SII INVESTMENTS INC/WI Current Holdings: USA Bonds: Convertible Notes

SII INVESTMENTS INC/WI current holdings: USA Bonds: Convertible Notes

SII INVESTMENTS INC/WI reported $0.00 billion in convertible notes that pay a coupon (listed in the US), 4 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are PROSPECT CAPITAL CORPORATION, TCP CAP CORP.

PROSPECT CAPITAL CORPORATION: Country of operation —; Class NOTE 4.750% 4/1; Principal $135,000; Value $135,000.
PROSPECT CAPITAL CORPORATION: Country of operation —; Class NOTE 5.875% 1/1; Principal $89,000; Value $91,000.
PROSPECT CAPITAL CORPORATION: Country of operation —; Class NOTE 5.750% 3/1; Principal $45,000; Value $46,000.
TCP CAP CORP: Country of operation —; Class NOTE 5.250%12/1; Principal $30,000; Value $31,000.

Form 13F-HR as filed (SEC CIK 1351903): quarter ended 2016-09-30, filed 2016-11-10. The manager files one row per sub-manager; rows for the same security, class and put/call are added together.

Stock	Class	Principal	Value	Quarter end	Filed
PROSPECT CAPITAL CORPORATION CUSIP 74348TAQ5	NOTE 4.750% 4/1	$135,000	$135,000	2016-09-30	2016-11-10
PROSPECT CAPITAL CORPORATION CUSIP 74348TAM4	NOTE 5.875% 1/1	$89,000	$91,000	2016-09-30	2016-11-10
PROSPECT CAPITAL CORPORATION CUSIP 74348TAL6	NOTE 5.750% 3/1	$45,000	$46,000	2016-09-30	2016-11-10
TCP CAP CORP CUSIP 87238QAB9	NOTE 5.250%12/1	$30,000	$31,000	2016-09-30	2016-11-10

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