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Disclosery

SII INVESTMENTS INC/WI

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13F filer, CIK 1351903, APPLETON, WI

SII INVESTMENTS INC/WI reported $1,453,143,000 across 612 holdings for the quarter ended 2017-03-31, in a 13F-HR filed 2017-05-15. Its ten largest share positions make up 28.93% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-17-001383

Period
2017-03-31
Reported value
$1.45B
Holdings
612
Top 10 weight
28.93%
New
52
Sold out
35

Largest buys vs the previous quarter

SecurityShares changeApprox. value
PowerShares QQQ Trust Unit …added+91,198$12.1M
IVEadded+75,839$7.89M
VOOadded+30,457$6.59M
IVWadded+42,007$5.53M
BSVadded+66,813$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.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
POWERSHARES ETF TR IIreduced-123,106-$4.99M
Invesco Optm Yd Dvrs Cdty S…exited-276,115-$4.77M
POWERSHARESreduced-269,156-$4.09M
VEUreduced-74,535-$3.56M
VUGreduced-24,813-$3.02M

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

Holdings, Q1 2017

Share positions as resolved from 13F-HR 0001085146-17-001383, largest first. % of portfolio is the value over $1,453,140,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
NINISOURCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,370 shares; 2016Q3: 11,976 shares; 2016Q4: 12,505 shares; 2017Q1: 11,087 shares 11,087$264K0.02%-1,418Timeline
EMLPFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 8,015 shares; 2016Q4: not reported; 2017Q1: 10,459 shares 10,459$264K0.02%newTimeline
HISFFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 4,678 shares; 2017Q1: 5,182 shares 5,182$262K0.02%+504Timeline
CLXCLOROX CO DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,842 shares; 2016Q3: 1,856 shares; 2016Q4: 5,166 shares; 2017Q1: 1,942 shares 1,942$261K0.02%-3,224Timeline
REGLPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,316 shares; 2016Q4: 4,866 shares; 2017Q1: 5,061 shares 5,061$261K0.02%+195Timeline
FEMBFIRST TR EXCH TRADED FD IIIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 7,570 shares; 2017Q1: 6,179 shares 6,179$261K0.02%-1,391Timeline
ALLEGHANY CORP DELALLEGHANY CORP DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 427 shares; 2016Q3: 424 shares; 2016Q4: 424 shares; 2017Q1: 424 shares 424$261K0.02%0
MDYSTATE STR SPDR S&P MIDCAP 40Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 948 shares; 2016Q3: 793 shares; 2016Q4: 804 shares; 2017Q1: 827 shares 827$258K0.02%+23Timeline
DVADAVITA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,984 shares; 2016Q3: 3,879 shares; 2016Q4: 3,787 shares; 2017Q1: 3,787 shares 3,787$257K0.02%0Timeline
MCKMCKESSON CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,730 shares; 2016Q3: 1,579 shares; 2016Q4: 2,630 shares; 2017Q1: 1,711 shares 1,711$254K0.02%-919Timeline
NVSNOVARTIS AGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,941 shares; 2016Q3: 3,796 shares; 2016Q4: 3,572 shares; 2017Q1: 3,398 shares 3,398$252K0.02%-174Timeline
TOTALENERGIES SE -SPON ADRTOTALENERGIES SE -SPON ADRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,089 shares; 2016Q3: 6,620 shares; 2016Q4: 5,376 shares; 2017Q1: 4,985 shares 4,985$251K0.02%-391
CA INC COMCA INC COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 7,933 shares; 2016Q3: 7,933 shares; 2016Q4: 9,473 shares; 2017Q1: 7,908 shares 7,908$251K0.02%-1,565
SCHGSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,334 shares; 2016Q3: 5,234 shares; 2016Q4: 4,105 shares; 2017Q1: 4,107 shares 4,107$249K0.02%+2Timeline
INVESCO FINANCIAL PREFERRED…INVESCO FINANCIAL PREFERRED ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,766 shares; 2016Q3: 13,075 shares; 2016Q4: 13,098 shares; 2017Q1: 13,276 shares 13,276$249K0.02%+178
IXCISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 7,254 shares; 2016Q4: 7,286 shares; 2017Q1: 7,474 shares 7,474$248K0.02%+188Timeline
PCNPIMCO CORPORATE & INCM STRGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,407 shares; 2016Q3: 16,495 shares; 2016Q4: 15,245 shares; 2017Q1: 15,449 shares 15,449$247K0.02%+204Timeline
AOAISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,569 shares; 2016Q3: 7,661 shares; 2016Q4: 7,421 shares; 2017Q1: 4,918 shares 4,918$246K0.02%-2,503Timeline
YUMYUM BRANDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,103 shares; 2016Q3: 4,036 shares; 2016Q4: 3,240 shares; 2017Q1: 3,892 shares 3,892$246K0.02%+652Timeline
MTUMISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 4,155 shares; 2017Q1: 2,984 shares 2,984$244K0.02%-1,171Timeline
CENTURYLINK INCCENTURYLINK INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 8,385 shares; 2016Q4: 9,268 shares; 2017Q1: 10,461 shares 10,461$243K0.02%+1,193
SLYVSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 2,343 shares; 2017Q1: 2,035 shares 2,035$242K0.02%-308Timeline
ITBISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 7,283 shares; 2016Q4: not reported; 2017Q1: 7,501 shares 7,501$242K0.02%newTimeline
SJMSMUCKER J M COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,740 shares; 2016Q3: 1,835 shares; 2016Q4: 1,849 shares; 2017Q1: 1,845 shares 1,845$242K0.02%-4Timeline
WESTAR ENERGY INCWESTAR ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,249 shares; 2016Q3: 5,329 shares; 2016Q4: 4,284 shares; 2017Q1: 4,495 shares 4,495$242K0.02%+211
MAGELLAN MIDSTREAM PARTNERS…MAGELLAN MIDSTREAM PARTNERS, LQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 3,334 shares; 2017Q1: 3,134 shares 3,134$240K0.02%-200
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; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 10,507 shares; 2016Q4: 10,500 shares; 2017Q1: 15,500 shares 15,500$240K0.02%+5,000
SCHDSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,702 shares; 2016Q3: 5,922 shares; 2016Q4: 5,939 shares; 2017Q1: 5,377 shares 5,377$239K0.02%-562Timeline
VOOGVANGUARD ADMIRAL FDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,785 shares; 2016Q3: 2,439 shares; 2016Q4: 2,065 shares; 2017Q1: 2,006 shares 2,006$239K0.02%-59Timeline
CONTINENTAL RES INCCONTINENTAL RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,130 shares; 2016Q3: 5,680 shares; 2016Q4: 4,100 shares; 2017Q1: 5,150 shares 5,150$235K0.02%+1,050
INVESCO WATER RESOURCES ETFINVESCO WATER RESOURCES ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,594 shares; 2016Q3: not reported; 2016Q4: 8,868 shares; 2017Q1: 8,868 shares 8,868$234K0.02%0
GBXGREENBRIER COS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 5,613 shares; 2017Q1: 5,366 shares 5,366$233K0.02%-247Timeline
EDVVANGUARD WORLD FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,723 shares; 2016Q3: 5,941 shares; 2016Q4: not reported; 2017Q1: 2,068 shares 2,068$231K0.02%newTimeline
OPPENHEIMER ETF TROPPENHEIMER ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,474 shares 3,474$230K0.02%new
RWRSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 2,467 shares 2,467$228K0.02%newTimeline
BFORALPS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 6,233 shares; 2016Q4: 6,233 shares; 2017Q1: 6,233 shares 6,233$228K0.02%0Timeline
HYLSFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,718 shares; 2016Q3: not reported; 2016Q4: 6,188 shares; 2017Q1: 4,654 shares 4,654$227K0.02%-1,534Timeline
ARCONIC INCARCONIC INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 8,609 shares 8,609$227K0.02%new
AIGAMERICAN INTL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,276 shares; 2016Q3: 3,967 shares; 2016Q4: 3,854 shares; 2017Q1: 3,587 shares 3,587$223K0.02%-267Timeline
BTZBLACKROCK CR ALLOCATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,586 shares; 2016Q3: 15,586 shares; 2016Q4: 15,243 shares; 2017Q1: 16,843 shares 16,843$223K0.02%+1,600Timeline
POWERSHARESPOWERSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 27,343 shares; 2016Q3: 305,557 shares; 2016Q4: 283,820 shares; 2017Q1: 14,664 shares 14,664$223K0.02%-269,156
MINTPIMCO ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 2,154 shares 2,154$219K0.02%newTimeline
ADNTADIENT PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 2,937 shares 2,937$217K0.01%newTimeline
SPYGSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,443 shares; 2016Q3: 2,713 shares; 2016Q4: 2,222 shares; 2017Q1: 1,901 shares 1,901$216K0.01%-321Timeline
FIRST TR VALUE LINE 100 ETFFIRST TR VALUE LINE 100 ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 10,000 shares 10,000$216K0.01%new
IXJISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,527 shares; 2016Q3: 2,527 shares; 2016Q4: 2,172 shares; 2017Q1: 2,084 shares 2,084$214K0.01%-88Timeline
GMGENERAL MTRS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 6,265 shares; 2017Q1: 6,084 shares 6,084$214K0.01%-181Timeline
TEVATEVA PHARMACEUTICAL INDS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 7,800 shares; 2016Q3: 6,861 shares; 2016Q4: 6,714 shares; 2017Q1: 6,739 shares 6,739$214K0.01%+25Timeline
IEIISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,885 shares; 2016Q3: not reported; 2016Q4: 1,759 shares; 2017Q1: 1,744 shares 1,744$213K0.01%-15Timeline
HPSHANCOCK JOHN PFD INCOME FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,051 shares; 2016Q3: 14,717 shares; 2016Q4: 12,382 shares; 2017Q1: 11,210 shares 11,210$210K0.01%-1,172Timeline
Invesco S&P 500 Pure GrowthInvesco S&P 500 Pure GrowthQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 26,465 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 2,344 shares 2,344$210K0.01%new
POWERSHARES GLOBAL ETF TRUSTPOWERSHARES GLOBAL ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,006 shares; 2016Q3: 11,483 shares; 2016Q4: 11,033 shares; 2017Q1: 8,285 shares 8,285$208K0.01%-2,748
KRGKITE REALTY GROUP TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 9,139 shares; 2017Q1: 9,565 shares 9,565$207K0.01%+426Timeline
VTWOVANGUARD SCOTTSDALE FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,076 shares; 2016Q4: not reported; 2017Q1: 1,864 shares 1,864$206K0.01%newTimeline
NXPNUVEEN SELECT TAX-FREE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,042 shares; 2016Q3: 14,435 shares; 2016Q4: 14,435 shares; 2017Q1: 14,435 shares 14,435$203K0.01%0Timeline
REZISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,200 shares 3,200$202K0.01%newTimeline
KBESPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 4,635 shares 4,635$202K0.01%newTimeline
Rydex S&P 500 Pure Value EtfRydex S&P 500 Pure Value EtfQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,391 shares 3,391$202K0.01%new
LIFE STORAGE INCLIFE STORAGE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,473 shares; 2016Q4: 2,473 shares; 2017Q1: 2,473 shares 2,473$201K0.01%0
MONOGRAM RESIDENTIAL TR INCMONOGRAM RESIDENTIAL TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 25,234 shares; 2016Q3: 23,734 shares; 2016Q4: 22,679 shares; 2017Q1: 20,049 shares 20,049$201K0.01%-2,630
NUVEEN INTER DURATION MUNNUVEEN INTER DURATION MUNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,550 shares; 2016Q3: 15,550 shares; 2016Q4: 15,550 shares; 2017Q1: 15,550 shares 15,550$201K0.01%0
XFRAXBLACKROCK FLOATING RATE INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,375 shares; 2016Q3: 10,426 shares; 2016Q4: 10,492 shares; 2017Q1: 13,911 shares 13,911$200K0.01%+3,419Timeline
USALIBERTY ALL STAR EQUITY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 33,452 shares; 2016Q3: 39,217 shares; 2016Q4: 40,982 shares; 2017Q1: 36,747 shares 36,747$200K0.01%-4,235Timeline
HOLLYFRONTIER CORPHOLLYFRONTIER CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,669 shares; 2016Q4: 10,616 shares; 2017Q1: 7,063 shares 7,063$200K0.01%-3,553
DIEBOLD NXDF INCDIEBOLD NXDF INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 6,535 shares 6,535$200K0.01%new
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,637 shares; 2016Q3: 4,923 shares; 2016Q4: not reported; 2017Q1: 4,573 shares 4,573$200K0.01%new
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 11,544 shares 11,544$198K0.01%new
WSRWHITESTONE REITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 14,383 shares; 2016Q4: 14,383 shares; 2017Q1: 14,383 shares 14,383$197K0.01%0Timeline
ISHARES TRISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,730 shares; 2016Q3: 16,730 shares; 2016Q4: 11,281 shares; 2017Q1: 11,281 shares 11,281$193K0.01%0
CAPSTEAD MTG CORPCAPSTEAD MTG CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 38,161 shares; 2016Q3: 26,201 shares; 2016Q4: 19,161 shares; 2017Q1: 18,131 shares 18,131$192K0.01%-1,030
BLWBLACKROCK LTD DURATION INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,825 shares; 2017Q1: 11,825 shares 11,825$185K0.01%0Timeline
FCXFREEPORT MCMORAN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,071 shares; 2016Q3: 18,040 shares; 2016Q4: 13,338 shares; 2017Q1: 13,643 shares 13,643$182K0.01%+305Timeline
NVGNUVEEN AMT FREE MUN CR INC FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 14,893 shares; 2016Q4: 15,864 shares; 2017Q1: 12,053 shares 12,053$175K0.01%-3,811Timeline
ALBANY MOLECULAR RESHALBANY MOLECULAR RESHQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,210 shares; 2016Q4: 11,210 shares; 2017Q1: 11,460 shares 11,460$161K0.01%+250
GSGISHARES S&P GSCI COMMODITY-Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,390 shares; 2016Q3: 10,777 shares; 2016Q4: 10,656 shares; 2017Q1: 10,656 shares 10,656$157K0.01%0Timeline
NUVEEN MICH QUALITY INCOME …NUVEEN MICH QUALITY INCOME MUN FD…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,670 shares; 2016Q3: 11,670 shares; 2016Q4: 11,670 shares; 2017Q1: 11,670 shares 11,670$155K0.01%0
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; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 52,647 shares; 2016Q3: 33,215 shares; 2016Q4: 30,540 shares; 2017Q1: 27,760 shares 27,760$154K0.01%-2,780
CYPRESS SEMICONDUCTOR CORPCYPRESS SEMICONDUCTOR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 37,252 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 11,084 shares 11,084$152K0.01%new
GNTGAMCO NAT RES GOLD & INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 19,903 shares; 2017Q1: 21,409 shares 21,409$148K0.01%+1,506Timeline
ASAASA GOLD AND PRECIOUS MTLS LQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,273 shares; 2016Q3: 12,273 shares; 2016Q4: 12,273 shares; 2017Q1: 12,273 shares 12,273$148K0.01%0Timeline
WHITING PETE CORP NEWWHITING PETE CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 12,694 shares; 2016Q4: 15,194 shares; 2017Q1: 15,194 shares 15,194$143K0.01%0
GNC HLDGS INCGNC HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 19,000 shares 19,000$140K0.01%new
CHICALAMOS CONV OPPORTUNITIES &Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 10,945 shares; 2017Q1: 12,615 shares 12,615$139K0.01%+1,670Timeline
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 81,576 shares; 2016Q3: 27,395 shares; 2016Q4: 15,127 shares; 2017Q1: 13,004 shares 13,004$132K0.01%-2,123
PFOFLAHERTY & CRUMRINE PFD INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,750 shares; 2016Q3: 10,750 shares; 2016Q4: 10,750 shares; 2017Q1: 10,750 shares 10,750$128K0.01%0Timeline
DREYFUS STRATEGIC MUNS INCDREYFUS STRATEGIC MUNS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,223 shares; 2016Q3: 13,223 shares; 2016Q4: 13,223 shares; 2017Q1: 14,723 shares 14,723$127K0.01%+1,500
HIOWESTERN ASSET HIGH INCOME OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 25,050 shares; 2016Q4: 23,798 shares; 2017Q1: 23,798 shares 23,798$120K0.01%0Timeline
BCXBLACKROCK RES & COMMODITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 13,199 shares; 2017Q1: 13,199 shares 13,199$112K0.01%0Timeline
INTREPID POTASH INCINTREPID POTASH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 63,000 shares; 2017Q1: 63,000 shares 63,000$108K0.01%0
ACTGACACIA RESH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,980 shares; 2016Q3: 18,680 shares; 2016Q4: 17,680 shares; 2017Q1: 17,180 shares 17,180$100K0.01%-500Timeline
MANITOWOC COMPANY INCMANITOWOC COMPANY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 22,005 shares; 2016Q3: 59,528 shares; 2016Q4: 16,971 shares; 2017Q1: 16,331 shares 16,331$92K0.01%-640
TRACON PHARMACEUTICALS INCTRACON PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 35,701 shares; 2016Q4: 29,406 shares; 2017Q1: 25,545 shares 25,545$92K0.01%-3,861
PHKPIMCO HIGH INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,708 shares; 2016Q3: 11,895 shares; 2016Q4: 11,762 shares; 2017Q1: 10,122 shares 10,122$88K0.01%-1,640Timeline
WINDSTREAM HLDGS INCWINDSTREAM HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,846 shares; 2016Q3: 11,979 shares; 2016Q4: 12,006 shares; 2017Q1: 16,208 shares 16,208$88K0.01%+4,202
FRONTIER COMMUNICATIONS CORPFRONTIER COMMUNICATIONS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 47,695 shares; 2016Q3: 48,002 shares; 2016Q4: 45,224 shares; 2017Q1: 41,804 shares 41,804$86K0.01%-3,420
SPPPSPROTT ASSET MANAGEMENT LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,200 shares; 2016Q3: 10,200 shares; 2016Q4: 10,200 shares; 2017Q1: 10,200 shares 10,200$79K0.01%0Timeline
TACTRANSALTA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,179 shares; 2016Q3: 11,276 shares; 2016Q4: 12,570 shares; 2017Q1: 11,894 shares 11,894$69K<0.01%-676Timeline
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,471 shares; 2016Q4: 11,087 shares; 2017Q1: 10,763 shares 10,763$66K<0.01%-324
NAVIDEA BIOPHARMACEUTICALS INAVIDEA BIOPHARMACEUTICALS IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 71,015 shares; 2016Q3: 90,315 shares; 2016Q4: 90,315 shares; 2017Q1: 90,315 shares 90,315$52K<0.01%0
VCELVERICEL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,500 shares; 2016Q3: 14,500 shares; 2016Q4: 11,500 shares; 2017Q1: 14,500 shares 14,500$40K<0.01%+3,000Timeline
QUICKLOGIC CORPQUICKLOGIC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,050 shares; 2016Q3: 20,050 shares; 2016Q4: 18,050 shares; 2017Q1: 18,050 shares 18,050$35K<0.01%0
DREYFUSDREYFUSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,000 shares; 2016Q3: 10,000 shares; 2016Q4: 10,000 shares; 2017Q1: 10,000 shares 10,000$34K<0.01%0
NLSTNETLIST, INC. COM STKQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 17,930 shares; 2016Q4: 17,930 shares; 2017Q1: 17,930 shares 17,930$18K<0.01%0Timeline
SEADRILL ORDSEADRILL ORDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,807 shares; 2016Q3: 12,452 shares; 2016Q4: 11,312 shares; 2017Q1: 10,698 shares 10,698$14K<0.01%-614
WESTPORT FUEL SYSTEMS INCWESTPORT FUEL SYSTEMS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,207 shares; 2016Q4: 11,082 shares; 2017Q1: 11,082 shares 11,082$9K<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
SPYSTATE STR SPDR S&P 500 ETF T SHSput1,500$3Knew

Principal amounts

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

SecurityTypeAmountValueChange
ISHARES TRISHARES TR IBONDS MAR20 ETFprincipal10,123$266Knew
ISHARESISHARES EXCHANGE TRADEDprincipal10,405$259Knew
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1principal95,000$95K-40,000
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1principal45,000$46K-44,000
PROSPECT CAPITAL CORPORATIO…PROSPECT CAPITAL CORPORATION 5.75… Convertibleprincipal45,000$45K0
BLACKROCK TCP CAPITAL CORPBLACKROCK TCP CAPITAL CORP COMprincipal10,000$10K-20,000

Sold out in Q1 2017

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

SecurityShares beforeValue beforeType
Invesco Optm Yd Dvrs Cdty S…Invesco Optm Yd Dvrs Cdty Stra No…276,115$4.77Mshares
GLOBAL NET LEASE INCGLOBAL NET LEASE INC156,275$1.22Mshares
POWERSHARES EXCHANGEPOWERSHARES EXCHANGE30,050$1.22Mshares
OTTROTTER TAIL CORP13,911$568Kshares
AVAAVISTA CORP11,776$473Kshares
IGLBISHARES TR7,785$459Kshares
NRGNRG ENERGY INC33,632$414Kshares
AEOAMERICAN EAGLE OUTFITTERS IN26,602$403Kshares
NORTHSTAR REIT.NORTHSTAR REIT.25,771$393Kshares
ACTVISION BLIZZARD INCACTVISION BLIZZARD INC10,526$380Kshares
ZOES KITCHEN INCZOES KITCHEN INC15,000$360Kshares
SKXSKECHERS U S A INC13,367$329Kshares
TWITTER INCTWITTER INC19,014$304Kshares
MANITOWOC FOODSERVICE INCMANITOWOC FOODSERVICE INC15,621$302Kshares
STERICYCLE INCSTERICYCLE INC3,690$286Kshares
HALYARD HEALTH INCHALYARD HEALTH INC7,714$273Kshares
TEAM INCTEAM INC6,920$273Kshares
ROYAL DUTCH SHELL PLC SPN A…ROYAL DUTCH SHELL PLC SPN ADR4,446$259Kshares
MONSANTO CO NEWMONSANTO CO NEW2,358$250Kshares
IWBISHARES TR1,987$247Kshares
MGCVANGUARD WORLD FD2,976$227Kshares
SUSUNCOR ENERGY INC NEW6,964$226Kshares
IYRISHARES TR2,868$224Kshares
AEPAMERICAN ELEC PWR CO INC3,399$214Kshares
FTSE RAFI 1000 US Lg CapFTSE RAFI 1000 US Lg Cap2,144$214Kshares
XLUSELECT SECTOR SPDR TR4,331$210Kshares
SHMSPDR SERIES TRUST4,357$208Kshares
NUVNUVEEN MUN VALUE FD INC21,380$204Kshares
VERIFONE SYS INCVERIFONE SYS INC10,747$192Kshares
AMDADVANCED MICRO DEVICES INC13,025$147Kshares
CONNQCONNS INC10,000$127Kshares
FITBIT INCFITBIT INC11,775$86Kshares
CHINA AUTOMOTIVE SYS INCCHINA AUTOMOTIVE SYS INC10,000$54Kshares
NGDNEW GOLD INC10,475$37Kshares
NAVIOS MARITIME HOLDINGS INCNAVIOS MARITIME HOLDINGS INC10,000$14Kshares

How Q1 2017 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001085146-17-001383 base2017-05-15acceptance time not in the bulk data set