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Institutional Investment Manager
SHEAFF BROCK INVESTMENT ADVISORS, LLC
SHEAFF BROCK INVESTMENT ADVISORS, LLC (CIK: 0001666789). Institutional holdings reported to the SEC.

Institutional Holdings (2016Q1)
Portfolio Summary: 624 holdings with a total value of $814,387,000.
#
Name
Shares
Value ($)
%
Options
Notes
601 URANIUM ENERGY CORP 32,800 25,000 0.00%
602 KINGOLD JEWELRY INC 19,550 24,000 0.00%
603 ENTREE GOLD INC 78,500 24,000 0.00%
604 AMERICAN LORAIN CORP 20,000 24,000 0.00%
605 VANGUARD NAT RES LLC COM UNIT 14,835 22,000 0.00%
606 DENISON MINES CORP 36,700 20,000 0.00%
607 IDERA PHARMACEUTICALS INCORPORATED COM NEW 10,025 20,000 0.00%
608 BREITBURN ENERGY PARTNERS LP COM 33,337 19,000 0.00%
609 ULTRA PETROLEUM CORP 35,965 18,000 0.00%
610 NAVIOS MARITIME PARTNERS L P 14,851 18,000 0.00%
611 HUGOTON RTY TR TEX 13,333 18,000 0.00%
612 B2GOLD CORP 10,534 17,000 0.00%
613 SAFE BULKERS INC 20,000 16,000 0.00%
614 VIVUS INC 11,000 15,000 0.00%
615 SunEdison Inc 21,650 12,000 0.00%
616 PetroQuest Energy 20,000 12,000 0.00%
617 DIANA CONTAINERSHIPS INC 20,336 12,000 0.00%
618 AMERICAN CARESOURCE HLDGS IN 24,100 11,000 0.00%
619 ENSYNC INC 37,600 11,000 0.00%
620 XOMA CORP DEL 11,000 9,000 0.00%
621 EXETER RES CORP 16,300 9,000 0.00%
622 U S ENERGY CORP WYO 20,000 7,000 0.00%
623 LINN CO LLC 13,800 5,000 0.00%
624 MGT CAPITAL INVTS INC 23,900 5,000 0.00%
Page 13 of 13

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001606587-16-000547, filed 2016.04.25).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.