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Disclosery

SII INVESTMENTS INC/WI

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13F filer, CIK 1351903, APPLETON, WI

SII INVESTMENTS INC/WI reported $1,616,446,000 across 597 holdings for the quarter ended 2017-06-30, in a 13F-HR filed 2017-08-14. Its ten largest share positions make up 28.77% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-17-001913

Period
2017-06-30
Reported value
$1.62B
Holdings
597
Top 10 weight
28.77%
New
37
Sold out
52

Largest buys vs the previous quarter

SecurityShares changeApprox. value
IVVadded+115,976$28.2M
PowerShares QQQ Trust Unit …added+103,737$14.3M
FVDadded+404,404$11.8M
POWERSHARES ETF TR IIadded+214,566$8.63M
OPPENHEIMER ETF TRadded+124,137$8.2M

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
SCHAreduced-105,608-$6.73M
VOOreduced-17,023-$3.78M
NICreduced-67,162-$3.67M
SPYreduced-12,436-$3.01M
VBRreduced-22,641-$2.78M

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, Q2 2017

Share positions as resolved from 13F-HR 0001085146-17-001913, largest first. % of portfolio is the value over $1,616,443,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
MKLMARKEL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 274 shares; 2016Q3: 274 shares; 2016Q4: 254 shares; 2017Q1: 276 shares; 2017Q2: 254 shares 254$249K0.02%-22Timeline
UNITED STATES NATL GAS FUNDUNITED STATES NATL GAS FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 34,358 shares; 2016Q3: 34,958 shares; 2016Q4: 54,452 shares; 2017Q1: 54,690 shares; 2017Q2: 36,965 shares 36,965$248K0.02%-17,725
MCKMCKESSON CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,730 shares; 2016Q3: 1,579 shares; 2016Q4: 2,630 shares; 2017Q1: 1,711 shares; 2017Q2: 1,485 shares 1,485$245K0.02%-226Timeline
DLNWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,853 shares; 2016Q4: 2,858 shares; 2017Q1: 3,196 shares; 2017Q2: 2,893 shares 2,893$243K0.02%-303Timeline
IJTISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 1,786 shares; 2016Q4: 1,586 shares; 2017Q1: 1,852 shares; 2017Q2: 1,544 shares 1,544$241K0.01%-308Timeline
SPYGSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,443 shares; 2016Q3: 2,713 shares; 2016Q4: 2,222 shares; 2017Q1: 1,901 shares; 2017Q2: 2,011 shares 2,011$239K0.01%+110Timeline
OREALTY INCOME CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,183 shares; 2016Q3: 11,397 shares; 2016Q4: 11,328 shares; 2017Q1: 10,152 shares; 2017Q2: 4,317 shares 4,317$239K0.01%-5,835Timeline
NINISOURCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,370 shares; 2016Q3: 11,976 shares; 2016Q4: 12,505 shares; 2017Q1: 11,087 shares; 2017Q2: 9,407 shares 9,407$239K0.01%-1,680Timeline
JFRNUVEEN FLOATING RATE INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 20,000 shares 20,000$239K0.01%newTimeline
NVSNOVARTIS AGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,941 shares; 2016Q3: 3,796 shares; 2016Q4: 3,572 shares; 2017Q1: 3,398 shares; 2017Q2: 2,848 shares 2,848$236K0.01%-550Timeline
FEMBFIRST TR EXCH TRADED FD IIIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 7,570 shares; 2017Q1: 6,179 shares; 2017Q2: 5,623 shares 5,623$236K0.01%-556Timeline
HPSHANCOCK JOHN PFD INCOME FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,051 shares; 2016Q3: 14,717 shares; 2016Q4: 12,382 shares; 2017Q1: 11,210 shares; 2017Q2: 12,245 shares 12,245$235K0.01%+1,035Timeline
IWNISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,499 shares; 2016Q3: 4,071 shares; 2016Q4: 4,785 shares; 2017Q1: 4,629 shares; 2017Q2: 1,977 shares 1,977$235K0.01%-2,652Timeline
ALERIAN MLP ETFALERIAN MLP ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 33,744 shares; 2016Q3: 19,463 shares; 2016Q4: 20,296 shares; 2017Q1: 21,383 shares; 2017Q2: 19,423 shares 19,423$234K0.01%-1,960
CLXCLOROX CO DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,842 shares; 2016Q3: 1,856 shares; 2016Q4: 5,166 shares; 2017Q1: 1,942 shares; 2017Q2: 1,743 shares 1,743$233K0.01%-199Timeline
IWVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 1,614 shares 1,614$231K0.01%newTimeline
KKELLANOVAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,830 shares; 2016Q3: 3,535 shares; 2016Q4: 3,685 shares; 2017Q1: 3,685 shares; 2017Q2: 3,327 shares 3,327$231K0.01%-358Timeline
IXJISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,527 shares; 2016Q3: 2,527 shares; 2016Q4: 2,172 shares; 2017Q1: 2,084 shares; 2017Q2: 2,086 shares 2,086$227K0.01%+2Timeline
DVADAVITA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,984 shares; 2016Q3: 3,879 shares; 2016Q4: 3,787 shares; 2017Q1: 3,787 shares; 2017Q2: 3,427 shares 3,427$222K0.01%-360Timeline
DALDELTA AIR LINES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,806 shares; 2016Q3: 6,000 shares; 2016Q4: 8,090 shares; 2017Q1: 6,974 shares; 2017Q2: 4,162 shares 4,162$222K0.01%-2,812Timeline
XFRAXBLACKROCK FLOATING RATE INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,375 shares; 2016Q3: 10,426 shares; 2016Q4: 10,492 shares; 2017Q1: 13,911 shares; 2017Q2: 15,856 shares 15,856$222K0.01%+1,945Timeline
Invesco S&P 500 Pure GrowthInvesco S&P 500 Pure GrowthQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 26,465 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 2,344 shares; 2017Q2: 2,354 shares 2,354$222K0.01%+10
SCZISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 3,790 shares 3,790$219K0.01%newTimeline
BLWBLACKROCK LTD DURATION INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,825 shares; 2017Q1: 11,825 shares; 2017Q2: 13,825 shares 13,825$219K0.01%+2,000Timeline
WESTAR ENERGY INCWESTAR ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,249 shares; 2016Q3: 5,329 shares; 2016Q4: 4,284 shares; 2017Q1: 4,495 shares; 2017Q2: 4,078 shares 4,078$217K0.01%-417
INVESCO WATER RESOURCES ETFINVESCO WATER RESOURCES ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,594 shares; 2016Q3: not reported; 2016Q4: 8,868 shares; 2017Q1: 8,868 shares; 2017Q2: 7,838 shares 7,838$212K0.01%-1,030
GBXGREENBRIER COS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 5,613 shares; 2017Q1: 5,366 shares; 2017Q2: 4,558 shares 4,558$211K0.01%-808Timeline
OHIOMEGA HEALTHCARE INVS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,608 shares; 2016Q3: 10,050 shares; 2016Q4: 10,547 shares; 2017Q1: 10,141 shares; 2017Q2: 6,650 shares 6,650$210K0.01%-3,491Timeline
UPSUNITED PARCEL SVCS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,881 shares; 2016Q3: 5,529 shares; 2016Q4: 3,723 shares; 2017Q1: 3,577 shares; 2017Q2: 1,894 shares 1,894$209K0.01%-1,683Timeline
HYLSFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 17,718 shares; 2016Q3: not reported; 2016Q4: 6,188 shares; 2017Q1: 4,654 shares; 2017Q2: 4,287 shares 4,287$209K0.01%-367Timeline
GNTGAMCO NAT RES GOLD & INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 19,903 shares; 2017Q1: 21,409 shares; 2017Q2: 30,414 shares 30,414$209K0.01%+9,005Timeline
REZISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,200 shares; 2017Q2: 3,200 shares 3,200$208K0.01%0Timeline
JKHYHENRY JACK & ASSOC INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 2,003 shares 2,003$208K0.01%newTimeline
GRAMERCY PPTY TRGRAMERCY PPTY TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 7,005 shares 7,005$208K0.01%new
IXNISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,176 shares; 2016Q3: 2,739 shares; 2016Q4: 2,741 shares; 2017Q1: 2,741 shares; 2017Q2: 1,582 shares 1,582$207K0.01%-1,159Timeline
ILCVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,297 shares; 2016Q3: 3,470 shares; 2016Q4: 3,334 shares; 2017Q1: 3,334 shares; 2017Q2: 2,161 shares 2,161$207K0.01%-1,173Timeline
SCHGSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,334 shares; 2016Q3: 5,234 shares; 2016Q4: 4,105 shares; 2017Q1: 4,107 shares; 2017Q2: 3,280 shares 3,280$205K0.01%-827Timeline
MTZMASTEC INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 4,539 shares 4,539$205K0.01%newTimeline
VTWOVANGUARD SCOTTSDALE FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,076 shares; 2016Q4: not reported; 2017Q1: 1,864 shares; 2017Q2: 1,810 shares 1,810$204K0.01%-54Timeline
ILCGISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,872 shares; 2016Q3: 2,361 shares; 2016Q4: 2,144 shares; 2017Q1: 2,145 shares; 2017Q2: 1,468 shares 1,468$204K0.01%-677Timeline
MAINMAIN STR CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,263 shares; 2016Q3: 12,904 shares; 2016Q4: 11,963 shares; 2017Q1: 11,791 shares; 2017Q2: 5,612 shares 5,612$204K0.01%-6,179Timeline
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; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,391 shares; 2017Q2: 3,398 shares 3,398$203K0.01%+7
ACNACCENTURE PLC IRELANDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 1,641 shares 1,641$202K0.01%newTimeline
IYWISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 2,188 shares; 2016Q4: 2,128 shares; 2017Q1: 2,068 shares; 2017Q2: 1,443 shares 1,443$202K0.01%-625Timeline
CNCCENTENE CORP DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 2,511 shares 2,511$202K0.01%newTimeline
ISHARES TRISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,730 shares; 2016Q3: 16,730 shares; 2016Q4: 11,281 shares; 2017Q1: 11,281 shares; 2017Q2: 11,281 shares 11,281$202K0.01%0
GNC HLDGS INCGNC HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 19,000 shares; 2017Q2: 23,268 shares 23,268$196K0.01%+4,268
POTASH CORP OF SASKATCHEWANPOTASH CORP OF SASKATCHEWANQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 41,373 shares; 2016Q3: 29,694 shares; 2016Q4: 30,188 shares; 2017Q1: 16,386 shares; 2017Q2: 12,044 shares 12,044$196K0.01%-4,342
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 11,544 shares; 2017Q2: 11,041 shares 11,041$186K0.01%-503
CAPSTEAD MTG CORPCAPSTEAD MTG CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 38,161 shares; 2016Q3: 26,201 shares; 2016Q4: 19,161 shares; 2017Q1: 18,131 shares; 2017Q2: 18,131 shares 18,131$184K0.01%0
NVGNUVEEN AMT FREE MUN CR INC FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 14,893 shares; 2016Q4: 15,864 shares; 2017Q1: 12,053 shares; 2017Q2: 12,018 shares 12,018$182K0.01%-35Timeline
WSRWHITESTONE REITQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 14,383 shares; 2016Q4: 14,383 shares; 2017Q1: 14,383 shares; 2017Q2: 14,383 shares 14,383$176K0.01%0Timeline
PRUDENTIAL GLB SHT DUR HG YLPRUDENTIAL GLB SHT DUR HG YLQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 11,638 shares 11,638$174K0.01%new
CHICALAMOS CONV OPPORTUNITIES &Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 10,945 shares; 2017Q1: 12,615 shares; 2017Q2: 14,447 shares 14,447$163K0.01%+1,832Timeline
POWERSHARESPOWERSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 27,343 shares; 2016Q3: 305,557 shares; 2016Q4: 283,820 shares; 2017Q1: 14,664 shares; 2017Q2: 11,239 shares 11,239$162K0.01%-3,425
NUVEEN MICH QUALITY INCOME …NUVEEN MICH QUALITY INCOME MUN FD…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,670 shares; 2016Q3: 11,670 shares; 2016Q4: 11,670 shares; 2017Q1: 11,670 shares; 2017Q2: 11,670 shares 11,670$160K0.01%0
MONOGRAM RESIDENTIAL TR INCMONOGRAM RESIDENTIAL TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 25,234 shares; 2016Q3: 23,734 shares; 2016Q4: 22,679 shares; 2017Q1: 20,049 shares; 2017Q2: 16,229 shares 16,229$157K0.01%-3,820
NXPNUVEEN SELECT TAX-FREE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,042 shares; 2016Q3: 14,435 shares; 2016Q4: 14,435 shares; 2017Q1: 14,435 shares; 2017Q2: 10,651 shares 10,651$153K0.01%-3,784Timeline
ACTGACACIA RESH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,980 shares; 2016Q3: 18,680 shares; 2016Q4: 17,680 shares; 2017Q1: 17,180 shares; 2017Q2: 36,740 shares 36,740$152K0.01%+19,560Timeline
CYPRESS SEMICONDUCTOR CORPCYPRESS SEMICONDUCTOR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 37,252 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 11,084 shares; 2017Q2: 11,039 shares 11,039$149K0.01%-45
USALIBERTY ALL STAR EQUITY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 33,452 shares; 2016Q3: 39,217 shares; 2016Q4: 40,982 shares; 2017Q1: 36,747 shares; 2017Q2: 25,370 shares 25,370$144K0.01%-11,377Timeline
INTREPID POTASH INCINTREPID POTASH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 63,000 shares; 2017Q1: 63,000 shares; 2017Q2: 63,000 shares 63,000$142K0.01%0
FCXFREEPORT MCMORAN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,071 shares; 2016Q3: 18,040 shares; 2016Q4: 13,338 shares; 2017Q1: 13,643 shares; 2017Q2: 11,506 shares 11,506$137K0.01%-2,137Timeline
PFOFLAHERTY & CRUMRINE PFD INCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,750 shares; 2016Q3: 10,750 shares; 2016Q4: 10,750 shares; 2017Q1: 10,750 shares; 2017Q2: 10,750 shares 10,750$135K0.01%0Timeline
DREYFUS STRATEGIC MUNS INCDREYFUS STRATEGIC MUNS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,223 shares; 2016Q3: 13,223 shares; 2016Q4: 13,223 shares; 2017Q1: 14,723 shares; 2017Q2: 14,723 shares 14,723$131K0.01%0
HIOWESTERN ASSET HIGH INCOME OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 25,050 shares; 2016Q4: 23,798 shares; 2017Q1: 23,798 shares; 2017Q2: 23,798 shares 23,798$120K0.01%0Timeline
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; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 52,647 shares; 2016Q3: 33,215 shares; 2016Q4: 30,540 shares; 2017Q1: 27,760 shares; 2017Q2: 23,450 shares 23,450$114K0.01%-4,310
NOBILIS HEALTH CORPNOBILIS HEALTH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 59,103 shares 59,103$113K0.01%new
BCXBLACKROCK RES & COMMODITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 13,199 shares; 2017Q1: 13,199 shares; 2017Q2: 12,097 shares 12,097$97K0.01%-1,102Timeline
SORL Auto Parts IncSORL Auto Parts IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 14,337 shares 14,337$97K0.01%new
MANITOWOC COMPANY INCMANITOWOC COMPANY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 22,005 shares; 2016Q3: 59,528 shares; 2016Q4: 16,971 shares; 2017Q1: 16,331 shares; 2017Q2: 15,694 shares 15,694$94K0.01%-637
TACTRANSALTA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,179 shares; 2016Q3: 11,276 shares; 2016Q4: 12,570 shares; 2017Q1: 11,894 shares; 2017Q2: 13,622 shares 13,622$89K0.01%+1,728Timeline
CLUBQTOWN SPORTS INTL HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 17,841 shares 17,841$83K0.01%newTimeline
SPPPSPROTT ASSET MANAGEMENT LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,200 shares; 2016Q3: 10,200 shares; 2016Q4: 10,200 shares; 2017Q1: 10,200 shares; 2017Q2: 10,200 shares 10,200$81K0.01%0Timeline
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 81,576 shares; 2016Q3: 27,395 shares; 2016Q4: 15,127 shares; 2017Q1: 13,004 shares; 2017Q2: 10,402 shares 10,402$77K<0.01%-2,602
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,471 shares; 2016Q4: 11,087 shares; 2017Q1: 10,763 shares; 2017Q2: 10,393 shares 10,393$65K<0.01%-370
WINDSTREAM HLDGS INCWINDSTREAM HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,846 shares; 2016Q3: 11,979 shares; 2016Q4: 12,006 shares; 2017Q1: 16,208 shares; 2017Q2: 15,994 shares 15,994$62K<0.01%-214
TRACON PHARMACEUTICALS INCTRACON PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 35,701 shares; 2016Q4: 29,406 shares; 2017Q1: 25,545 shares; 2017Q2: 25,545 shares 25,545$61K<0.01%0
ANTARES PHARMA INCANTARES PHARMA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,100 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 15,800 shares 15,800$50K<0.01%new
FERRELLGAS PARTNERS L.P.FERRELLGAS PARTNERS L.P.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 10,325 shares 10,325$48K<0.01%new
DREYFUSDREYFUSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,000 shares; 2016Q3: 10,000 shares; 2016Q4: 10,000 shares; 2017Q1: 10,000 shares; 2017Q2: 12,500 shares 12,500$45K<0.01%+2,500
RITEAID CORPRITEAID CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 232,040 shares; 2016Q3: 224,440 shares; 2016Q4: 197,155 shares; 2017Q1: 176,655 shares; 2017Q2: 14,375 shares 14,375$43K<0.01%-162,280
FRONTIER COMMUNICATIONS CORPFRONTIER COMMUNICATIONS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 47,695 shares; 2016Q3: 48,002 shares; 2016Q4: 45,224 shares; 2017Q1: 41,804 shares; 2017Q2: 37,038 shares 37,038$39K<0.01%-4,766
VCELVERICEL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,500 shares; 2016Q3: 14,500 shares; 2016Q4: 11,500 shares; 2017Q1: 14,500 shares; 2017Q2: 11,500 shares 11,500$38K<0.01%-3,000Timeline
NAVIDEA BIOPHARMACEUTICALS INAVIDEA BIOPHARMACEUTICALS IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 71,015 shares; 2016Q3: 90,315 shares; 2016Q4: 90,315 shares; 2017Q1: 90,315 shares; 2017Q2: 71,015 shares 71,015$37K<0.01%-19,300
QUICKLOGIC CORPQUICKLOGIC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,050 shares; 2016Q3: 20,050 shares; 2016Q4: 18,050 shares; 2017Q1: 18,050 shares; 2017Q2: 25,446 shares 25,446$34K<0.01%+7,396
WESTPORT FUEL SYSTEMS INCWESTPORT FUEL SYSTEMS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,207 shares; 2016Q4: 11,082 shares; 2017Q1: 11,082 shares; 2017Q2: 11,482 shares 11,482$26K<0.01%+400
SEADRILL ORDSEADRILL ORDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,807 shares; 2016Q3: 12,452 shares; 2016Q4: 11,312 shares; 2017Q1: 10,698 shares; 2017Q2: 10,630 shares 10,630$2K<0.01%-68

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
AXPAMERICAN EXPRESS CO COMcall200$3Knew
BMYBRISTOL-MYERS SQUIBB CO COMcall200$0new
SPYSTATE STR SPDR S&P 500 ETF T SHSput1,500$00

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 ETFprincipal19,822$518K+9,699
ISHARESISHARES EXCHANGE TRADEDprincipal19,794$498K+9,389
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1principal95,000$95K0
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1principal45,000$46K0
PROSPECT CAPITAL CORPORATIO…PROSPECT CAPITAL CORPORATION 5.75… Convertibleprincipal45,000$46K0
BLACKROCK TCP CAPITAL CORPBLACKROCK TCP CAPITAL CORP COMprincipal10,000$11K0

Sold out in Q2 2017

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

SecurityShares beforeValue beforeType
EXPRESS SCRIPTS HLDG COEXPRESS SCRIPTS HLDG CO15,788$1.04Mshares
FOOT LOCKER INCFOOT LOCKER INC10,659$797Kshares
STZCONSTELLATION BRANDS INC4,904$794Kshares
PEGPUBLIC SVC ENTERPRISE GROUP15,965$705Kshares
EFXEQUIFAX INC4,453$611Kshares
MASMASCO CORP16,088$547Kshares
CSWCSW INDUSTRIALS INC13,706$504Kshares
Lincoln National CorporatLincoln National Corporat13,283$477Kshares
ALEALLETE INC6,426$437Kshares
VONEVANGUARD SCOTTSDALE FDS4,007$434Kshares
VTWVVANGUARD SCOTTSDALE FDS3,328$341Kshares
FDLFIRST TR EXCHANGE-TRADED FD11,312$326Kshares
STEWSRH TOTAL RETURN FUND INC34,020$316Kshares
BROADCOM LTDBROADCOM LTD1,415$313Kshares
SELECT INCOME REITSELECT INCOME REIT12,000$309Kshares
SEAGATE TECHNOLOGY HOLDINGSSEAGATE TECHNOLOGY HOLDINGS6,465$295Kshares
BIDUBAIDU INC1,707$293Kshares
BMOBANK OF MONTREAL3,907$293Kshares
HOGHARLEY DAVIDSON INC4,481$275Kshares
BIIBBIOGEN INC987$270Kshares
TOTALENERGIES SE -SPON ADRTOTALENERGIES SE -SPON ADR4,985$251Kshares
IXCISHARES TR7,474$248Kshares
AOAISHARES TR4,918$246Kshares
SLYVSPDR SERIES TRUST2,035$242Kshares
ITBISHARES TR7,501$242Kshares
SJMSMUCKER J M CO1,845$242Kshares
MAGELLAN MIDSTREAM PARTNERS…MAGELLAN MIDSTREAM PARTNERS, L3,134$240Kshares
VOOGVANGUARD ADMIRAL FDS INC2,006$239Kshares
CONTINENTAL RES INCCONTINENTAL RES INC5,150$235Kshares
EDVVANGUARD WORLD FD2,068$231Kshares
RWRSPDR SERIES TRUST2,467$228Kshares
BFORALPS ETF TR6,233$228Kshares
ARCONIC INCARCONIC INC8,609$227Kshares
AIGAMERICAN INTL GROUP INC3,587$223Kshares
MINTPIMCO ETF TR2,154$219Kshares
ADNTADIENT PLC2,937$217Kshares
FIRST TR VALUE LINE 100 ETFFIRST TR VALUE LINE 100 ETF10,000$216Kshares
GMGENERAL MTRS CO6,084$214Kshares
TEVATEVA PHARMACEUTICAL INDS LTD6,739$214Kshares
POWERSHARES GLOBAL ETF TRUSTPOWERSHARES GLOBAL ETF TRUST8,285$208Kshares
KRGKITE REALTY GROUP TRUST9,565$207Kshares
KBESPDR SERIES TRUST4,635$202Kshares
LIFE STORAGE INCLIFE STORAGE INC2,473$201Kshares
NUVEEN INTER DURATION MUNNUVEEN INTER DURATION MUN15,550$201Kshares
HOLLYFRONTIER CORPHOLLYFRONTIER CORP7,063$200Kshares
DIEBOLD NXDF INCDIEBOLD NXDF INC6,535$200Kshares
POWERSHARES ETF TRUSTPOWERSHARES ETF TRUST4,573$200Kshares
ALBANY MOLECULAR RESHALBANY MOLECULAR RESH11,460$161Kshares
GSGISHARES S&P GSCI COMMODITY-10,656$157Kshares
WHITING PETE CORP NEWWHITING PETE CORP NEW15,194$143Kshares
PHKPIMCO HIGH INCOME FD10,122$88Kshares
NLSTNETLIST, INC. COM STK17,930$18Kshares

How Q2 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 0001085146-17-001913 base2017-08-14acceptance time not in the bulk data set