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.
- WIRECARD AG BERLIN O: Country of operation —; Class Equities; Shares 100; Value $5,200,000.
- WELLS FARGO BK NA: Country of operation —; Class Convertible; Shares 5,000; Value $5,185,000.
- AARONS INC: Country of operation —; Class Equities; Shares 200; Value $5,084,000.
- TN HSG DEV AGCY: Country of operation —; Class Convertible; Shares 5,000; Value $5,082,000.
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 |
|---|---|---|---|---|---|---|
| WIRECARD AG BERLIN O CUSIP D22359133 | Equities | 100 | $5,200,000 | 2016-09-30 | 2016-10-17 | |
| WELLS FARGO BK NA CUSIP 94974BFR6 | Convertible | 5,000 | $5,185,000 | 2016-09-30 | 2016-10-17 | |
| AARONS INC CUSIP 002535201 | Equities | 200 | $5,084,000 | 2016-09-30 | 2016-10-17 | |
| TN HSG DEV AGCY CUSIP 880461FM5 | Convertible | 5,000 | $5,082,000 | 2016-09-30 | 2016-10-17 | |
| JP MORGAN CHASE & CUSIP 073902PN2 | Convertible | 5,000 | $5,064,000 | 2016-09-30 | 2016-10-17 | |
| ANTARES PHARMA INC CUSIP 036642106 | Equities | 3,000 | $5,040,000 | 2016-09-30 | 2016-10-17 | |
| GOLDCORP INC CUSIP 380956409 | Equities | 300 | $4,956,000 | 2016-09-30 | 2016-10-17 | |
| INTERCONTINENTAL EXC CUSIP 45865V100 | Equities | 18 | $4,848,000 | 2016-09-30 | 2016-10-17 | |
| GENMARK DIAGNOSTICS CUSIP 372309104 | Equities | 400 | $4,720,000 | 2016-09-30 | 2016-10-17 | |
| OASIS PETRO INC CUSIP 674215108 | Equities | 400 | $4,588,000 | 2016-09-30 | 2016-10-17 | |
| FITBIT INC CUSIP 33812L102 | Equities | 300 | $4,452,000 | 2016-09-30 | 2016-10-17 | |
| AMERISOURCEBERGEN CO CUSIP 03073E108 | Equities | 55 | $4,443,000 | 2016-09-30 | 2016-10-17 | |
| YAHOO! INC CUSIP 984332106 | Equities | 100 | $4,310,000 | 2016-09-30 | 2016-10-17 | |
| OCCIDENTAL PETRO COR CUSIP 674599015 | Equities | 59 | $4,302,000 | 2016-09-30 | 2016-10-17 | |
| ATHERSYS INC CUSIP 04744L106 | Equities | 2,000 | $4,260,000 | 2016-09-30 | 2016-10-17 | |
| ONEOK PARTNERS CUSIP 68268N103 | PFDs, REITs, | 106 | $4,235,000 | 2016-09-30 | 2016-10-17 | |
| AT&T INC CUSIP 00206RAJ1 | Convertible | 4,000 | $4,213,000 | 2016-09-30 | 2016-10-17 | |
| BANCO BILBAO VIZCAYA CUSIP 00709P108 | Equities | 633 | $3,773,000 | 2016-09-30 | 2016-10-17 | |
| PRAXAIR INC CUSIP 74005P104 | Equities | 30 | $3,625,000 | 2016-09-30 | 2016-10-17 | |
| ISORAY INC CUSIP 46489V104 | United States | Equities | 5,000 | $3,600,000 | 2016-09-30 | 2016-10-17 |
| POWERSHARES QQQ CUSIP 73935A104 | Equities | 30 | $3,562,000 | 2016-09-30 | 2016-10-17 | |
| MANITOWOC FOODSERVIC CUSIP 563568104 | Equities | 201 | $3,260,000 | 2016-09-30 | 2016-10-17 | |
| CITIGROUP INC CUSIP 172967EH0 | Convertible | 3,000 | $3,113,000 | 2016-09-30 | 2016-10-17 | |
| BUNGE LTD CUSIP G16962105 | United States | Equities | 52 | $3,080,000 | 2016-09-30 | 2016-10-17 |
| FIRST HORIZON NAT CUSIP 320517AB1 | Convertible | 3,000 | $3,062,000 | 2016-09-30 | 2016-10-17 | |
| PNC FINL GP CUSIP 693475832 | PFDs, REITs, | 120 | $3,061,000 | 2016-09-30 | 2016-10-17 | |
| PS BUSINESS PARKS IN CUSIP 69360J669 | PFDs, REITs, | 114 | $2,940,000 | 2016-09-30 | 2016-10-17 | |
| NAVIOS MARITIME ACQ CUSIP Y62159101 | Equities | 2,120 | $2,862,000 | 2016-09-30 | 2016-10-17 | |
| WHOLE FOODS MARKET I CUSIP 966837106 | Equities | 100 | $2,835,000 | 2016-09-30 | 2016-10-17 | |
| HABIT RESTAURANTS IN CUSIP 40449J103 | Equities | 200 | $2,800,000 | 2016-09-30 | 2016-10-17 | |
| MARVELL TECH GRP LTD CUSIP G5876H105 | Equities | 210 | $2,787,000 | 2016-09-30 | 2016-10-17 | |
| APACHE CORP CUSIP 037411105 | Equities | 43 | $2,746,000 | 2016-09-30 | 2016-10-17 | |
| STERICYCLE INC CUSIP 858912108 | United States | Equities | 34 | $2,725,000 | 2016-09-30 | 2016-10-17 |
| LOWELL COPPER LTD CUSIP 54755T100 | Equities | 10,000 | $2,612,000 | 2016-09-30 | 2016-10-17 | |
| CPI CARD GROUP INC CUSIP 12634H101 | Equities | 400 | $2,416,000 | 2016-09-30 | 2016-10-17 | |
| BB&T CORP CUSIP 054937107 | Equities | 64 | $2,414,000 | 2016-09-30 | 2016-10-17 | |
| YELLOW MEDIA INC 22 CUSIP 985572114 | Equities | 827 | $2,396,000 | 2016-09-30 | 2016-10-17 | |
| AMERICA MOVIL SAB DE CUSIP 02364W105 | Equities | 200 | $2,288,000 | 2016-09-30 | 2016-10-17 | |
| DEVON ENERGY COR CUSIP 25179MAV5 | United States | Convertible | 2,000 | $2,269,000 | 2016-09-30 | 2016-10-17 |
| PAPA MURPHY'S HLDG I CUSIP 698814100 | Equities | 350 | $2,258,000 | 2016-09-30 | 2016-10-17 | |
| CEL-SCI CORP CUSIP 150837508 | Equities | 7,223 | $2,203,000 | 2016-09-30 | 2016-10-17 | |
| YAMANA GOLD INC CUSIP 98462Y100 | Equities | 500 | $2,155,000 | 2016-09-30 | 2016-10-17 | |
| KAYNE ANDERSON ENERG CUSIP 48660Q102 | Equities | 109 | $2,067,000 | 2016-09-30 | 2016-10-17 | |
| WEIGHT WATCHERS INTL CUSIP 948626106 | Equities | 200 | $2,064,000 | 2016-09-30 | 2016-10-17 | |
| ARCELOR MITTAL NY NE CUSIP 03938L104 | Equities | 312 | $1,884,000 | 2016-09-30 | 2016-10-17 | |
| CISCO SYSTEMS INC CUSIP 17275RAE2 | Convertible | 1,667 | $1,807,000 | 2016-09-30 | 2016-10-17 | |
| PEPSICO INC CUSIP 713448BH0 | Convertible | 1,667 | $1,771,000 | 2016-09-30 | 2016-10-17 | |
| IBM CORP CUSIP 459200GJ4 | Convertible | 1,666 | $1,739,000 | 2016-09-30 | 2016-10-17 | |
| TWITTER INC CUSIP 90184L102 | Equities | 75 | $1,729,000 | 2016-09-30 | 2016-10-17 | |
| MARATHON OIL CORP CUSIP 565849106 | United States | Equities | 100 | $1,581,000 | 2016-09-30 | 2016-10-17 |
| VALEANT PHARMA INTL CUSIP 91911X104 | Equities | 60 | $1,473,000 | 2016-09-30 | 2016-10-17 | |
| PANDORA MEDIA INC CUSIP 698354107 | Equities | 100 | $1,433,000 | 2016-09-30 | 2016-10-17 | |
| LEHMAN BROS HLDGS CUSIP 525ESCGU7 | Convertible | 20,000 | $1,400,000 | 2016-09-30 | 2016-10-17 | |
| ANADARKO PETROLEUM C CUSIP 032511107 | Equities | 21 | $1,331,000 | 2016-09-30 | 2016-10-17 | |
| FIREEYE INC CUSIP 31816Q101 | Equities | 88 | $1,296,000 | 2016-09-30 | 2016-10-17 | |
| SIRIUS XM HLDG INC CUSIP 82966U103 | Equities | 300 | $1,251,000 | 2016-09-30 | 2016-10-17 | |
| COMMUNITY HEALT CUSIP 12543DAR1 | Convertible | 1,000 | $1,006,000 | 2016-09-30 | 2016-10-17 | |
| OSIRIS THERAPEUTICS CUSIP 68827R108 | Equities | 200 | $992,000 | 2016-09-30 | 2016-10-17 | |
| MANITOWOC COMPANY IN CUSIP 563571108 | Equities | 202 | $967,000 | 2016-09-30 | 2016-10-17 | |
| CHARLES & COLVARD LT CUSIP 159765106 | Equities | 800 | $928,000 | 2016-09-30 | 2016-10-17 | |
| GOLDEN OCEAN GRP LTD CUSIP G39637106 | Equities | 200 | $810,000 | 2016-09-30 | 2016-10-17 | |
| BOJANGLES' INC CUSIP 097488100 | Equities | 50 | $798,000 | 2016-09-30 | 2016-10-17 | |
| GENERAL MOTORS CO, C CUSIP 37045V126 | Equities | 57 | $796,000 | 2016-09-30 | 2016-10-17 | |
| MYLAN NV CUSIP N59465109 | Equities | 20 | $762,000 | 2016-09-30 | 2016-10-17 | |
| ABAKAN INC CUSIP 00258J107 | Equities | 98,700 | $691,000 | 2016-09-30 | 2016-10-17 | |
| REGULUS THERAPEUTICS CUSIP 75915K101 | Equities | 200 | $660,000 | 2016-09-30 | 2016-10-17 | |
| AURICO METALS INC CUSIP 05157J108 | Equities | 520 | $433,000 | 2016-09-30 | 2016-10-17 | |
| SANOFI 20RTSF CUSIP 80105N113 | Equities | 1,248 | $337,000 | 2016-09-30 | 2016-10-17 | |
| POWERSHARES DB OIL E CUSIP 73936B507 | Equities | 34 | $302,000 | 2016-09-30 | 2016-10-17 | |
| PEABODY ENERGY CORP CUSIP 704549104 | Equities | 193 | $299,000 | 2016-09-30 | 2016-10-17 | |
| SPECTRA7 MICROSYSTEM CUSIP 84761T109 | Equities | 1,000 | $293,000 | 2016-09-30 | 2016-10-17 | |
| FUELCELL ENERGY INC CUSIP 35952H106 | Equities | 50 | $271,000 | 2016-09-30 | 2016-10-17 | |
| POWERSHARES CEF INC CUSIP 73936Q843 | Equities | 10 | $228,000 | 2016-09-30 | 2016-10-17 | |
| SOLARCITY CORP CUSIP 83416T100 | Equities | 9 | $176,000 | 2016-09-30 | 2016-10-17 | |
| MOTORS LIQUIDATION C CUSIP 62010U101 | Equities | 15 | $150,000 | 2016-09-30 | 2016-10-17 | |
| CAPSTONE THERAPEUTIC CUSIP 14068E113 | Equities | 2,000 | $120,000 | 2016-09-30 | 2016-10-17 | |
| OCLARO INC CUSIP 67555N107 | Equities | 14 | $120,000 | 2016-09-30 | 2016-10-17 | |
| CNO FINL GROUP INC CUSIP 208464883 | Equities | 7 | $107,000 | 2016-09-30 | 2016-10-17 | |
| GOL LINHAS AEREAS IN CUSIP 38045R107 | Equities | 4 | $76,000 | 2016-09-30 | 2016-10-17 | |
| TELEFONICA BRASIL SA CUSIP 87929A102 | Equities | 3 | $43,000 | 2016-09-30 | 2016-10-17 | |
| ARCH COAL INC CUSIP 039380100 | Equities | 200 | $37,000 | 2016-09-30 | 2016-10-17 | |
| LEHMAN BRO HLDG PFD CUSIP 5252E204 | PFDs, REITs, | 600 | $36,000 | 2016-09-30 | 2016-10-17 | |
| CALIFORNIA RES CORP CUSIP 13057Q107 | Equities | 2 | $25,000 | 2016-09-30 | 2016-10-17 | |
| E DIGITAL CORP CUSIP 26841Y103 | Equities | 300 | $22,000 | 2016-09-30 | 2016-10-17 | |
| HERITAGE GLOBAL INC CUSIP 42727E107 | Equities | 50 | $22,000 | 2016-09-30 | 2016-10-17 | |
| APTOSE BIOSCIENCES I CUSIP 03835T200 | Equities | 8 | $18,000 | 2016-09-30 | 2016-10-17 | |
| NORDIC AMER OFFSHORE CUSIP Y6366T112 | Equities | 4 | $15,000 | 2016-09-30 | 2016-10-17 | |
| PHARMOS CORP CUSIP 717139307 | Equities | 1,000 | $12,000 | 2016-09-30 | 2016-10-17 | |
| POWERSHARES AEROSPAC CUSIP 73935X690 | Equities | 0 | $11,000 | 2016-09-30 | 2016-10-17 | |
| LEADIS TECH INC CUSIP 52171N103 | Equities | 2,500 | $8,000 | 2016-09-30 | 2016-10-17 | |
| NA PALLADIUM LTD CUSIP 65704X109 | Equities | 1 | $4,000 | 2016-09-30 | 2016-10-17 | |
| CLENERGEN CORP CUSIP 185635109 | Equities | 10,000 | $3,000 | 2016-09-30 | 2016-10-17 | |
| BRITANNIA MINING INC CUSIP 11040Y104 | Equities | 945 | $2,000 | 2016-09-30 | 2016-10-17 | |
| TEL OFFSHORE TRUST U CUSIP 872382106 | PFDs, REITs, | 7 | $2,000 | 2016-09-30 | 2016-10-17 | |
| KINDER MORGAN INC 17 CUSIP 49456B119 | Equities | 57 | $1,000 | 2016-09-30 | 2016-10-17 | |
| PACIFIC BLUE ENERGY CUSIP 69404A104 | Equities | 1,000 | $1,000 | 2016-09-30 | 2016-10-17 | |
| SPORTSEND INC CUSIP 84920D102 | Equities | 50 | $0 | 2016-09-30 | 2016-10-17 | |
| USAS DIGITAL INC CUSIP 90341K104 | Equities | 162 | $0 | 2016-09-30 | 2016-10-17 | |
| USA PERFORMANCE PROD CUSIP 90341L102 | Equities | 40 | $0 | 2016-09-30 | 2016-10-17 | |
| VIE FINCL GRP CUSIP 92660P300 | Equities | 6 | $0 | 2016-09-30 | 2016-10-17 |
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