST TR EXCHANGE-TRADED FD25,257$888Kshares
EDVVANGUARD WORLD FD5,941$811Kshares
CUTWATER SELECT INCOME FDCUTWATER SELECT INCOME FD38,280$771Kshares
AOSSMITH A O CORP7,134$710Kshares
NEW YORK COMMUNITY BANCORPNEW YORK COMMUNITY BANCORP43,038$607Kshares
DTREFIRST TR EXCHANGE-TRADED FD10,335$476Kshares
MDIVFIRST TR EXCHANGE TRADED FD24,164$456Kshares
BANCBANC OF CALIFORNIA INC24,566$430Kshares
BLACKROCK CAP INVT CORPBLACKROCK CAP INVT CORP51,635$429Kshares
APACHE CORPAPACHE CORP6,629$426Kshares
AMERICAN CAPITAL AGENCY CORPAMERICAN CAPITAL AGENCY CORP18,877$372Kshares
DUKE REALTY CORPDUKE REALTY CORP13,053$355Kshares
CIMAREX ENERGY CO COMCIMAREX ENERGY CO COM2,369$318Kshares
SYFSYNCHRONY FINANCIAL10,931$308Kshares
TESORO CORPTESORO CORP3,781$304Kshares
BROOKFIELD HIGH INCOME FD I…BROOKFIELD HIGH INCOME FD INC COM38,310$282Kshares
ICLRICON PUB LTD CO3,604$280Kshares
HARMAN INTL INDS INCHARMAN INTL INDS INC3,247$275Kshares
RYDEX ETF TRUSTRYDEX ETF TRUST3,356$271Kshares
LAMRLAMAR ADVERTISING CO4,134$270Kshares
WELLWELLTOWER INC3,461$258Kshares
TDIVFIRST TR EXCHANGE TRADED FD8,830$258Kshares
ALCOA INCALCOA INC25,539$257Kshares
ALEXION PHARMACEUTICALS INCALEXION PHARMACEUTICALS INC2,061$255Kshares
LSTRLANDSTAR SYS INC3,600$244Kshares
KMXCARMAX INC4,530$240Kshares
PPLPPL CORP6,773$232Kshares
BUCKEYE PARTNERS LP (BPL)BUCKEYE PARTNERS LP (BPL)2,949$214Kshares
VSSVANGUARD INTL EQUITY INDEX F2,155$213Kshares
TFISPDR SERIES TRUST4,191$210Kshares
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST4,923$207Kshares
VTWOVANGUARD SCOTTSDALE FDS2,076$206Kshares
EMLPFIRST TR EXCHANGE-TRADED FD8,015$202Kshares
FDLFIRST TR EXCHANGE-TRADED FD7,378$201Kshares
ITBISHARES TR7,283$201Kshares
DEUTSCHE HIGH INCOME TR SHSDEUTSCHE HIGH INCOME TR SHS14,535$135Kshares
XEROX CORPXEROX CORP11,545$116Kshares
Invesco Global Listed Priva…Invesco Global Listed Private Equ…10,362$113Kshares
BLACKROCK DEBT STRAT FD INCBLACKROCK DEBT STRAT FD INC27,609$101Kshares
CHANTICLEER HLDGS INCCHANTICLEER HLDGS INC30,000$16Kshares
CUMULUS MEDIA INCCUMULUS MEDIA INC10,003$3Kshares

How Q4 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 0001085146-17-000520 base2017-02-13acceptance time not in the bulk data set