Sonora Investment Management, LLC current holdings: USA Everything Else
Sonora Investment Management, LLC reported $323.34 billion in partnership units, exchange-traded notes and anything else (listed in the US), 540 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are IONIS PHARMA INC, CEPHEID INC, CORNERSTONE ONDEMAND.
- AUSTIN TX CMNTY: Country of operation —; Class Convertible; Shares 25,000; Value $26,985,000.
- ALCOA INC: Country of operation —; Class Convertible; Shares 25,000; Value $26,938,000.
- HEWLETT-PACKARD CO: Country of operation —; Class Convertible; Shares 25,000; Value $26,932,000.
- HARTFORD FINANCIAL P: Country of operation —; Class PFDs, REITs,; Shares 850; Value $26,818,000.
Form 13F-HR as filed (SEC CIK 1418539): quarter ended 2016-09-30, filed 2016-10-17. The manager files one row per sub-manager; rows for the same security, class and put/call are added together.
| Stock | Country of operation | Class | Shares | Value | Quarter end | Filed |
|---|---|---|---|---|---|---|
| AUSTIN TX CMNTY CUSIP 052405AX5 | Convertible | 25,000 | $26,985,000 | 2016-09-30 | 2016-10-17 | |
| ALCOA INC CUSIP 013817AV3 | Convertible | 25,000 | $26,938,000 | 2016-09-30 | 2016-10-17 | |
| HEWLETT-PACKARD CO CUSIP 428236BQ5 | Convertible | 25,000 | $26,932,000 | 2016-09-30 | 2016-10-17 | |
| HARTFORD FINANCIAL P CUSIP 416518504 | PFDs, REITs, | 850 | $26,818,000 | 2016-09-30 | 2016-10-17 | |
| WELLS FARGO & CO PFD CUSIP 949746366 | PFDs, REITs, | 1,000 | $26,780,000 | 2016-09-30 | 2016-10-17 | |
| SODASTREAM INTL CUSIP M9068E105 | Equities | 1,000 | $26,560,000 | 2016-09-30 | 2016-10-17 | |
| WESTERN REFINERY INC CUSIP 959319104 | Equities | 1,000 | $26,460,000 | 2016-09-30 | 2016-10-17 | |
| MS ST UNIV ED BLD CUSIP 605699JB4 | Convertible | 25,000 | $26,413,000 | 2016-09-30 | 2016-10-17 | |
| ASSOCIATED BANC PFD CUSIP 045488400 | PFDs, REITs, | 1,000 | $26,410,000 | 2016-09-30 | 2016-10-17 | |
| GENERAL CABLE CORP CUSIP 369300AL2 | Convertible | 40,000 | $26,355,000 | 2016-09-30 | 2016-10-17 | |
| CLARK CNTY NEV CUSIP 180848GA5 | Convertible | 25,000 | $26,354,000 | 2016-09-30 | 2016-10-17 | |
| SALT RIVER PRJ AZ CUSIP 79575DXA3 | Convertible | 25,000 | $26,264,000 | 2016-09-30 | 2016-10-17 | |
| CENTRAL WA UNIV SYS CUSIP 155839CN1 | Convertible | 25,000 | $26,226,000 | 2016-09-30 | 2016-10-17 | |
| GENERAL ELECTRIC CO CUSIP 369622410 | PFDs, REITs, | 1,000 | $26,210,000 | 2016-09-30 | 2016-10-17 | |
| DEKALB CN IL CUSD #4 CUSIP 240685GS0 | Convertible | 25,000 | $26,177,000 | 2016-09-30 | 2016-10-17 | |
| MARICOPA AZ CCD CUSIP 566795LB4 | Convertible | 25,000 | $26,099,000 | 2016-09-30 | 2016-10-17 | |
| NATL GEN PFD CUSIP 636220808 | PFDs, REITs, | 1,000 | $26,020,000 | 2016-09-30 | 2016-10-17 | |
| PHOENIX AZ CVC IMP CUSIP 71884ARN1 | Convertible | 25,000 | $25,788,000 | 2016-09-30 | 2016-10-17 | |
| GOODYEAR AZ PUB IMP CUSIP 382512BQ3 | Convertible | 25,000 | $25,746,000 | 2016-09-30 | 2016-10-17 | |
| GEN ELEC CAP CUSIP 369622428 | PFDs, REITs, | 1,000 | $25,740,000 | 2016-09-30 | 2016-10-17 | |
| IRVINE CA SPL T CUSIP 46360TDV2 | Convertible | 25,000 | $25,721,000 | 2016-09-30 | 2016-10-17 | |
| NEW YORK CMTY BANCOR CUSIP 649445103 | United States | Equities | 1,800 | $25,614,000 | 2016-09-30 | 2016-10-17 |
| MARION COUNTY FL CUSIP 56879EFJ3 | Convertible | 25,000 | $25,533,000 | 2016-09-30 | 2016-10-17 | |
| WELLS FARGO & CO PFD CUSIP 949746879 | PFDs, REITs, | 945 | $25,524,000 | 2016-09-30 | 2016-10-17 | |
| MORGAN STANLEY CUSIP 61747YDT9 | Convertible | 25,000 | $25,402,000 | 2016-09-30 | 2016-10-17 | |
| WESLACO TX CUSIP 950868LX5 | Convertible | 25,000 | $25,395,000 | 2016-09-30 | 2016-10-17 | |
| UINV S AL CUSIP 914845MJ8 | Convertible | 25,000 | $25,182,000 | 2016-09-30 | 2016-10-17 | |
| ALLSTATE COR PFD CUSIP 020002408 | PFDs, REITs, | 940 | $25,098,000 | 2016-09-30 | 2016-10-17 | |
| FL DEP OF CHILD/FAM CUSIP 34061MAS5 | Convertible | 25,000 | $25,091,000 | 2016-09-30 | 2016-10-17 | |
| MS DEV BK SPL OBG CUSIP 60534QRG8 | Convertible | 25,000 | $25,081,000 | 2016-09-30 | 2016-10-17 | |
| BINGHAMTON NY SD CUSIP 090473LB3 | Convertible | 25,000 | $25,019,000 | 2016-09-30 | 2016-10-17 | |
| NOVATO CA RDA CUSIP 66988TBB8 | Convertible | 25,000 | $25,019,000 | 2016-09-30 | 2016-10-17 | |
| ANCHORAGE AK CUSIP 033161RA0 | Convertible | 25,000 | $25,003,000 | 2016-09-30 | 2016-10-17 | |
| METRO WA DC ARPT CUSIP 592646RR6 | Convertible | 25,000 | $25,003,000 | 2016-09-30 | 2016-10-17 | |
| CHINA MOBILE LTD (HO CUSIP 16941M109 | Equities | 400 | $24,608,000 | 2016-09-30 | 2016-10-17 | |
| ST JUDE MEDICAL INC CUSIP 790849103 | Equities | 300 | $23,928,000 | 2016-09-30 | 2016-10-17 | |
| NEW YORK MTG PFD CUSIP 649604808 | PFDs, REITs, | 1,000 | $23,810,000 | 2016-09-30 | 2016-10-17 | |
| VODAFONE GROUP PLC CUSIP 92857W209 | Equities | 800 | $23,320,000 | 2016-09-30 | 2016-10-17 | |
| UNILEVER NV CUSIP 904784709 | Equities | 500 | $23,050,000 | 2016-09-30 | 2016-10-17 | |
| ARISTA NETWORKS INC CUSIP 040413106 | United States | Equities | 270 | $22,972,000 | 2016-09-30 | 2016-10-17 |
| EGALET CORP CUSIP 28226B104 | Equities | 3,000 | $22,830,000 | 2016-09-30 | 2016-10-17 | |
| GENERAL ELECTRIC CAP CUSIP 36966R4C7 | Convertible | 19,000 | $22,213,000 | 2016-09-30 | 2016-10-17 | |
| AMER MUNI POWER OH CUSIP 02765UDA9 | Convertible | 20,000 | $22,048,000 | 2016-09-30 | 2016-10-17 | |
| UNIV PL WA CUSIP 91480QDS6 | Convertible | 20,000 | $21,926,000 | 2016-09-30 | 2016-10-17 | |
| WASHINGTON ST CUSIP 93974CGB0 | Convertible | 20,000 | $21,876,000 | 2016-09-30 | 2016-10-17 | |
| DOUGLAS CO SD #1 CUSIP 258887CQ9 | Convertible | 20,000 | $21,854,000 | 2016-09-30 | 2016-10-17 | |
| WHITEWAVE FOODS CO CUSIP 966244105 | Equities | 400 | $21,772,000 | 2016-09-30 | 2016-10-17 | |
| GOLDMAN SACHS GROUP CUSIP 38141E2V0 | Convertible | 20,000 | $21,644,000 | 2016-09-30 | 2016-10-17 | |
| EL PASO CO COP CUSIP 283365JS4 | Convertible | 20,000 | $20,862,000 | 2016-09-30 | 2016-10-17 | |
| FRONTIER COMM CORP CUSIP 35906A108 | Equities | 5,000 | $20,800,000 | 2016-09-30 | 2016-10-17 | |
| BANNING CA FIN AGY CUSIP 066614AN8 | Convertible | 20,000 | $20,562,000 | 2016-09-30 | 2016-10-17 | |
| GENERAL ELECTRIC CAP CUSIP 36962G5H3 | Convertible | 20,000 | $20,016,000 | 2016-09-30 | 2016-10-17 | |
| SPECTRA ENERGY CORP CUSIP 847560109 | Equities | 468 | $20,007,000 | 2016-09-30 | 2016-10-17 | |
| ARIZONA MINING INC CUSIP 040521106 | Equities | 10,000 | $19,772,000 | 2016-09-30 | 2016-10-17 | |
| PROSHS ULTRA SILVER CUSIP 74347W841 | Equities | 400 | $19,244,000 | 2016-09-30 | 2016-10-17 | |
| NEW SENIOR INV GRP I CUSIP 648691103 | Equities | 1,666 | $19,226,000 | 2016-09-30 | 2016-10-17 | |
| AZ ST CTFS PART CUSIP 040588E31 | Convertible | 15,000 | $18,733,000 | 2016-09-30 | 2016-10-17 | |
| CITY OF SAN ANTONIO CUSIP 7962533W0 | Convertible | 15,000 | $18,368,000 | 2016-09-30 | 2016-10-17 | |
| MEMORIAL PROD PTNR L CUSIP 586048100 | PFDs, REITs, | 10,250 | $18,245,000 | 2016-09-30 | 2016-10-17 | |
| AUSTIN TX ISD CUSIP 052430KT1 | Convertible | 15,000 | $18,167,000 | 2016-09-30 | 2016-10-17 | |
| HARRIS CNTY TX CUSIP 414005QD3 | Convertible | 15,000 | $17,891,000 | 2016-09-30 | 2016-10-17 | |
| CORPUS CHRISTI TX CUSIP 2201125R3 | Convertible | 15,000 | $17,881,000 | 2016-09-30 | 2016-10-17 | |
| BENTON CNTY WA SD#1 CUSIP 082887NB2 | Convertible | 15,000 | $17,880,000 | 2016-09-30 | 2016-10-17 | |
| BARRICK GOLD CORP CUSIP 067901108 | Equities | 1,000 | $17,720,000 | 2016-09-30 | 2016-10-17 | |
| MARICOPA AZ SD #4 CUSIP 567137F25 | Convertible | 15,000 | $17,702,000 | 2016-09-30 | 2016-10-17 | |
| WI S HLTH ED FA CUSIP 97710B4W9 | Convertible | 15,000 | $17,672,000 | 2016-09-30 | 2016-10-17 | |
| UNIV CA CUSIP 91412GDY8 | Convertible | 15,000 | $17,558,000 | 2016-09-30 | 2016-10-17 | |
| NOBLE ENERGY INC CUSIP 655044105 | Equities | 490 | $17,513,000 | 2016-09-30 | 2016-10-17 | |
| SEABRIDGE GOLD INC CUSIP 811916105 | Equities | 1,525 | $16,821,000 | 2016-09-30 | 2016-10-17 | |
| ROYAL DUTCH SHELL PL CUSIP 780259206 | Equities | 334 | $16,723,000 | 2016-09-30 | 2016-10-17 | |
| AZ BD REGENTS UNIV CUSIP 040484DC8 | Convertible | 15,000 | $16,608,000 | 2016-09-30 | 2016-10-17 | |
| LONE STAR CLG SYS T CUSIP 542269AM7 | Convertible | 15,000 | $16,601,000 | 2016-09-30 | 2016-10-17 | |
| CA INC CUSIP 12673PAC9 | Convertible | 15,000 | $16,579,000 | 2016-09-30 | 2016-10-17 | |
| HEWLETT-PACKARD CO CUSIP 428236BV4 | Convertible | 15,000 | $16,439,000 | 2016-09-30 | 2016-10-17 | |
| LINKEDIN CORP CUSIP 53578A108 | Equities | 85 | $16,245,000 | 2016-09-30 | 2016-10-17 | |
| TATA MOTORS LTD CUSIP 876568502 | Equities | 400 | $15,992,000 | 2016-09-30 | 2016-10-17 | |
| AMERICAN TOWER CORP CUSIP 029912201 | Equities | 140 | $15,866,000 | 2016-09-30 | 2016-10-17 | |
| EXPEDIA INC CUSIP 30212PAH8 | Convertible | 14,000 | $15,748,000 | 2016-09-30 | 2016-10-17 | |
| GENERAL ELECTRIC CO CUSIP 369604BC6 | Convertible | 15,000 | $15,718,000 | 2016-09-30 | 2016-10-17 | |
| COMMUNICATIONS SALES CUSIP 20341J104 | PFDs, REITs, | 500 | $15,705,000 | 2016-09-30 | 2016-10-17 | |
| DUNKIN BRANDS GROUP CUSIP 265504100 | Equities | 300 | $15,624,000 | 2016-09-30 | 2016-10-17 | |
| SAN MATEO CA CUSIP 799022BY3 | Convertible | 15,000 | $15,607,000 | 2016-09-30 | 2016-10-17 | |
| WAUKEGAN II CUSIP 942860MY0 | Convertible | 15,000 | $15,570,000 | 2016-09-30 | 2016-10-17 | |
| EXPRESS SCRIPTS HLDG CUSIP 302182100 | Equities | 220 | $15,517,000 | 2016-09-30 | 2016-10-17 | |
| INDUSTRY CA PFA TAX CUSIP 45656TCG1 | Convertible | 15,000 | $15,510,000 | 2016-09-30 | 2016-10-17 | |
| FORD MOTOR CREDIT CUSIP 345397VM2 | Convertible | 13,000 | $15,334,000 | 2016-09-30 | 2016-10-17 | |
| ESTERLINE TECH CORP CUSIP 297425100 | Equities | 200 | $15,208,000 | 2016-09-30 | 2016-10-17 | |
| GEN MOTORS FINL CUSIP 37045XAB2 | Convertible | 14,000 | $15,059,000 | 2016-09-30 | 2016-10-17 | |
| PA ECODEV FA WS CUSIP 708692BC1 | United States | Convertible | 15,000 | $15,051,000 | 2016-09-30 | 2016-10-17 |
| COACH INC CUSIP 189754104 | Equities | 400 | $14,624,000 | 2016-09-30 | 2016-10-17 | |
| BLACKROCK CORE BOND CUSIP 09249E104 | Equities | 975 | $13,855,000 | 2016-09-30 | 2016-10-17 | |
| TESLA MOTORS INC CUSIP 88160RAB7 | Convertible | 15,000 | $13,607,000 | 2016-09-30 | 2016-10-17 | |
| INGERSOLL-RAND PLC CUSIP G4766G101 | Equities | 200 | $13,588,000 | 2016-09-30 | 2016-10-17 | |
| MORGAN STANLEY CUSIP 61760LFF7 | Convertible | 13,000 | $12,962,000 | 2016-09-30 | 2016-10-17 | |
| VALE SA CUSIP 91912E109 | Equities | 2,350 | $12,925,000 | 2016-09-30 | 2016-10-17 | |
| GAMCO NATURAL RESOUR CUSIP 36249M106 | Equities | 1,666 | $12,862,000 | 2016-09-30 | 2016-10-17 | |
| TUCSON AZ WTR CUSIP 898797CG8 | Convertible | 10,000 | $12,823,000 | 2016-09-30 | 2016-10-17 | |
| CITRIX SYSTEMS INC CUSIP 177376100 | Equities | 150 | $12,783,000 | 2016-09-30 | 2016-10-17 | |
| NY ST DORM AUTH PER CUSIP 64990EUT2 | United States | Convertible | 10,000 | $12,761,000 | 2016-09-30 | 2016-10-17 |
| AZ BD REGENTS UNIV CUSIP 04048RLZ7 | Convertible | 10,000 | $12,598,000 | 2016-09-30 | 2016-10-17 |
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