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

Institutional Holdings (2016Q2)
Original 13F HR (0001666789-16-000004) filed in 2016.08.05
#
Name
Shares
Value ($)
%
Options
Notes
701 PIMCO INCOME STRATEGY FUND II COM 11,500 106 0.01%
702 OMEROS CORP 10,000 105 0.01%
703 OASIS PETE INC NEW 11,200 105 0.01%
704 WPX ENERGY INC 11,164 104 0.01%
705 EATON VANCE RISK MNGD DIV EQ 10,600 104 0.01%
706 SANDRIDGE MISSISSIPPIAN TR I 42,000 102 0.01%
707 PENNEY J C 11,400 101 0.01%
708 CALAMOS STRATEGIC TOTL RETN 10,103 100 0.01%
709 IAMGOLD CORP 24,008 99 0.01%
710 PUTNAM MANAGED MUN INCOME TR 12,000 96 0.01%
711 TURQUOISE HILL RES LTD 28,078 95 0.01%
712 CVR PARTNERS LP 10,867 89 0.01%
713 GUGGENHEIM ENHANCED EQUITY I 11,650 87 0.01%
714 OCEAN BIO CHEM INC 35,500 86 0.01%
715 NOVAVAX INC COM 11,750 85 0.01%
716 FIVE OAKS INVT CORPORATION REIT 14,900 82 0.01%
717 ABERDEEN ASIA PACIFIC INCOM 15,078 76 0.01%
718 COFFEE HLDGS INC 12,950 73 0.01%
719 BLACKROCK INTL GRWTH & INC T 12,298 71 0.01%
720 ENERPLUS CORP 10,530 69 0.01%
721 MGT CAPITAL INVTS INC 18,000 69 0.01%
722 CAPITAL PRODUCT PARTNERS L P 22,725 68 0.01%
723 ENDURO RTY TR 18,000 67 0.01%
724 ZIOPHARM ONCOLOGY INC 11,982 66 0.01%
725 KERYX BIOPHARMACEUTICALS INCORPORATED 10,000 66 0.01%
726 WEATHERFORD INTL PLC 11,555 64 0.01%
727 BANCO SANTANDER BRASIL S A 11,000 63 0.01%
728 ULTRA PETROLEUM CORP 35,965 63 0.01%
729 APOLLO INVT CORP 10,700 59 0.01%
730 GOLD FIELDS LTD NEW 11,900 58 0.01%
731 AK STL HLDG CORP 12,200 57 0.01%
732 SEADRILL LIMITED 17,647 57 0.01%
733 CALUMET SPECIALTY PRODS PTNR 11,517 56 0.01%
734 ANWORTH MTG ASSET CORP 10,200 48 0.01%
735 Teekay Tankers LTD 12,600 38 0.00%
736 KINGOLD JEWELRY INC 19,050 34 0.00%
737 BIOLASE INC 27,979 33 0.00%
738 HUGOTON RTY TR TEX 13,333 31 0.00%
739 URANIUM ENERGY CORP 32,800 29 0.00%
740 PENN WEST PETE LTD NEW 20,401 28 0.00%
741 ENSYNC INC 75,200 28 0.00%
742 ATLAS RESOURCES PARTNERS LP 51,247 28 0.00% PRN
743 B2GOLD CORP 10,534 26 0.00%
744 ENTREE GOLD INC 78,500 24 0.00%
745 MANNKIND CORP. 20,900 24 0.00%
746 LPATH INC 11,043 24 0.00%
747 SAFE BULKERS INC 20,000 21 0.00%
748 PENGROWTH ENERGY CORP 11,410 21 0.00%
749 AMERICAN LORAIN CORP 18,900 21 0.00%
750 EXETER RES CORP 16,300 21 0.00%
Page 15 of 16