SII INVESTMENTS INC/WI Current Holdings: Foreign Stocks

SII INVESTMENTS INC/WI current holdings: Foreign Stocks

SII INVESTMENTS INC/WI reported $0.01 billion in share positions in stocks (depositary receipts and foreign shares traded over the counter), 7 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are BP, NVO, BIDU.

BP: Country of operation —; Class SPONSORED ADR; Shares 126,388; Value $4,441,000.
NVO: Country of operation —; Class ADR; Shares 43,287; Value $1,797,000.
BIDU: Country of operation —; Class SPON ADR REP A; Shares 3,120; Value $567,000.
TM: Country of operation —; Class SP ADR REP2COM; Shares 4,360; Value $506,000.

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.

Performance is each holding's price change from its close on the 2016-09-30 quarter end to its latest retained close (2026-09-29, or the date shown for a stock that stopped trading). Price only; dividends are not included. A stock that split in the period is restated by the split ratio in its own Form 8-K; a dash marks a holding with no retained closes.

Stock	Country of operation	Class	Shares	Value	% of listed	Quarter end	Filed	Performance
BP BP PLC		SPONSORED ADR	126,388	$4,441,000	1.31%	2016-09-30	2016-11-10	+23.78%
NVO NOVO-NORDISK A S		ADR	43,287	$1,797,000	0.53%	2016-09-30	2016-11-10	+84.18%
BIDU BAIDU INC		SPON ADR REP A	3,120	$567,000	0.17%	2016-09-30	2016-11-10	-52.38%
TM TOYOTA MOTOR CORP		SP ADR REP2COM	4,360	$506,000	0.15%	2016-09-30	2016-11-10	+60.87%
TEVA TEVA PHARMACEUTICAL INDS LTD		ADR	6,861	$318,000	0.09%	2016-09-30	2016-11-10	-13.48%
NVS NOVARTIS A G		SPONSORED ADR	3,796	$301,000	0.09%	2016-09-30	2016-11-10	+105.95%
NLST NETLIST INC	United States	COM	17,930	$22,000	0.01%	2016-09-30	2016-11-10	— split 2017-11-15, ratio not on file

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