SONORA INVESTMENT MANAGEMENT, LLC

13F filer, CIK 1418539, TUCSON, AZ

SONORA INVESTMENT MANAGEMENT, LLC reported $1,205,488,000 across 1,758 holdings for the quarter ended 2020-12-31, in a 13F-HR filed 2021-01-13. Its ten largest share positions make up 19.08% of the portfolio.

Filed 2021-01-13 (acceptance time not in the bulk data set), ingested 2026-10-07 18:42:52 UTC13F-HR 0001415889-21-000315

Period: 2020-12-31
Reported value: $1.21B
Holdings: 1,758
Top 10 weight: 19.08%
New: 108
Sold out: 206

Largest buys vs the previous quarter

Security	Shares change	Approx. value
GREENBRIER COS INCnew	+12,940,000	$13M
METadded	+461,890	$12.6M
RAYTHEON TECH COnew	+105,282	$7.53M
ALTERYX INCnew	+4,260,000	$4.49M
DIGITAL RLTY TR INC PFD SER…added	+164,340	$4.49M

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

Largest sells vs the previous quarter

Security	Shares change	Approx. value
CBRE SERVICES INC NOTE M/W …exited	-14,880,000	-$17.2M
METLIFE INC DEPOSITARY SHS …exited	-392,144	-$10.7M
ZILLOW GROUP INCreduced	-4,655,000	-$7.89M
ZILLOW GROUP INCexited	-3,875,000	-$7.52M
RTX CORPORATIONexited	-98,994	-$5.7M

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

Holdings, Q4 2020

Share positions as resolved from 13F-HR 0001415889-21-000315, largest first. % of portfolio is the value over $1,205,488,000, the sum of the share positions whose value is usable for ratios (method).

Security	Shares	Value	% of portfolio	Change	Latest event	Timeline
NUENUCOR CORP	70	$4K	<0.01%	0		Timeline
DKDELEK US HLDGS INC NEW	221	$4K	<0.01%	0		Timeline
CDECOEUR MNG INC	400	$4K	<0.01%	0		Timeline
XYZBLOCK INC	17	$4K	<0.01%	0		Timeline
BF-BBROWN FORMAN CORP	50	$4K	<0.01%	0		Timeline
NATNORDIC AMERICAN TANKERS LIMI	1,300	$4K	<0.01%	0		Timeline
WWAYFAIR INC	17	$4K	<0.01%	0		Timeline
USRTISHARES TR	76	$4K	<0.01%	-7		Timeline
APPSDIGITAL TURBINE INC	75	$4K	<0.01%	new		Timeline
WPX ENERGY INCWPX ENERGY INC	500	$4K	<0.01%	-100
IHAKISHARES TR	90	$4K	<0.01%	0		Timeline
ARLOARLO TECHNOLOGIES INC	475	$4K	<0.01%	0		Timeline
FANUYFANUC CORP-UNSP ADR	175	$4K	<0.01%	0		Timeline
CHTHCNL HEALTHCARE PROPERTIES IN	456	$4K	<0.01%	new		Timeline
KGFHYKINGFISHER PLC-SPONS ADR	540	$4K	<0.01%	0		Timeline
VLKAFVOLKSWAGEN AG	20	$4K	<0.01%	0		Timeline
ATGFFALTAGAS LTD	300	$4K	<0.01%	0		Timeline
SIRIUS XM HOLDINGS INC COMSIRIUS XM HOLDINGS INC COM	614	$4K	<0.01%	0
GILEAD SCIENCES INC 4.5 04/…GILEAD SCIENCES INC 4.5 04/01/2021	4,000	$4K	<0.01%	0
WELLTOWER INCWELLTOWER INC	55	$4K	<0.01%	+17
Etfmg Prime MobileEtfmg Prime Mobile	62	$4K	<0.01%	0
RIOCFRIOCAN REAL ESTATE TRUST UT	300	$4K	<0.01%	0		Timeline
Aspen Insurance 5.95% Cl 7/…Aspen Insurance 5.95% Cl 7/23	146	$4K	<0.01%	0
STATE STREET C 5.9 PFDPFD …STATE STREET C 5.9 PFDPFD SER D	142	$4K	<0.01%	0
WINTRUST FINANCIAL CORP-CAL…WINTRUST FINANCIAL CORP-CALLABLE	132	$4K	<0.01%	0
REGIONS FINANCIAL CORP NEWREGIONS FINANCIAL CORP NEW	130	$4K	<0.01%	-80
MCDONALD'S CORPMCDONALD'S CORP	4,000	$4K	<0.01%	0
COSTCO WHOLESALE 2point75pe…COSTCO WHOLESALE 2point75percent2…	4,000	$4K	<0.01%	0
FIRST TRUST PORTFOLIOS UNIT…FIRST TRUST PORTFOLIOS UNIT 353 T…	10	$4K	<0.01%	0
LOCKHEED MARTIN CORP NOTE M…LOCKHEED MARTIN CORP NOTE M/W CLBL	4,000	$4K	<0.01%	0
SUNTRUST BANK (A)SUNTRUST BANK (A)	4,000	$4K	<0.01%	0
TD AMERITRADE HOLTD AMERITRADE HOL	4,000	$4K	<0.01%	0
MICROSOFT CORPMICROSOFT CORP	3,000	$4K	<0.01%	0
QUALCOMM INCQUALCOMM INC	4,000	$4K	<0.01%	0
INTERCONTINENTALINTERCONTINENTAL	4,000	$4K	<0.01%	0
INTL BK RECON &INTL BK RECON &	4,000	$4K	<0.01%	0
VAN KAMPEN INSD INCMVAN KAMPEN INSD INCM	9	$4K	<0.01%	0
Frontier CommuniFrontier Communi	8,913	$4K	<0.01%	0
US TREASUR NTUS TREASUR NT	4,000	$4K	<0.01%	0
BNSF, LLCBNSF, LLC	4,000	$4K	<0.01%	0
Global X SuperdividendGlobal X Superdividend	500	$4K	<0.01%	new
BP CAPITAL MKTBP CAPITAL MKT	4,000	$4K	<0.01%	0
FHNFIRST HORIZON CORPORATION	245	$3K	<0.01%	0		Timeline
ITAISHARES TR	32	$3K	<0.01%	-84		Timeline
VNQIVANGUARD INTL EQUITY INDEX F	62	$3K	<0.01%	new		Timeline
EPREPR PPTYS	86	$3K	<0.01%	0		Timeline
NCLHNORWEGIAN CRUISE LINE HLDGS	100	$3K	<0.01%	0		Timeline
FASTFASTENAL CO	58	$3K	<0.01%	0		Timeline
WABWABTEC	46	$3K	<0.01%	0		Timeline
HASHASBRO INC	30	$3K	<0.01%	0		Timeline
RFREGIONS FINANCIAL CORP NEW	186	$3K	<0.01%	+59		Timeline
LLOEWS CORP	73	$3K	<0.01%	0		Timeline
CDNSCADENCE DESIGN SYSTEM INC	20	$3K	<0.01%	0		Timeline
DTEDTE ENERGY CO	25	$3K	<0.01%	0		Timeline
PEGPUBLIC SVC ENTERPRISE GROUP	60	$3K	<0.01%	0		Timeline
ESSESSEX PPTY TR INC	12	$3K	<0.01%	0		Timeline
VHTVANGUARD WORLD FD	15	$3K	<0.01%	new		Timeline
BBHVANECK ETF TRUST	15	$3K	<0.01%	0		Timeline
AAPADVANCE AUTO PARTS INC	18	$3K	<0.01%	0		Timeline
GLNGGOLAR LNG LTD	300	$3K	<0.01%	0		Timeline
XIFRXPLR INFRASTRUCTURE LP	40	$3K	<0.01%	0		Timeline
BUNGE LTDBUNGE LTD	52	$3K	<0.01%	0
NUSTAR ENERGY LPNUSTAR ENERGY LP	200	$3K	<0.01%	0
AMERICAN INTLAMERICAN INTL	92	$3K	<0.01%	0
AKBAAKEBIA THREAPEUTICS INC	1,000	$3K	<0.01%	-800		Timeline
EBIX INCEBIX INC	87	$3K	<0.01%	0
PING IDENTITY HOLDING CORPPING IDENTITY HOLDING CORP	100	$3K	<0.01%	0
NLYANNALY CAP MGMT INC PFD SER I	119	$3K	<0.01%	0		Timeline
Grayscale Bitcoin Trust (BT…Grayscale Bitcoin Trust (BTC)	90	$3K	<0.01%	0
GENERAL ELECTRI 587538 …GENERAL ELECTRI 587538 …	2,000	$3K	<0.01%	0
CEL SCI CORPCEL SCI CORP	289	$3K	<0.01%	0
AMR INV 1000 DS RP SRS A NO…AMR INV 1000 DS RP SRS A NON CUM …	120	$3K	<0.01%	0
US CELLULAR COR PFDUS CELLULAR COR PFD	131	$3K	<0.01%	0
WILLIS TOWERS WWILLIS TOWERS W	3,000	$3K	<0.01%	0
US TREASURYUS TREASURY	3,000	$3K	<0.01%	0
BSXBOSTON SCIENTIFIC CORP	61	$2K	<0.01%	-68		Timeline
BWABORGWARNER INC	61	$2K	<0.01%	0		Timeline
DRDDRDGOLD LIMITED	200	$2K	<0.01%	0		Timeline
CMCANADIAN IMPERIAL BANK OF CO	24	$2K	<0.01%	new		Timeline
NFGNATIONAL FUEL GAS CO	50	$2K	<0.01%	0		Timeline
UALUNITED AIRLS HLDGS INC	46	$2K	<0.01%	0		Timeline
HBANHUNTINGTON BANCSHARES INC	167	$2K	<0.01%	+90		Timeline
TXTTEXTRON INC	50	$2K	<0.01%	0		Timeline
LAMRLAMAR ADVERTISING CO	20	$2K	<0.01%	new		Timeline
TELFYTELEFONICA SA-SPON ADR	539	$2K	<0.01%	0		Timeline
KSSKOHLS CORP	40	$2K	<0.01%	0		Timeline
PJTPJT PARTNERS INC	25	$2K	<0.01%	0		Timeline
CHINA PETROLEUM AND CHEMICA…CHINA PETROLEUM AND CHEMICAL-A	56	$2K	<0.01%	0
STERICYCLE INCSTERICYCLE INC	34	$2K	<0.01%	0
OPITQOFFICE PPTYS INCOME TR COM SHS	75	$2K	<0.01%	0		Timeline
QQQEDIREXION SHARES ETF TRUST	20	$2K	<0.01%	new		Timeline
TILRAY INCTILRAY INC	200	$2K	<0.01%	new
MNROMONRO INC	35	$2K	<0.01%	0		Timeline
SLISTANDARD LITHIUM CORP	1,000	$2K	<0.01%	0		Timeline
SRVRPACER FDS TR	50	$2K	<0.01%	0		Timeline
TCEHYTENCENT HOLDINGS LTD-UNS ADR	32	$2K	<0.01%	0		Timeline
SLSRSOLARIS RES INC	354	$2K	<0.01%	0		Timeline
Mkt Vctrs J P Mrgn EmMkt Vctrs J P Mrgn Em	64	$2K	<0.01%	-280
REPYYREPSOL SA SPONSORED ADR	200	$2K	<0.01%	0		Timeline
SFTBYSOFTBANK GROUP CORP-UNSP ADR	52	$2K	<0.01%	0		Timeline
Sandstorm Gold LtdSandstorm Gold Ltd	335	$2K	<0.01%	0
CABGYCARLSBERG AS-B-SPON ADR	65	$2K	<0.01%	0		Timeline
AARON'S INCAARON'S INC	100	$2K	<0.01%	-100
DIAMONDS TRUST SERIES IDIAMONDS TRUST SERIES I	5	$2K	<0.01%	0
XEROX CORPXEROX CORP	94	$2K	<0.01%	0
FITBFIFTH THIRD BANCORP DEP SHS RE	65	$2K	<0.01%	0		Timeline
LIBERTY MEDIA CORP DELLIBERTY MEDIA CORP DEL	40	$2K	<0.01%	0
JPMORGAN CHASE 5.5% PFDJPMORGAN CHASE 5.5% PFD	65	$2K	<0.01%	0
RENAISSANCERE HOLDINGS 5.37…RENAISSANCERE HOLDINGS 5.375%	93	$2K	<0.01%	0
TWO HBRS INVT CORP CUM RED …TWO HBRS INVT CORP CUM RED PFD	88	$2K	<0.01%	0
MOTOROLA SOLUTIONS INCMOTOROLA SOLUTIONS INC	2,000	$2K	<0.01%	0
Ballard Power SystemsBallard Power Systems	90	$2K	<0.01%	0
AIR LEASE COR 6.15 PFDPFD…AIR LEASE COR 6.15 PFDPFD SER A	85	$2K	<0.01%	0
ENSTAR GROENSTAR GRO	85	$2K	<0.01%	0
AGNCPAGNC INVT CORP DEP SHS REPSTG	63	$2K	<0.01%	0		Timeline
Wells Fargo Co Pfd Non-Cuml…Wells Fargo Co Pfd Non-Cumlative …	68	$2K	<0.01%	0
HTG MOLECULAR DIAGNOSTICS INHTG MOLECULAR DIAGNOSTICS IN	466	$2K	<0.01%	-6,534
HUNTINGTON BANCSHARES INCOR…HUNTINGTON BANCSHARES INCORPORTED…	85	$2K	<0.01%	0
COLONY CAPITAL INCCOLONY CAPITAL INC	87	$2K	<0.01%	0
JPMORGAN CHASE & CO (VARIAB…JPMORGAN CHASE & CO (VARIABLE)	2,000	$2K	<0.01%	0
Ntnl Rural UtiliNtnl Rural Utili	2,000	$2K	<0.01%	0
ALPHABET INC.ALPHABET INC.	2,000	$2K	<0.01%	0
CITIGROUP INC (VARIABLE)CITIGROUP INC (VARIABLE)	2,000	$2K	<0.01%	0
CNA FINL CORPCNA FINL CORP	2,000	$2K	<0.01%	0
CONEJO VY CA USDCONEJO VY CA USD	2,000	$2K	<0.01%	0
GLOBAL INDEMNIGLOBAL INDEMNI	85	$2K	<0.01%	0
CMECME GROUP INC	4	$1K	<0.01%	new		Timeline
IEOISHARES TR	25	$1K	<0.01%	0		Timeline
NANRSPDR INDEX SHS FDS	44	$1K	<0.01%	new		Timeline
VMBSVANGUARD SCOTTSDALE FDS	18	$1K	<0.01%	-999		Timeline
EEMISHARES TR	20	$1K	<0.01%	-380		Timeline
NXPINXP SEMICONDUCTORS N V	4	$1K	<0.01%	-27		Timeline
IFFINTERNATIONAL FLAVORS&FRAGRA	6	$1K	<0.01%	new		Timeline
PPLPPL CORP	45	$1K	<0.01%	new		Timeline
PRGOPERRIGO CO PLC	17	$1K	<0.01%	0		Timeline
IDVISHARES TR	41	$1K	<0.01%	0		Timeline
OSISKO GOLD ROYALTIES LTDOSISKO GOLD ROYALTIES LTD	61	$1K	<0.01%	0
ARCOARCOS DORADOS HLDGS INC	101	$1K	<0.01%	0		Timeline
KTBKONTOOR BRANDS INC	15	$1K	<0.01%	0		Timeline
POSTPOST HLDGS INC	11	$1K	<0.01%	0		Timeline
CYRUSONE INCCYRUSONE INC	13	$1K	<0.01%	new
ABBNYABB LTD-SPON ADR	50	$1K	<0.01%	-54		Timeline
Concho Resources Inc.Concho Resources Inc.	22	$1K	<0.01%	0
ALEXION PHARMACEUTICALS INCALEXION PHARMACEUTICALS INC	5	$1K	<0.01%	0
APACHE CORPAPACHE CORP	43	$1K	<0.01%	0
ARCONIC INCARCONIC INC	18	$1K	<0.01%	0
ANNALY CAP MGMT INC PFD SER…ANNALY CAP MGMT INC PFD SER F	58	$1K	<0.01%	0
AGNCOAGNC INVT CORP DEP SH REP 1/10	30	$1K	<0.01%	0		Timeline
AGNCNAGNC INVT CORP DEP SHS REPSTG	58	$1K	<0.01%	0		Timeline
APARTMENT INVT & MGMT COAPARTMENT INVT & MGMT CO	264	$1K	<0.01%	-2
LUNMFLUNDIN MINING CORP	85	$1K	<0.01%	new		Timeline
BBUBROOKFIELD BUSINESS PARTNERS L	14	$1K	<0.01%	0		Timeline
BANK AMER CORPBANK AMER CORP	38	$1K	<0.01%	-28
AGNCAGNC INVT CORP CUM RED PFD SER	29	$1K	<0.01%	0		Timeline
ALTABA INCALTABA INC	100	$1K	<0.01%	0
LIBERTY MEDIA CORP DELLIBERTY MEDIA CORP DEL	20	$1K	<0.01%	0
APHRIA INCAPHRIA INC	100	$1K	<0.01%	0
YAMANA GOLD INCYAMANA GOLD INC	161	$1K	<0.01%	-76
Hartford Financial ServHartford Financial Serv	26	$1K	<0.01%	0
NuStar Logistics 7.625%Nts …NuStar Logistics 7.625%Nts Cl	58	$1K	<0.01%	0
LIGHTINGSCIENCEGROUPLIGHTINGSCIENCEGROUP	5,000	$1K	<0.01%	0
SYNOVUS FINL 5.875 PFDSYNOVUS FINL 5.875 PFD	29	$1K	<0.01%	0
SCE TRUST IV 5.375 PFDSCE TRUST IV 5.375 PFD	31	$1K	<0.01%	0
Synovus Financial Corp.Synovus Financial Corp.	28	$1K	<0.01%	0
VLYVALLEY NATL BANCORP NON CUM PE	29	$1K	<0.01%	0		Timeline
INVSC 7.75 FX FL SRS B CUM …INVSC 7.75 FX FL SRS B CUM RDM PRF	28	$1K	<0.01%	0
TRUIST FINL CORP DEPSHSTRUIST FINL CORP DEPSHS	51	$1K	<0.01%	0
STIFEL FINANCIAL CORPORATIO…STIFEL FINANCIAL CORPORATION DSHS…	56	$1K	<0.01%	0
UNITED STATES CELLULAR SR N…UNITED STATES CELLULAR SR NT 1201…	28	$1K	<0.01%	0
ALCOA INCALCOA INC	23	$1K	<0.01%	0
URSTADT BIDDL PFDURSTADT BIDDL PFD	23	$1K	<0.01%	0
CONNECTOR 2000 SCCONNECTOR 2000 SC	1,427	$1K	<0.01%	0
NCR CORPORATIONNCR CORPORATION	20	$1K	<0.01%	new
NOBLE HOLDING INNOBLE HOLDING IN	31,000	$1K	<0.01%	0
CONNECTOR 2000 SCCONNECTOR 2000 SC	1,350	$1K	<0.01%	0
TCF FINL CORP PFDTCF FINL CORP PFD	29	$1K	<0.01%	0
SCHRSCHWAB STRATEGIC TR	4	$0	0%	-155	Value filed as zero, left out of ratios.	Timeline
EBNDSPDR SERIES TRUST	2	$0	0%	-183	Value filed as zero, left out of ratios.	Timeline
REZIRESIDEO TECHNOLOGIES INC	20	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
RGAREINSURANCE GROUP AMER INC	3	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
CTRACOTERRA ENERGY INC	24	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
HYLBDBX ETF TR	2	$0	0%	-97	Value filed as zero, left out of ratios.	Timeline
LYFTLYFT INC	2	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
HAUZDBX ETF TR	2	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
BHFBRIGHTHOUSE FINL INC	9	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
GTXGARRETT MOTION INC	12	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
SSLSASOL LTD	50	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
SPIBSPDR SERIES TRUST	8	$0	0%	-1,884	Value filed as zero, left out of ratios.	Timeline
ASIXADVANSIX INC	1	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
CNDTCONDUENT INC	72	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
EOLSEVOLUS INC	100	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
HPHELMERICH & PAYNE INC	15	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
WLKWESTLAKE CORPORATION	0	$0	0%	0	Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios.	Timeline
Mallinckrodt PlcMallinckrodt Plc	200	$0	0%	0	Value filed as zero, left out of ratios.
RMRRMR GROUP INC	5	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
DRAFTKINGS HOLDINGS INCDRAFTKINGS HOLDINGS INC	10	$0	0%	0	Value filed as zero, left out of ratios.
SNFCASECURITY NATL FINL CORP	24	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
OXY/WSOCCIDENTAL PETE CORP	59	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
SOUHYSOUTH32 - ADR	11	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
NNDMNANO DIMENSION LTD	22	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
E DIGITAL CORPORATNE DIGITAL CORPORATN	300	$0	0%	0	Value filed as zero, left out of ratios.
CRYSTALLEX INTL CORP COM NPVCRYSTALLEX INTL CORP COM NPV	50	$0	0%	new	Value filed as zero, left out of ratios.
AQUABOUNTY TECHNOLOGIES INCAQUABOUNTY TECHNOLOGIES INC	4	$0	0%	0	Value filed as zero, left out of ratios.
THORNBURG MORTGAGE INCTHORNBURG MORTGAGE INC	105	$0	0%	0	Value filed as zero, left out of ratios.
WASHINGTON MUTUAL INC COMMONWASHINGTON MUTUAL INC COMMON	3,550	$0	0%	0	Value filed as zero, left out of ratios.
AURORA CANNABIS INCAURORA CANNABIS INC	2	$0	0%	0	Value filed as zero, left out of ratios.
NORTEL NETWORKS CORPNORTEL NETWORKS CORP	10	$0	0%	0	Value filed as zero, left out of ratios.
SODASTREAM INTERNATIONALSODASTREAM INTERNATIONAL	200	$0	0%	0	Value filed as zero, left out of ratios.
AMARIN CORP PLCAMARIN CORP PLC	33	$0	0%	0	Value filed as zero, left out of ratios.
mPhase Technologies IncmPhase Technologies Inc	1	$0	0%	0	Value filed as zero, left out of ratios.
VASOVASO CORP	2,000	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
WAVE SYS CORP CL A NEWWAVE SYS CORP CL A NEW	1	$0	0%	0	Value filed as zero, left out of ratios.
INTERNATIONAL PWR GROUP LTDINTERNATIONAL PWR GROUP LTD	2,000	$0	0%	0	Value filed as zero, left out of ratios.
Notis Global IncNotis Global Inc	100	$0	0%	0	Value filed as zero, left out of ratios.
AMERICAN INTL GROUP INCAMERICAN INTL GROUP INC	3,410	$0	0%	0	Value filed as zero, left out of ratios.
LEHMAN BROTHELEHMAN BROTHE	92	$0	0%	0	Value filed as zero, left out of ratios.
ENERGOUS CORPENERGOUS CORP	100	$0	0%	0	Value filed as zero, left out of ratios.
GOL LINHAS AEREAS INTLG S AGOL LINHAS AEREAS INTLG S A	20	$0	0%	0	Value filed as zero, left out of ratios.
REGULUS THERAPEUTICS INCREGULUS THERAPEUTICS INC	16	$0	0%	0	Value filed as zero, left out of ratios.
FUELCELL ENERGY INC COMFUELCELL ENERGY INC COM	4	$0	0%	0	Value filed as zero, left out of ratios.
ECOTALITY INCECOTALITY INC	833	$0	0%	0	Value filed as zero, left out of ratios.
HYPERDYNAMICS CORPHYPERDYNAMICS CORP	13	$0	0%	0	Value filed as zero, left out of ratios.
TEL OFFSHORE TRUSTTEL OFFSHORE TRUST	7	$0	0%	0	Value filed as zero, left out of ratios.
ABAKAN INCABAKAN INC	50,000	$0	0%	0	Value filed as zero, left out of ratios.
Conseco IncConseco Inc	7	$0	0%	0	Value filed as zero, left out of ratios.
AMERICAN POWER ORDAMERICAN POWER ORD	4,000	$0	0%	0	Value filed as zero, left out of ratios.
GLOBAL NET LEASE INCGLOBAL NET LEASE INC	18	$0	0%	0	Value filed as zero, left out of ratios.
PAIUTE OIL & MNG CORPPAIUTE OIL & MNG CORP	1,000	$0	0%	0	Value filed as zero, left out of ratios.
Cv Sciences Inc ComCv Sciences Inc Com	333	$0	0%	0	Value filed as zero, left out of ratios.
AMR Corp EscrowAMR Corp Escrow	800	$0	0%	0	Value filed as zero, left out of ratios.
Linnco LLC XXX Escrow Pendi…Linnco LLC XXX Escrow Pending Pos…	980	$0	0%	0	Value filed as zero, left out of ratios.
CORTS TR JCP 7.625per PFD …CORTS TR JCP 7.625per PFD BACKED…	700	$0	0%	0	Value filed as zero, left out of ratios.
CPI CARD GROUP INCCPI CARD GROUP INC	40	$0	0%	0	Value filed as zero, left out of ratios.
VITRO TECHVITRO TECH	500	$0	0%	0	Value filed as zero, left out of ratios.
ACTUA CORPORATIONACTUA CORPORATION	1	$0	0%	0	Value filed as zero, left out of ratios.
AKAOQACHAOGEN INC	1,000	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
SIGMA LABS INCSIGMA LABS INC	2	$0	0%	0	Value filed as zero, left out of ratios.
VEREIT INCORPORATION PFD SE…VEREIT INCORPORATION PFD SER F	10	$0	0%	0	Value filed as zero, left out of ratios.
CANNONAU CORP COMCANNONAU CORP COM	100	$0	0%	0	Value filed as zero, left out of ratios.
UNITY ONE CAPITALUNITY ONE CAPITAL	1	$0	0%	0	Value filed as zero, left out of ratios.
LEHMAN BROS HLDGSLEHMAN BROS HLDGS	20,000	$0	0%	0	Value filed as zero, left out of ratios.
ESECURESOFT COESECURESOFT CO	148	$0	0%	0	Value filed as zero, left out of ratios.
SPECTRA7 MICROSYSTEMS INCSPECTRA7 MICROSYSTEMS INC	1,000	$0	0%	0	Value filed as zero, left out of ratios.
NEUROGENESIS INCNEUROGENESIS INC	200	$0	0%	0	Value filed as zero, left out of ratios.
NEXPRISE INCNEXPRISE INC	1	$0	0%	0	Value filed as zero, left out of ratios.
CUIDAO HLDG CORPCUIDAO HLDG CORP	150	$0	0%	0	Value filed as zero, left out of ratios.
RENTECH NITROGEN LP XXXRENTECH NITROGEN LP XXX	500	$0	0%	0	Value filed as zero, left out of ratios.
YELLOW MEDIA INC 22 WTSYELLOW MEDIA INC 22 WTS	827	$0	0%	0	Value filed as zero, left out of ratios.
Africo Resources Ltd XxxAfrico Resources Ltd Xxx	249	$0	0%	0	Value filed as zero, left out of ratios.
GOLDEN ARCH RESOURCESGOLDEN ARCH RESOURCES	4,000	$0	0%	0	Value filed as zero, left out of ratios.
AVANT DIAGNOSTICS INCAVANT DIAGNOSTICS INC	46	$0	0%	0	Value filed as zero, left out of ratios.
CARDAX INCCARDAX INC	67,843	$0	0%	0	Value filed as zero, left out of ratios.
COUGAR OIL & GAS CANADA INCCOUGAR OIL & GAS CANADA INC	2,000	$0	0%	0	Value filed as zero, left out of ratios.
GENERAL MOTORS 8.25XXXESCRO…GENERAL MOTORS 8.25XXXESCROW P	15,000	$0	0%	0	Value filed as zero, left out of ratios.
FIRST TRUST PREFERREDFIRST TRUST PREFERRED	8	$0	0%	new	Value filed as zero, left out of ratios.
Tiffany & Co 3.8xxxTiffany & Co 3.8xxx	100,000	$0	0%	new	Value filed as zero, left out of ratios.
LEHMAN BRO HLDG PFDLEHMAN BRO HLDG PFD	600	$0	0%	new	Value filed as zero, left out of ratios.
GENERAL MOTORS CORP 9.25GENERAL MOTORS CORP 9.25	15,000	$0	0%	0	Value filed as zero, left out of ratios.

Sold out in Q4 2020

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

The largest 100 of 206. All 206

Security	Shares before	Value before	Type
CBRE SERVICES INC NOTE M/W …CBRE SERVICES INC NOTE M/W CLBL	14,880,000	$17.2M	shares
METLIFE INC DEPOSITARY SHS …METLIFE INC DEPOSITARY SHS REP	392,144	$10.7M	shares
ZILLOW GROUP INCZILLOW GROUP INC	3,875,000	$7.52M	shares
RTX CORPORATIONRTX CORPORATION	98,994	$5.7M	shares
MCDONALDS CORPMCDONALDS CORP	3,160,000	$3.17M	shares
TARGET CORPTARGET CORP	7,928	$1.25M	shares
SRNESORRENTO THERAPEUTICS, INC.	61,804	$689K	shares
BIOMARIN PHARMACEUTICAL INCBIOMARIN PHARMACEUTICAL INC	640,000	$636K	shares
LOCKHEED MARTIN CORP 2.5 11…LOCKHEED MARTIN CORP 2.5 11/23/20…	257,000	$257K	shares
INVESCO ADVANTAGE MUNI INCO…INVESCO ADVANTAGE MUNI INCOME	13,603	$147K	shares
UNIV TX UNIVUNIV TX UNIV	140,000	$140K	shares
BLACKROCK MUNIYIELD QUALITYBLACKROCK MUNIYIELD QUALITY	10,000	$134K	shares
NY ST DORM AUTHNY ST DORM AUTH	125,000	$125K	shares
VCSHVANGUARD SCOTTSDALE FDS	1,300	$108K	shares
Invesco S&P SmallCap Health…Invesco S&P SmallCap Health Care …	781	$103K	shares
TIPISHARES TR	800	$101K	shares
L BRANDS INCL BRANDS INC	85,000	$87K	shares
EDWARDS LIFESCIENCES CORPEDWARDS LIFESCIENCES CORP	1,080	$86K	shares
MCKESSON CORPMCKESSON CORP	75,000	$76K	shares
CITIGROUP INC.CITIGROUP INC.	75,000	$75K	shares
MCHPMICROCHIP TECHNOLOGY INC.	649	$67K	shares
OHIO STOHIO ST	50,000	$55K	shares
CSX CORPCSX CORP	50,000	$55K	shares
FIRST TR EXCHANGE-TRADED FDFIRST TR EXCHANGE-TRADED FD	286	$54K	shares
CYBERARK SOFTWARE LTD/ISRAELCYBERARK SOFTWARE LTD/ISRAEL	500	$52K	shares
JEFFERIES GROUPJEFFERIES GROUP	50,000	$52K	shares
Pinal Cn Az CcdPinal Cn Az Ccd	50,000	$52K	shares
DOWDUPONT INC.DOWDUPONT INC.	50,000	$50K	shares
CDPCOPT DEFENSE PROPERTIES	2,000	$47K	shares
Bank Of America C Var 29Bank Of America C Var 29	40,000	$46K	shares
Jpmorgan Chase & Var 29Jpmorgan Chase & Var 29	40,000	$45K	shares
Orlando Fl SplOrlando Fl Spl	45,000	$45K	shares
Pima Cn Az Usd #1Pima Cn Az Usd #1	40,000	$43K	shares
HDVISHARES TR	506	$41K	shares
CONSTELLATION ENCONSTELLATION EN	40,000	$40K	shares
FHLCFIDELITY COVINGTON TRUST	650	$34K	shares
TOTAL S A ADR FTOTAL S A ADR F	1,000	$34K	shares
Wells Fargo & Co NewWells Fargo & Co New	1,306	$34K	shares
DUNKIN BRANDS GROUP INCDUNKIN BRANDS GROUP INC	346	$28K	shares
WESTROCK COWESTROCK CO	780	$27K	shares
Pnc Finl Svcs GrPnc Finl Svcs Gr	25,000	$27K	shares
WA FED WY GRNTWA FED WY GRNT	25,000	$27K	shares
SPSMSPDR SERIES TRUST	964	$26K	shares
MEDTRONIC INC 3.15 03/15/20…MEDTRONIC INC 3.15 03/15/2022	25,000	$26K	shares
Phoenix Az Wst WtrPhoenix Az Wst Wtr	25,000	$26K	shares
General ElectricGeneral Electric	25,000	$26K	shares
ANNALY CAP MGMT INC PFDSER …ANNALY CAP MGMT INC PFDSER D %	980	$25K	shares
SEDWICK CN KS SD259SEDWICK CN KS SD259	25,000	$25K	shares
MARATHON PETROLEUMMARATHON PETROLEUM	25,000	$25K	shares
ST CHARLES COUNST CHARLES COUN	25,000	$25K	shares
Transcanada CorpTranscanada Corp	25,000	$25K	shares
General ElectricGeneral Electric	25,000	$25K	shares
FTECFIDELITY COVINGTON TRUST	262	$24K	shares
TRAVELERS COMPANIES INCTRAVELERS COMPANIES INC	225	$24K	shares
DIGITAL RLTY TR - PFD GDIGITAL RLTY TR - PFD G	945	$24K	shares
UNILEVER N VUNILEVER N V	382	$23K	shares
UNIVERSAL HEALTH/REALTY SBIUNIVERSAL HEALTH/REALTY SBI	395	$23K	shares
LWLAMB WESTON HLDGS INC	333	$22K	shares
GOVTISHARES TR	734	$21K	shares
CBOA FINANCIAL INCCBOA FINANCIAL INC	12,000	$21K	shares
MYOKARDIA INCMYOKARDIA INC	150	$20K	shares
MICROSOFT CORPMICROSOFT CORP	20,000	$20K	shares
GOLDMAN SACHS GROUP (VARIAB…GOLDMAN SACHS GROUP (VARIABLE)	20,000	$20K	shares
GREEN BAY WISGREEN BAY WIS	20,000	$20K	shares
IGIBISHARES TR	314	$19K	shares
AZ ST CTFS PARTAZ ST CTFS PART	15,000	$18K	shares
IGSBISHARES TR	312	$17K	shares
BARCLAYS PLCBARCLAYS PLC	3,310	$17K	shares
VDCVANGUARD WORLD FD	100	$16K	shares
FCOMFIDELITY COVINGTON TRUST	402	$16K	shares
SNASNAP ON INC	104	$15K	shares
CHRWC H ROBINSON WORLDWIDE IN	147	$15K	shares
RHIROBERT HALF INC.	290	$15K	shares
MATVMATIV HOLDINGS INC	500	$15K	shares
MO ST UNIV AUXMO ST UNIV AUX	15,000	$15K	shares
FDISFIDELITY COVINGTON TRUST	219	$14K	shares
CENCORA INCCENCORA INC	142	$14K	shares
ETFS Gold TrustETFS Gold Trust	782	$14K	shares
FIRST REPUBLIC BAN ORDFIRST REPUBLIC BAN ORD	500	$13K	shares
MTBM & T BK CORP	125	$12K	shares
STRUCTURED PRODUCT PFDSTRUCTURED PRODUCT PFD	400	$12K	shares
INVESCO EXCH TRADED FD TR IIINVESCO EXCH TRADED FD TR II	257	$11K	shares
Invesco Optm Yd Dvrs Cdty S…Invesco Optm Yd Dvrs Cdty Stra No…	770	$11K	shares
PIMA COUNTY ARIZONAPIMA COUNTY ARIZONA	10,000	$11K	shares
XILINX INCXILINX INC	100	$10K	shares
SEWARD COUNTY NESEWARD COUNTY NE	10,000	$10K	shares
MO ST HLTH/EDMO ST HLTH/ED	10,000	$10K	shares
MO ST UNIV AUXMO ST UNIV AUX	10,000	$10K	shares
MP WSTRN ST UNIVMP WSTRN ST UNIV	10,000	$10K	shares
STATE OF TEXASSTATE OF TEXAS	10,000	$10K	shares
VERIZON COMMUNICATIOVERIZON COMMUNICATIO	10,000	$10K	shares
BANCO SANTANDER, PFDBANCO SANTANDER, PFD	431	$10K	shares
PKXPOSCO HOLDINGS INC	212	$9K	shares
IMMUNOMEDICS INCIMMUNOMEDICS INC	100	$9K	shares
VCLTVANGUARD SCOTTSDALE FDS	71	$8K	shares
FXIISHARES TR	200	$8K	shares
HYGISHARES TR	100	$8K	shares
ENRENERGIZER HLDGS INC	200	$8K	shares
BBYBEST BUY INC	71	$8K	shares
IJKISHARES TR	35	$8K	shares

How Q4 2020 was built

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

Filing	Role	Amendment	Filed	Accepted	Ingested
13F-HR 0001415889-21-000315	base		2021-01-13	acceptance time not in the bulk data set	2026-10-07 18:42:52 UTC