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Disclosery

SII INVESTMENTS INC/WI

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13F filer, CIK 1351903, APPLETON, WI

SII INVESTMENTS INC/WI reported $1,750,821,000 across 602 holdings for the quarter ended 2017-09-30, in a 13F-HR filed 2017-11-13. Its ten largest share positions make up 28.68% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-17-002267

Period
2017-09-30
Reported value
$1.75B
Holdings
602
Top 10 weight
28.68%
New
67
Sold out
62

Largest buys vs the previous quarter

SecurityShares changeApprox. value
ICFadded+139,967$14.1M
EEMadded+240,947$10.8M
VOOadded+24,611$5.68M
EMBadded+45,773$5.33M
AGGadded+38,965$4.27M

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

Largest sells vs the previous quarter

SecurityShares changeApprox. value
NICreduced-104,105-$6.27M
PowerShares QQQ Trust Unit …reduced-40,620-$5.91M
NEARreduced-94,769-$4.82M
VEUreduced-62,028-$3.29M
POWERSHARESexited-109,052-$2.52M

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

Holdings, Q3 2017

Share positions as resolved from 13F-HR 0001085146-17-002267, largest first. % of portfolio is the value over $1,750,817,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
iShares S&P AMT-Free Munici…iShares S&P AMT-Free MunicipalQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 9,300 shares; 2017Q1: 10,870 shares; 2017Q2: 10,270 shares; 2017Q3: 10,270 shares 10,270$260K0.01%0
FBINFORTUNE BRANDS INNOVATIONS IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,468 shares; 2016Q3: 4,847 shares; 2016Q4: 4,748 shares; 2017Q1: 4,748 shares; 2017Q2: 3,828 shares; 2017Q3: 3,828 shares 3,828$257K0.01%0Timeline
PNCPNC FINL SVCS GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,509 shares; 2016Q3: 6,088 shares; 2016Q4: 6,609 shares; 2017Q1: 4,644 shares; 2017Q2: 3,825 shares; 2017Q3: 1,912 shares 1,912$257K0.01%-1,913Timeline
SPEMSPDR INDEX SHS FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 3,512 shares 3,512$256K0.01%newTimeline
LECOLINCOLN ELEC HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 22,376 shares; 2016Q3: 9,566 shares; 2016Q4: 9,271 shares; 2017Q1: 3,380 shares; 2017Q2: 3,085 shares; 2017Q3: 2,810 shares 2,810$256K0.01%-275Timeline
CAGCONAGRA BRANDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 9,981 shares; 2016Q3: 10,940 shares; 2016Q4: 10,771 shares; 2017Q1: 10,485 shares; 2017Q2: 7,470 shares; 2017Q3: 7,538 shares 7,538$254K0.01%+68Timeline
SKYYFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 7,032 shares; 2017Q2: 8,166 shares; 2017Q3: 5,966 shares 5,966$249K0.01%-2,200Timeline
XLYSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 2,748 shares 2,748$249K0.01%newTimeline
IYHISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,445 shares; 2016Q3: 5,541 shares; 2016Q4: 5,051 shares; 2017Q1: 4,875 shares; 2017Q2: 4,145 shares; 2017Q3: 1,441 shares 1,441$248K0.01%-2,704Timeline
AVBAVALONBAY CMNTYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 1,372 shares 1,372$247K0.01%newTimeline
MAINMAIN STR CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,263 shares; 2016Q3: 12,904 shares; 2016Q4: 11,963 shares; 2017Q1: 11,791 shares; 2017Q2: 5,612 shares; 2017Q3: 6,456 shares 6,456$246K0.01%+844Timeline
JFRNUVEEN FLOATING RATE INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 20,000 shares; 2017Q3: 20,800 shares 20,800$245K0.01%+800Timeline
OHIOMEGA HEALTHCARE INVS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 8,608 shares; 2016Q3: 10,050 shares; 2016Q4: 10,547 shares; 2017Q1: 10,141 shares; 2017Q2: 6,650 shares; 2017Q3: 7,816 shares 7,816$244K0.01%+1,166Timeline
ACTVISION BLIZZARD INCACTVISION BLIZZARD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 10,526 shares; 2017Q1: not reported; 2017Q2: 4,440 shares; 2017Q3: 3,771 shares 3,771$243K0.01%-669
UPSUNITED PARCEL SVCS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,881 shares; 2016Q3: 5,529 shares; 2016Q4: 3,723 shares; 2017Q1: 3,577 shares; 2017Q2: 1,894 shares; 2017Q3: 2,023 shares 2,023$242K0.01%+129Timeline
ALLERGAN PLCALLERGAN PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,193 shares; 2016Q3: 930 shares; 2016Q4: 1,130 shares; 2017Q1: 1,365 shares; 2017Q2: 1,499 shares; 2017Q3: 1,196 shares 1,196$242K0.01%-303
DVNDEVON ENERGY CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,734 shares; 2016Q3: 13,776 shares; 2016Q4: 9,446 shares; 2017Q1: 10,905 shares; 2017Q2: 8,881 shares; 2017Q3: 6,427 shares 6,427$239K0.01%-2,454Timeline
IWVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 1,614 shares; 2017Q3: 1,589 shares 1,589$238K0.01%-25Timeline
ALBALBEMARLE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 1,662 shares 1,662$230K0.01%newTimeline
WELBILT INCWELBILT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 15,236 shares; 2017Q2: 15,793 shares; 2017Q3: 9,970 shares 9,970$230K0.01%-5,823
MCKMCKESSON CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,730 shares; 2016Q3: 1,579 shares; 2016Q4: 2,630 shares; 2017Q1: 1,711 shares; 2017Q2: 1,485 shares; 2017Q3: 1,485 shares 1,485$229K0.01%0Timeline
Invesco S&P 500 Pure GrowthInvesco S&P 500 Pure GrowthQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 26,465 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 2,344 shares; 2017Q2: 2,354 shares; 2017Q3: 2,290 shares 2,290$229K0.01%-64
REZISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,200 shares; 2017Q2: 3,200 shares; 2017Q3: 3,600 shares 3,600$228K0.01%+400Timeline
OREALTY INCOME CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,183 shares; 2016Q3: 11,397 shares; 2016Q4: 11,328 shares; 2017Q1: 10,152 shares; 2017Q2: 4,317 shares; 2017Q3: 3,964 shares 3,964$227K0.01%-353Timeline
IWNISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,499 shares; 2016Q3: 4,071 shares; 2016Q4: 4,785 shares; 2017Q1: 4,629 shares; 2017Q2: 1,977 shares; 2017Q3: 1,826 shares 1,826$227K0.01%-151Timeline
GMGENERAL MTRS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 6,265 shares; 2017Q1: 6,084 shares; 2017Q2: not reported; 2017Q3: 5,378 shares 5,378$224K0.01%newTimeline
TFISPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,191 shares; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 4,561 shares 4,561$223K0.01%newTimeline
CLXCLOROX CO DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,842 shares; 2016Q3: 1,856 shares; 2016Q4: 5,166 shares; 2017Q1: 1,942 shares; 2017Q2: 1,743 shares; 2017Q3: 1,690 shares 1,690$222K0.01%-53Timeline
ADNTADIENT PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 2,937 shares; 2017Q2: not reported; 2017Q3: 2,604 shares 2,604$222K0.01%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; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,391 shares; 2017Q2: 3,398 shares; 2017Q3: 3,598 shares 3,598$220K0.01%+200
ACNACCENTURE PLC IRELANDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 1,641 shares; 2017Q3: 1,622 shares 1,622$219K0.01%-19Timeline
LUVSOUTHWEST AIRLS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,544 shares; 2016Q3: 7,048 shares; 2016Q4: 5,717 shares; 2017Q1: 6,857 shares; 2017Q2: 5,748 shares; 2017Q3: 3,816 shares 3,816$217K0.01%-1,932Timeline
JELDJELD-WEN HLDG INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 6,098 shares 6,098$217K0.01%newTimeline
FEMBFIRST TR EXCH TRADED FD IIIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 7,570 shares; 2017Q1: 6,179 shares; 2017Q2: 5,623 shares; 2017Q3: 4,964 shares 4,964$216K0.01%-659Timeline
POTASH CORP OF SASKATCHEWANPOTASH CORP OF SASKATCHEWANQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 41,373 shares; 2016Q3: 29,694 shares; 2016Q4: 30,188 shares; 2017Q1: 16,386 shares; 2017Q2: 12,044 shares; 2017Q3: 11,244 shares 11,244$216K0.01%-800
BLWBLACKROCK LTD DURATION INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,825 shares; 2017Q1: 11,825 shares; 2017Q2: 13,825 shares; 2017Q3: 13,325 shares 13,325$214K0.01%-500Timeline
ALEXION PHARMACEUTICALS INCALEXION PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,053 shares; 2016Q3: 2,061 shares; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 1,531 shares 1,531$214K0.01%new
VICTORY PORTFOLIOS IIVICTORY PORTFOLIOS IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 6,208 shares 6,208$212K0.01%new
GNTGAMCO NAT RES GOLD & INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 19,903 shares; 2017Q1: 21,409 shares; 2017Q2: 30,414 shares; 2017Q3: 30,420 shares 30,420$211K0.01%+6Timeline
HPSHANCOCK JOHN PFD INCOME FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,051 shares; 2016Q3: 14,717 shares; 2016Q4: 12,382 shares; 2017Q1: 11,210 shares; 2017Q2: 12,245 shares; 2017Q3: 11,073 shares 11,073$209K0.01%-1,172Timeline
GLAXOSMITHKLINE PLC-ADRGLAXOSMITHKLINE PLC-ADRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 33,590 shares; 2016Q3: 26,979 shares; 2016Q4: 27,992 shares; 2017Q1: 23,531 shares; 2017Q2: 23,137 shares; 2017Q3: 5,186 shares 5,186$209K0.01%-17,951
ISHARES TRISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,730 shares; 2016Q3: 16,730 shares; 2016Q4: 11,281 shares; 2017Q1: 11,281 shares; 2017Q2: 11,281 shares; 2017Q3: 11,281 shares 11,281$209K0.01%0
JKHYHENRY JACK & ASSOC INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 2,003 shares; 2017Q3: 2,003 shares 2,003$208K0.01%0Timeline
WMWASTE MGMT INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,677 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 2,643 shares 2,643$207K0.01%newTimeline
OKEONEOK INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 3,729 shares 3,729$207K0.01%newTimeline
GRAMERCY PPTY TRGRAMERCY PPTY TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 7,005 shares; 2017Q3: 6,806 shares 6,806$206K0.01%-199
KKELLANOVAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,830 shares; 2016Q3: 3,535 shares; 2016Q4: 3,685 shares; 2017Q1: 3,685 shares; 2017Q2: 3,327 shares; 2017Q3: 3,328 shares 3,328$205K0.01%+1Timeline
XEMDXWESTERN ASSET EMERGING MKTSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 13,085 shares 13,085$205K0.01%newTimeline
IGLBISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,309 shares; 2016Q4: 7,785 shares; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 3,331 shares 3,331$205K0.01%newTimeline
DVADAVITA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,984 shares; 2016Q3: 3,879 shares; 2016Q4: 3,787 shares; 2017Q1: 3,787 shares; 2017Q2: 3,427 shares; 2017Q3: 3,427 shares 3,427$203K0.01%0Timeline
BMOBANK OF MONTREALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,130 shares; 2016Q3: 6,050 shares; 2016Q4: 4,266 shares; 2017Q1: 3,907 shares; 2017Q2: not reported; 2017Q3: 2,646 shares 2,646$201K0.01%newTimeline
REGLPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,316 shares; 2016Q4: 4,866 shares; 2017Q1: 5,061 shares; 2017Q2: 20,178 shares; 2017Q3: 3,838 shares 3,838$201K0.01%-16,340Timeline
CONTINENTAL RES INCCONTINENTAL RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,130 shares; 2016Q3: 5,680 shares; 2016Q4: 4,100 shares; 2017Q1: 5,150 shares; 2017Q2: not reported; 2017Q3: 5,180 shares 5,180$200K0.01%new
ANDEAVORANDEAVORQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 1,939 shares 1,939$200K0.01%new
PRUDENTIAL GLB SHT DUR HG YLPRUDENTIAL GLB SHT DUR HG YLQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 11,638 shares; 2017Q3: 12,313 shares 12,313$184K0.01%+675
NVGNUVEEN AMT FREE MUN CR INC FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 14,893 shares; 2016Q4: 15,864 shares; 2017Q1: 12,053 shares; 2017Q2: 12,018 shares; 2017Q3: 11,388 shares 11,388$175K0.01%-630Timeline
ALERIAN MLP ETFALERIAN MLP ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 33,744 shares; 2016Q3: 19,463 shares; 2016Q4: 20,296 shares; 2017Q1: 21,383 shares; 2017Q2: 19,423 shares; 2017Q3: 15,274 shares 15,274$172K0.01%-4,149
CAPSTEAD MTG CORPCAPSTEAD MTG CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 38,161 shares; 2016Q3: 26,201 shares; 2016Q4: 19,161 shares; 2017Q1: 18,131 shares; 2017Q2: 18,131 shares; 2017Q3: 17,141 shares 17,141$168K0.01%-990
CHICALAMOS CONV OPPORTUNITIES &Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 10,945 shares; 2017Q1: 12,615 shares; 2017Q2: 14,447 shares; 2017Q3: 14,447 shares 14,447$167K0.01%0Timeline
ACTGACACIA RESH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,980 shares; 2016Q3: 18,680 shares; 2016Q4: 17,680 shares; 2017Q1: 17,180 shares; 2017Q2: 36,740 shares; 2017Q3: 36,555 shares 36,555$167K0.01%-185Timeline
NUVEEN MICH QUALITY INCOME …NUVEEN MICH QUALITY INCOME MUN FD…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,670 shares; 2016Q3: 11,670 shares; 2016Q4: 11,670 shares; 2017Q1: 11,670 shares; 2017Q2: 11,670 shares; 2017Q3: 11,670 shares 11,670$160K0.01%0
NXPNUVEEN SELECT TAX-FREE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,042 shares; 2016Q3: 14,435 shares; 2016Q4: 14,435 shares; 2017Q1: 14,435 shares; 2017Q2: 10,651 shares; 2017Q3: 10,651 shares 10,651$159K0.01%0Timeline
NEW IRELAND FD INCORPORATEDNEW IRELAND FD INCORPORATEDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 11,599 shares 11,599$159K0.01%new
USALIBERTY ALL STAR EQUITY FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 33,452 shares; 2016Q3: 39,217 shares; 2016Q4: 40,982 shares; 2017Q1: 36,747 shares; 2017Q2: 25,370 shares; 2017Q3: 25,721 shares 25,721$155K0.01%+351Timeline
FCXFREEPORT MCMORAN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,071 shares; 2016Q3: 18,040 shares; 2016Q4: 13,338 shares; 2017Q1: 13,643 shares; 2017Q2: 11,506 shares; 2017Q3: 10,761 shares 10,761$152K0.01%-745Timeline
SIGMA DESIGNS INCSIGMA DESIGNS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 23,929 shares 23,929$151K0.01%new
IGRCBRE GBL REAL ESTATE INC FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 16,452 shares 16,452$130K0.01%newTimeline
MMTABERDEEN MULTI-MARKET INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 20,616 shares 20,616$129K0.01%newTimeline
AEFABRDN EMERGING MARKETS EX CHQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 15,438 shares 15,438$129K0.01%newTimeline
DREYFUS STRATEGIC MUNS INCDREYFUS STRATEGIC MUNS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,223 shares; 2016Q3: 13,223 shares; 2016Q4: 13,223 shares; 2017Q1: 14,723 shares; 2017Q2: 14,723 shares; 2017Q3: 14,723 shares 14,723$129K0.01%0
MANITOWOC COMPANY INCMANITOWOC COMPANY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 22,005 shares; 2016Q3: 59,528 shares; 2016Q4: 16,971 shares; 2017Q1: 16,331 shares; 2017Q2: 15,694 shares; 2017Q3: 13,399 shares 13,399$122K0.01%-2,295
GDLGDL FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 11,937 shares 11,937$120K0.01%newTimeline
ECFELLSWORTH GROWTH & INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 13,076 shares 13,076$120K0.01%newTimeline
HIOWESTERN ASSET HIGH INCOME OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 25,050 shares; 2016Q4: 23,798 shares; 2017Q1: 23,798 shares; 2017Q2: 23,798 shares; 2017Q3: 23,798 shares 23,798$120K0.01%0Timeline
ALPINE GLOBAL PREMIER PPTYSALPINE GLOBAL PREMIER PPTYSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 18,224 shares 18,224$120K0.01%new
JUST ENERGY GROUP INCJUST ENERGY GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 19,467 shares 19,467$113K0.01%new
Fusion Telecomm Intl IncFusion Telecomm Intl IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 41,483 shares 41,483$112K0.01%new
XCERRA CORPXCERRA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 10,917 shares 10,917$109K0.01%new
BCXBLACKROCK RES & COMMODITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 13,199 shares; 2017Q1: 13,199 shares; 2017Q2: 12,097 shares; 2017Q3: 11,077 shares 11,077$99K0.01%-1,020Timeline
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; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 52,647 shares; 2016Q3: 33,215 shares; 2016Q4: 30,540 shares; 2017Q1: 27,760 shares; 2017Q2: 23,450 shares; 2017Q3: 17,900 shares 17,900$97K0.01%-5,550
SPPPSPROTT ASSET MANAGEMENT LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,200 shares; 2016Q3: 10,200 shares; 2016Q4: 10,200 shares; 2017Q1: 10,200 shares; 2017Q2: 10,200 shares; 2017Q3: 10,200 shares 10,200$86K<0.01%0Timeline
TACTRANSALTA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,179 shares; 2016Q3: 11,276 shares; 2016Q4: 12,570 shares; 2017Q1: 11,894 shares; 2017Q2: 13,622 shares; 2017Q3: 13,635 shares 13,635$80K<0.01%+13Timeline
NAVIOS MARITIME MIDSTREAM L…NAVIOS MARITIME MIDSTREAM LP COM …Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 10,734 shares 10,734$80K<0.01%new
NEW YORK REIT INCNEW YORK REIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 10,000 shares 10,000$78K<0.01%new
VCELVERICEL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,500 shares; 2016Q3: 14,500 shares; 2016Q4: 11,500 shares; 2017Q1: 14,500 shares; 2017Q2: 11,500 shares; 2017Q3: 11,500 shares 11,500$69K<0.01%0Timeline
NEW YORK MORTGAGE TRUST INCNEW YORK MORTGAGE TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,471 shares; 2016Q4: 11,087 shares; 2017Q1: 10,763 shares; 2017Q2: 10,393 shares; 2017Q3: 10,393 shares 10,393$64K<0.01%0
ANTARES PHARMA INCANTARES PHARMA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,100 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 15,800 shares; 2017Q3: 15,800 shares 15,800$50K<0.01%0
DREYFUSDREYFUSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,000 shares; 2016Q3: 10,000 shares; 2016Q4: 10,000 shares; 2017Q1: 10,000 shares; 2017Q2: 12,500 shares; 2017Q3: 12,500 shares 12,500$45K<0.01%0
QUICKLOGIC CORPQUICKLOGIC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,050 shares; 2016Q3: 20,050 shares; 2016Q4: 18,050 shares; 2017Q1: 18,050 shares; 2017Q2: 25,446 shares; 2017Q3: 25,446 shares 25,446$44K<0.01%0
WESTPORT FUEL SYSTEMS INCWESTPORT FUEL SYSTEMS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,207 shares; 2016Q4: 11,082 shares; 2017Q1: 11,082 shares; 2017Q2: 11,482 shares; 2017Q3: 10,482 shares 10,482$34K<0.01%-1,000
NAVIDEA BIOPHARMACEUTICALS INAVIDEA BIOPHARMACEUTICALS IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 71,015 shares; 2016Q3: 90,315 shares; 2016Q4: 90,315 shares; 2017Q1: 90,315 shares; 2017Q2: 71,015 shares; 2017Q3: 71,015 shares 71,015$30K<0.01%0
WINDSTREAM HLDGS INCWINDSTREAM HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,846 shares; 2016Q3: 11,979 shares; 2016Q4: 12,006 shares; 2017Q1: 16,208 shares; 2017Q2: 15,994 shares; 2017Q3: 15,959 shares 15,959$28K<0.01%-35

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
WMTWALMART INC COMcall200$3Knew
ALKALASKA AIR GROUP INC Stockput200$1Knew
BMYBRISTOL-MYERS SQUIBB CO COMcall200$00
GENERAL ELEC COGENERAL ELEC CO COMcall200$0new

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 ETFprincipal32,088$837K+12,266
ISHARESISHARES EXCHANGE TRADEDprincipal32,768$830K+12,974
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… Convertibleprincipal35,000$35K-10,000
BLACKROCK TCP CAPITAL CORPBLACKROCK TCP CAPITAL CORP COMprincipal10,000$11K0

Sold out in Q3 2017

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

SecurityShares beforeValue beforeType
POWERSHARESPOWERSHARES109,052$2.52Mshares
ETRACS Wells Fargo BusineETRACS Wells Fargo Busine101,214$2.3Mshares
JP MORGAN CHASE &amp; COJP MORGAN CHASE &amp; CO74,196$2.2Mshares
REYNOLDS AMERICAN INCREYNOLDS AMERICAN INC26,147$1.7Mshares
NVONOVO-NORDISK A S37,654$1.62Mshares
Dow Chemical CompanyDow Chemical Company20,437$1.29Mshares
DUPONT FABROS TECHNOLOGY INCDUPONT FABROS TECHNOLOGY INC13,657$835Kshares
ACWIISHARES TR11,901$780Kshares
PGRPROGRESSIVE CORP15,832$693Kshares
Deutsche Global High IncomeDeutsche Global High Income75,166$657Kshares
SPROTT PHYSICAL GOLD SILVERSPROTT PHYSICAL GOLD SILVER51,265$628Kshares
INNSUMMIT HOTEL PPTYS28,765$536Kshares
POWERSHARES EXCHANGEPOWERSHARES EXCHANGE12,375$533Kshares
ADIANALOG DEVICES INC6,111$489Kshares
QQEWFIRST TR EXCHANGE-TRADED FD8,899$473Kshares
PPGPPG INDS INC3,788$414Kshares
TORTOISE ENERGY INFRA CORPTORTOISE ENERGY INFRA CORP12,608$384Kshares
RYDEX ETF TRUSTRYDEX ETF TRUST9,102$359Kshares
VMCVULCAN MATLS CO2,612$331Kshares
DELPHI AUTOMOTIVE PLCDELPHI AUTOMOTIVE PLC3,696$325Kshares
FCNFTI CONSULTING INC8,932$312Kshares
ZTSZOETIS INC4,788$296Kshares
ROYAL DUTCH SHELL PLC SPN A…ROYAL DUTCH SHELL PLC SPN ADR5,561$296Kshares
NOBLPROSHARES TR4,902$284Kshares
DU PONT E I DE NEMOURS & CODU PONT E I DE NEMOURS & CO3,503$280Kshares
LLYELI LILLY & CO3,335$273Kshares
CLCOLGATE PALMOLIVE CO2,633$257Kshares
LDOSLEIDOS HOLDINGS INC5,051$256Kshares
EPDENTERPRISE PRODS PARTNERS L9,356$252Kshares
UNITED STATES NATL GAS FUNDUNITED STATES NATL GAS FUND36,965$248Kshares
NVSNOVARTIS AG2,848$236Kshares
IXJISHARES TR2,086$227Kshares
DALDELTA AIR LINES INC4,162$222Kshares
XFRAXBLACKROCK FLOATING RATE INCO15,856$222Kshares
WESTAR ENERGY INCWESTAR ENERGY INC4,078$217Kshares
INVESCO WATER RESOURCES ETFINVESCO WATER RESOURCES ETF7,838$212Kshares
HYLSFIRST TR EXCHANGE-TRADED FD4,287$209Kshares
IXNISHARES TR1,582$207Kshares
ILCVISHARES TR2,161$207Kshares
SCHGSCHWAB STRATEGIC TR3,280$205Kshares
MTZMASTEC INC4,539$205Kshares
VTWOVANGUARD SCOTTSDALE FDS1,810$204Kshares
ILCGISHARES TR1,468$204Kshares
IYWISHARES TR1,443$202Kshares
CNCCENTENE CORP DEL2,511$202Kshares
GNC HLDGS INCGNC HLDGS INC23,268$196Kshares
WSRWHITESTONE REIT14,383$176Kshares
POWERSHARESPOWERSHARES11,239$162Kshares
MONOGRAM RESIDENTIAL TR INCMONOGRAM RESIDENTIAL TR INC16,229$157Kshares
CYPRESS SEMICONDUCTOR CORPCYPRESS SEMICONDUCTOR CORP11,039$149Kshares
PFOFLAHERTY & CRUMRINE PFD INCO10,750$135Kshares
NOBILIS HEALTH CORPNOBILIS HEALTH CORP59,103$113Kshares
SORL Auto Parts IncSORL Auto Parts Inc14,337$97Kshares
CLUBQTOWN SPORTS INTL HLDGS INC17,841$83Kshares
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEW10,402$77Kshares
TRACON PHARMACEUTICALS INCTRACON PHARMACEUTICALS INC25,545$61Kshares
FERRELLGAS PARTNERS L.P.FERRELLGAS PARTNERS L.P.10,325$48Kshares
RITEAID CORPRITEAID CORP14,375$43Kshares
FRONTIER COMMUNICATIONS CORPFRONTIER COMMUNICATIONS CORP37,038$39Kshares
AXPAMERICAN EXPRESS CO200$3Kcall
SEADRILL ORDSEADRILL ORD10,630$2Kshares
SPYSTATE STR SPDR S&P 500 ETF T1,500$0put

How Q3 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 0001085146-17-002267 base2017-11-13acceptance time not in the bulk data set