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 (2016Q4)
Portfolio Summary: 610 holdings with a total value of $790,568,000.
#
Name
Shares
Value ($)
%
Options
Notes
601 SAFE BULKERS INC 20,000 23,000 0.00%
602 KINGOLD JEWELRY INC 17,250 22,000 0.00%
603 PDL BIOPHARMA INCORPORATED 10,563 22,000 0.00%
604 DENISON MINES CORP 36,700 19,000 0.00%
605 NAVIOS MARITIME PARTNERS L P 11,751 17,000 0.00%
606 AVINO SILVER &GOLD MINES LT 12,000 16,000 0.00%
607 MANNKIND CORPORATION 23,900 15,000 0.00%
608 IDERA PHARMACEUTICALS INC 10,025 15,000 0.00%
609 EXETER RES CORP 16,300 12,000 0.00%
610 MEMORIAL PRODTN PARTNERS 57,844 7,000 0.00%
Page 13 of 13

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001606587-17-000039, filed 2017.01.24).

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.