0001415889-18-000637.txt : 20180419 0001415889-18-000637.hdr.sgml : 20180419 20180418184851 ACCESSION NUMBER: 0001415889-18-000637 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180419 DATE AS OF CHANGE: 20180418 EFFECTIVENESS DATE: 20180419 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sonora Investment Management, LLC CENTRAL INDEX KEY: 0001418539 IRS NUMBER: 205656392 STATE OF INCORPORATION: AZ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17012 FILM NUMBER: 18762207 BUSINESS ADDRESS: STREET 1: 2343 E BROADWAY BLVD, STE 116 CITY: TUCSON STATE: AZ ZIP: 85719 BUSINESS PHONE: (520) 624-4554 MAIL ADDRESS: STREET 1: 2343 E BROADWAY BLVD, STE 116 CITY: TUCSON STATE: AZ ZIP: 85719 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001418539 XXXXXXXX 03-31-2018 03-31-2018 SONORA INVESTMENT MANAGEMENT, LLC
2343 E BROADWAY BLVD, STE 116 TUCSON AZ 85719
13F HOLDINGS REPORT 028-17012 N
Sara S. Ramos Director of Compliance 520-624-4554 Sara S. Ramos Tucson AZ 04-18-2018 0 1229 628725315 false
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Convertible/ 04048RLZ7 11600 10000 SH SOLE 10000 0 0 Convertible/ 04048RPG5 11755 10000 SH SOLE 10000 0 0 Convertible/ 040506NA1 10677 10000 SH SOLE 10000 0 0 Convertible/ 040507NS0 30726 30000 SH SOLE 0 0 0 Convertible/ 040624AV0 10540 10000 SH SOLE 10000 0 0 Convertible/ 040647DP1 10712 10000 SH SOLE 10000 0 0 Convertible/ 040647DQ9 26780 25000 SH SOLE 0 0 0 Convertible/ 040649KZ7 10712 10000 SH SOLE 10000 0 0 Convertible/ 040654UD5 10951 10000 SH SOLE 10000 0 0 Convertible/ 040654UL7 10987 10000 SH SOLE 10000 0 0 Convertible/ 040654VE2 11193 10000 SH SOLE 10000 0 0 Convertible/ 040688MM2 11065 10000 SH SOLE 10000 0 0 Equities 04269X105 766632 46975 SH SOLE 0 0 0 Equities 04744L106 9150 5000 SH SOLE 5000 0 0 Convertible/ 049164BH8 16850888 14775000 SH SOLE 0 0 0 Convertible/ 052403DR0 21956 20000 SH SOLE 0 0 0 Convertible/ 052404MW7 5837 5000 SH SOLE 5000 0 0 Convertible/ 052430KT1 16836 15000 SH SOLE 0 0 0 Convertible/ 052476Q35 11472 10000 SH SOLE 10000 0 0 Convertible/ 054314DX4 5314 5000 SH SOLE 5000 0 0 Equities 05508R106 11850 500 SH SOLE 500 0 0 Equities 05534B760 113669 2641 SH SOLE 2641 0 0 Convertible/ 05574LPT9 10004 10000 SH SOLE 10000 0 0 PFDs, REITs, 05580M306 32994 1300 SH SOLE 1300 0 0 Equities 05722G100 3693 133 SH SOLE 133 0 0 Convertible/ 059165EG1 18356 20000 SH SOLE 0 0 0 Equities 05945F103 10726 202 SH SOLE 202 0 0 Equities 05964H105 8626 1317 SH SOLE 1317 0 0 PFDs, REITs, 05990K874 20720 800 SH SOLE 800 0 0 PFDs, REITs, 05990K882 7860 300 SH SOLE 300 0 0 Convertible/ 06051GEC9 7375 7000 SH SOLE 7000 0 0 Convertible/ 06051GEM7 72965 67000 SH SOLE 0 0 0 Convertible/ 06406FAB9 9704 10000 SH SOLE 10000 0 0 Convertible/ 06406RAC1 53455 55000 SH SOLE 0 0 0 Equities 06738C786 7310 1000 SH SOLE 1000 0 0 Convertible/ 082887NB2 16637 15000 SH SOLE 0 0 0 Convertible/ 084670BQ0 9861 10000 SH SOLE 10000 0 0 Convertible/ 084670BS6 19411 20000 SH SOLE 0 0 0 Equities 09061G101 48642 600 SH SOLE 600 0 0 Convertible/ 09061GAF8 5649620 5115000 SH SOLE 0 0 0 Convertible/ 09061GAH4 6681214 7100000 SH SOLE 0 0 0 Equities 09062X103 25465 93 SH SOLE 93 0 0 Equities 09247X101 8668 16 SH SOLE 0 0 0 PFDs, REITs, 09253U108 1233864 38619 SH SOLE 0 0 0 Equities 09253W104 118619 8872 SH SOLE 8872 0 0 Equities 09254F100 52059 3700 SH SOLE 3700 0 0 PFDs, REITs, 09627J508 7494 300 SH SOLE 300 0 0 PFDs, REITs, 09627J748 13308 577 SH SOLE 577 0 0 Equities 09776J101 41 1027 SH SOLE 1027 0 0 Equities 10922N103 463 9 SH SOLE 9 0 0 Equities 11132B202 0 100 SH SOLE 100 0 0 Convertible/ 114894RP5 11008 10000 SH SOLE 10000 0 0 Convertible/ 12189TBC7 8221 8000 SH SOLE 8000 0 0 PFDs, REITs, 12542R803 19467 700 SH SOLE 700 0 0 Convertible/ 125509BS7 61001 60000 SH SOLE 0 0 0 Equities 12572Q105 8087 50 SH SOLE 50 0 0 Convertible/ 126349AF6 21236964 19425000 SH SOLE 0 0 0 Equities 12634H101 241 80 SH SOLE 80 0 0 Convertible/ 126408GZ0 50644 50000 SH SOLE 0 0 0 Equities 12663P107 331483 25401 SH SOLE 0 0 0 Convertible/ 126650BJ8 11420 10000 SH SOLE 10000 0 0 Convertible/ 126650BW9 173452 170000 SH SOLE 0 0 0 PFDs, REITs, 12673A108 336000 50000 SH SOLE 0 0 0 Convertible/ 12673PAC9 15556 15000 SH SOLE 0 0 0 Convertible/ 12673PAE5 62067 60000 SH SOLE 0 0 0 Equities 12709P103 15852 148 SH SOLE 148 0 0 Equities 13057Q107 34 2 SH SOLE 2 0 0 Convertible/ 13063A7G3 15823 15000 SH SOLE 0 0 0 Convertible/ 13063BFA5 10624 10000 SH SOLE 10000 0 0 Convertible/ 13063C5U0 11818 10000 SH SOLE 10000 0 0 Convertible/ 13063CLV0 11498 10000 SH SOLE 10000 0 0 Convertible/ 13063CYB0 5639 5000 SH SOLE 5000 0 0 Convertible/ 13066YMY2 5014 5000 SH SOLE 5000 0 0 Convertible/ 130685VT4 30950 30000 SH SOLE 0 0 0 Convertible/ 13177LEH2 53064 50000 SH SOLE 0 0 0 Equities 13321L108 15453 1700 SH SOLE 1700 0 0 Equities 13645T100 40066 227 SH SOLE 227 0 0 Equities 13780R109 316050 35000 SH SOLE 0 0 0 Equities 14040H105 14373 150 SH SOLE 150 0 0 PFDs, REITs, 14040H600 2619 101 SH SOLE 101 0 0 PFDs, REITs, 14040H709 19040 720 SH SOLE 720 0 0 Equities 14149Y108 12536 200 SH SOLE 200 0 0 Convertible/ 14149YBA5 647184 665000 SH SOLE 0 0 0 Convertible/ 149123BV2 10268 10000 SH SOLE 10000 0 0 Convertible/ 14912L4D0 8173 8000 SH SOLE 8000 0 0 Convertible/ 151020AJ3 55784 55000 SH SOLE 0 0 0 Equities 15117F302 5675 5000 SH SOLE 5000 0 0 Equities 15135B101 18702 175 SH SOLE 175 0 0 Equities 15135U109 5312 622 SH SOLE 622 0 0 Convertible/ 16115QAC4 2153724 2135000 SH SOLE 0 0 0 Equities 16117M305 4668 15 SH SOLE 15 0 0 Equities 16387P103 23945 2000 SH SOLE 2000 0 0 Equities 16411R208 25977 486 SH SOLE 486 0 0 Convertible/ 166764BL3 19229 20000 SH SOLE 0 0 0 Equities 16934Q208 459624 26400 SH SOLE 0 0 0 PFDs, REITs, 16934Q307 10548 416 SH SOLE 416 0 0 PFDs, REITs, 16934Q406 10663 418 SH SOLE 418 0 0 Equities 17243V102 75340 2000 SH SOLE 2000 0 0 Equities 17275R102 7158310 166899 SH SOLE 0 0 0 Convertible/ 17275RAE2 1702 1667 SH SOLE 1667 0 0 Convertible/ 17275RBD3 4909 5000 SH SOLE 5000 0 0 Convertible/ 172967GK1 61247 60000 SH SOLE 0 0 0 Convertible/ 18085PLL6 105818 100000 SH SOLE 0 0 0 Convertible/ 185899AA9 53978 50000 SH SOLE 0 0 0 Equities 18683K101 34750 5000 SH SOLE 5000 0 0 Convertible/ 194653JH5 25762 25000 SH SOLE 0 0 0 Equities 20030N101 27678 810 SH SOLE 810 0 0 Convertible/ 20030NBY6 19338 20000 SH SOLE 0 0 0 PFDs, REITs, 20369C106 25740 1000 SH SOLE 1000 0 0 Equities 20449X401 1458 70 SH SOLE 70 0 0 Convertible/ 205363AN4 56374 55000 SH SOLE 0 0 0 Equities 20605P101 66145 440 SH SOLE 440 0 0 Equities 20825C104 1739894 29345 SH SOLE 0 0 0 Equities 21036P108 136752 600 SH SOLE 600 0 0 Equities 21077F100 185 10 SH SOLE 10 0 0 Convertible/ 21226PKD9 27079 25000 SH SOLE 0 0 0 PFDs, REITs, 21870U304 13739 550 SH SOLE 550 0 0 Convertible/ 21925YAB9 10747266 10770000 SH SOLE 0 0 0 Convertible/ 219350AZ8 50216 50000 SH SOLE 0 0 0 Convertible/ 219350BB0 1560638 1590000 SH SOLE 0 0 0 PFDs, REITs, 22002T108 51660 2000 SH SOLE 2000 0 0 Convertible/ 2201125R3 16643 15000 SH SOLE 0 0 0 Equities 22160K105 3553872 18860 SH SOLE 0 0 0 Equities 22208A101 0 2000 SH SOLE 2000 0 0 Equities 22544F103 239400 90000 SH SOLE 0 0 0 PFDs, REITs, 22758A105 51400 2500 SH SOLE 2500 0 0 Equities 23129V109 98400 1000 SH SOLE 1000 0 0 Equities 23131C107 91860 1178 SH SOLE 1178 0 0 Equities 23918K108 15628 237 SH SOLE 237 0 0 Convertible/ 246381CC9 17190 15000 SH SOLE 0 0 0 Convertible/ 246381FV4 17050 15000 SH SOLE 0 0 0 Equities 24703L103 8126 111 SH SOLE 111 0 0 Convertible/ 249174SM6 104583 100000 SH SOLE 0 0 0 Convertible/ 24919PJK1 101388 100000 SH SOLE 0 0 0 Equities 25243Q205 49699 367 SH SOLE 367 0 0 Equities 25375L206 40 100 SH SOLE 100 0 0 Equities 25659T107 4004 63 SH SOLE 63 0 0 Equities 25746U109 1281 19 SH SOLE 19 0 0 Equities 25787G100 1717 100 SH SOLE 100 0 0 Convertible/ 260003AC2 167129 135000 SH SOLE 0 0 0 Convertible/ 260543CF8 10254 10000 SH SOLE 10000 0 0 Equities 26078J100 3557120 55833 SH SOLE 0 0 0 Convertible/ 262061NX8 10875 10000 SH SOLE 10000 0 0 Equities 26441C105 75611 976 SH SOLE 976 0 0 Equities 26441C303 1857 73 SH SOLE 73 0 0 Equities 26841Y103 0 300 SH SOLE 300 0 0 Equities 26875P101 10527 100 SH SOLE 100 0 0 PFDs, REITs, 26884U109 4764 86 SH SOLE 86 0 0 PFDs, REITs, 27616P103 20400 1000 SH SOLE 1000 0 0 Convertible/ 278062AC8 5852 6000 SH SOLE 6000 0 0 Equities 27828N102 4859 420 SH SOLE 420 0 0 Equities 27828Y108 13833 929 SH SOLE 929 0 0 Equities 27829M103 77136 8035 SH SOLE 8035 0 0 Convertible/ 27875TAA9 2680186 2614000 SH SOLE 0 0 0 Convertible/ 278865AL4 50136 48000 SH SOLE 0 0 0 Equities 27922Y202 0 833 SH SOLE 833 0 0 Convertible/ 280659SL8 21194 20000 SH SOLE 0 0 0 Equities 28106W103 9945 300 SH SOLE 300 0 0 Equities 28226B104 1260 2000 SH SOLE 2000 0 0 Equities 29250N105 14476 460 SH SOLE 460 0 0 PFDs, REITs, 29250R106 3856 400 SH SOLE 400 0 0 Convertible/ 29270CWA9 10085 10000 SH SOLE 10000 0 0 PFDs, REITs, 29273R109 74612 4600 SH SOLE 4600 0 0 PFDs, REITs, 29273V100 69629 4900 SH SOLE 4900 0 0 Equities 29364D761 657 27 SH SOLE 27 0 0 Equities 29364G103 4884 62 SH SOLE 62 0 0 Convertible/ 29404KAA4 10120835 9215000 SH SOLE 0 0 0 PFDs, REITs, 29476L107 14357 233 SH SOLE 233 0 0 Equities 30040W108 20917 355 SH SOLE 355 0 0 Equities 30063P105 68561 1700 SH SOLE 1700 0 0 Convertible/ 30063PAA3 3087162 3475000 SH SOLE 0 0 0 Equities 30161Q104 138659 6260 SH SOLE 6260 0 0 Convertible/ 30212PAB1 7106 7000 SH SOLE 7000 0 0 Convertible/ 30212PAH8 7406 7000 SH SOLE 7000 0 0 Equities 30212W100 209385 18966 SH SOLE 0 0 0 PFDs, REITs, 30225T102 68431 783 SH SOLE 783 0 0 Equities 30231G102 4689018 62847 SH SOLE 0 0 0 Equities 30303M102 134224 840 SH SOLE 840 0 0 Equities 30304R407 8568 250 SH SOLE 250 0 0 Convertible/ 31200CAM8 5505 5000 SH SOLE 5000 0 0 Convertible/ 3135G0F73 21480 22000 SH SOLE 0 0 0 Convertible/ 3137EACA5 21317 21000 SH SOLE 0 0 0 Equities 31428X106 158713 661 SH SOLE 661 0 0 Equities 31502A105 1894 250 SH SOLE 250 0 0 Convertible/ 316773CP3 61473 60000 SH SOLE 0 0 0 Equities 33734X143 37476 540 SH SOLE 540 0 0 Unit Trusts 33735N730 26070 30 SH SOLE 30 0 0 Convertible/ 337915AA0 56379 55000 SH SOLE 0 0 0 Equities 33812L102 1530 300 SH SOLE 300 0 0 Convertible/ 33938EAS6 2517683 2399000 SH SOLE 0 0 0 Convertible/ 345277AE7 20549 15000 SH SOLE 0 0 0 Convertible/ 345370CR9 14789 15000 SH SOLE 0 0 0 Convertible/ 345397VM2 14066 13000 SH SOLE 0 0 0 Convertible/ 347753CR4 106138 100000 SH SOLE 0 0 0 Equities 34959J108 23256 300 SH SOLE 300 0 0 Equities 35086T109 1335 58 SH SOLE 58 0 0 Equities 35671D857 25524 1453 SH SOLE 1453 0 0 Convertible/ 358240FC8 51846 40000 SH SOLE 0 0 0 Equities 35906A306 7 1 SH SOLE 1 0 0 Equities 35952H106 87 50 SH SOLE 50 0 0 Equities 36164V305 529 10 SH SOLE 10 0 0 Convertible/ 362320BA0 12529 10000 SH SOLE 10000 0 0 Convertible/ 364760AK4 16520156 15785000 SH SOLE 0 0 0 Convertible/ 36962G4D3 9369 9000 SH SOLE 9000 0 0 Equities 37045V126 1066 57 SH SOLE 57 0 0 Convertible/ 37045VAE0 62668 60000 SH SOLE 0 0 0 Convertible/ 37045XAB2 14097 14000 SH SOLE 0 0 0 PFDs, REITs, 370ESC9S6 0 15000 SH SOLE 0 0 0 PFDs, REITs, 370ESCBW4 0 15000 SH SOLE 0 0 0 Equities 37247D106 2830 1000 SH SOLE 1000 0 0 Convertible/ 373334KH3 19327 20000 SH SOLE 0 0 0 Convertible/ 373384PL4 26043 25000 SH SOLE 0 0 0 Equities 37733W105 8595 220 SH SOLE 220 0 0 PFDs, REITs, 37954A204 13900 2000 SH SOLE 2000 0 0 Equities 38045R107 260 20 SH SOLE 20 0 0 Equities 38079K101 0 4000 SH SOLE 4000 0 0 Convertible/ 38141E2V0 21747 20000 SH SOLE 0 0 0 Convertible/ 38141ED48 27385 25000 SH SOLE 0 0 0 Convertible/ 38141EM63 42673 40000 SH SOLE 0 0 0 Equities 38141G104 257401 1022 SH SOLE 1022 0 0 Convertible/ 38141GGS7 54056 50000 SH SOLE 0 0 0 Convertible/ 38143VAA7 59500 50000 SH SOLE 0 0 0 PFDs, REITs, 38145G308 246514 9257 SH SOLE 9257 0 0 Convertible/ 38145GAF7 5014883 4960000 SH SOLE 0 0 0 PFDs, REITs, 38148B108 5078 178 SH SOLE 178 0 0 PFDs, REITs, 38148B504 1045712 38990 SH SOLE 0 0 0 Convertible/ 385493EU1 15039 15000 SH SOLE 0 0 0 PFDs, REITs, 38741L107 92789 5610 SH SOLE 5610 0 0 Convertible/ 40171VAA8 4197672 4285000 SH SOLE 0 0 0 Convertible/ 402892CV3 86936 75000 SH SOLE 0 0 0 PFDs, REITs, 40414L109 84627 3643 SH SOLE 3643 0 0 Equities 40434H104 12670 3500 SH SOLE 3500 0 0 Equities 40449J103 1760 200 SH SOLE 200 0 0 Convertible/ 414005QD3 16693 15000 SH SOLE 0 0 0 Convertible/ 416518AB4 53276 50000 SH SOLE 0 0 0 PFDs, REITs, 42217K106 11321 208 SH SOLE 208 0 0 Convertible/ 428236BQ5 25918 25000 SH SOLE 0 0 0 Convertible/ 428236BV4 15759 15000 SH SOLE 0 0 0 Convertible/ 42824CAN9 56956 55000 SH SOLE 0 0 0 Convertible/ 43739QAB6 8648 10000 SH SOLE 10000 0 0 PFDs, REITs, 44106M102 1849693 72995 SH SOLE 0 0 0 Convertible/ 44106MAQ5 270271 260000 SH SOLE 0 0 0 Convertible/ 448055AF0 7474 7000 SH SOLE 7000 0 0 Convertible/ 44835EDE5 27448 25000 SH SOLE 0 0 0 Convertible/ 448579AD4 2242542 2125000 SH SOLE 0 0 0 Equities 44980X109 481930 2065 SH SOLE 2065 0 0 PFDs, REITs, 45378A106 18360 2000 SH SOLE 2000 0 0 Equities 45378C102 0 62 SH SOLE 62 0 0 Convertible/ 45385LHC0 49874 50000 SH SOLE 0 0 0 Convertible/ 455057XG9 10286 10000 SH SOLE 10000 0 0 Convertible/ 45687AAJ1 25891 25000 SH SOLE 0 0 0 Convertible/ 458140AU4 18785 20000 SH SOLE 0 0 0 PFDs, REITs, 45822P204 7009 267 SH SOLE 267 0 0 Equities 45824V209 3624 600 SH SOLE 600 0 0 Equities 45865V100 10153 140 SH SOLE 140 0 0 Convertible/ 460690BH2 50649 50000 SH SOLE 0 0 0 Equities 46122T102 4599 300 SH SOLE 300 0 0 PFDs, REITs, 46131B100 378624 23115 SH SOLE 0 0 0 PFDs, REITs, 46131B209 4972 200 SH SOLE 200 0 0 PFDs, REITs, 46131B407 3777 150 SH SOLE 150 0 0 Equities 46131M106 181198 14828 SH SOLE 0 0 0 Equities 46187W107 73695 3228 SH SOLE 3228 0 0 Convertible/ 46360TDV2 24465 25000 SH SOLE 0 0 0 Convertible/ 463831KM8 10319 10000 SH SOLE 10000 0 0 Equities 46428Q109 20033 1300 SH SOLE 1300 0 0 Convertible/ 464337AJ3 17094989 17307000 SH SOLE 0 0 0 Equities 46434V704 3946 144 SH SOLE 144 0 0 Convertible/ 46613C2F1 11224 10000 SH SOLE 10000 0 0 Equities 46625H100 985172 8959 SH SOLE 8959 0 0 Convertible/ 46625HJY7 59857 60000 SH SOLE 0 0 0 Convertible/ 46625HKK5 123300 120000 SH SOLE 0 0 0 PFDs, REITs, 46637G124 5723 227 SH SOLE 227 0 0 Equities 47215P106 16196 400 SH SOLE 400 0 0 Convertible/ 472319AK8 8006 8000 SH SOLE 8000 0 0 Convertible/ 478375AG3 55032 55000 SH SOLE 0 0 0 PFDs, REITs, 48127A161 4052 155 SH SOLE 155 0 0 PFDs, REITs, 48127R461 8715 333 SH SOLE 333 0 0 PFDs, REITs, 48127X542 1206683 45725 SH SOLE 0 0 0 Convertible/ 48203RAG9 7229023 7075000 SH SOLE 0 0 0 Convertible/ 48203RAH7 700253 700000 SH SOLE 0 0 0 Equities 48241F104 697 16 SH SOLE 16 0 0 Convertible/ 482480AC4 759017 755000 SH SOLE 0 0 0 Equities 48576U106 16104 1200 SH SOLE 1200 0 0 Equities 48660Q102 1696 109 SH SOLE 109 0 0 Convertible/ 488764TW1 15446 15000 SH SOLE 0 0 0 Equities 49338L103 6601 126 SH SOLE 126 0 0 Convertible/ 494368AS2 100003 82000 SH SOLE 0 0 0 Equities 49446R109 5846 406 SH SOLE 406 0 0 PFDs, REITs, 49446R745 1071 46 SH SOLE 46 0 0 Equities 49456B101 274296 18214 SH SOLE 0 0 0 PFDs, REITs, 49456B200 3109 100 SH SOLE 100 0 0 Convertible/ 498531FE7 11395 10000 SH SOLE 10000 0 0 Convertible/ 50077LAJ5 54903 55000 SH SOLE 0 0 0 Equities 50218P107 1745 100 SH SOLE 100 0 0 Equities 50540R409 51275 317 SH SOLE 317 0 0 PFDs, REITs, 51508J108 140409 8433 SH SOLE 8433 0 0 PFDs, REITs, 51508J306 7181 300 SH SOLE 300 0 0 Equities 524ESC100 0 1000 SH SOLE 1000 0 0 PFDs, REITs, 525ESC711 0 20092 SH SOLE 0 0 0 Convertible/ 525ESCGU7 800 20000 SH SOLE 0 0 0 Equities 52886N307 2100 2000 SH SOLE 2000 0 0 Convertible/ 530715AJ0 18275 17000 SH SOLE 0 0 0 Equities 53071M104 3524 140 SH SOLE 140 0 0 Convertible/ 532716AS6 8893125 8370000 SH SOLE 0 0 0 Convertible/ 532716AT4 7655313 7205000 SH SOLE 0 0 0 Convertible/ 538034AJ8 4387626 3460000 SH SOLE 0 0 0 Convertible/ 539830BF5 465531 470000 SH SOLE 0 0 0 Equities 54142L109 5778 50 SH SOLE 50 0 0 Convertible/ 544152AA9 26380 25000 SH SOLE 0 0 0 Convertible/ 544495WB6 54672 50000 SH SOLE 0 0 0 Convertible/ 544525RX8 5647 5000 SH SOLE 5000 0 0 Equities 54755T100 1340 1550 SH SOLE 1550 0 0 Convertible/ 54811GZS2 11501 10000 SH SOLE 10000 0 0 Convertible/ 548661AH0 708096 570000 SH SOLE 0 0 0 Equities 55024U109 64 1 SH SOLE 1 0 0 Equities 55068R202 37320 600 SH SOLE 600 0 0 Convertible/ 552953BW0 250500 240000 SH SOLE 0 0 0 PFDs, REITs, 55303A105 5132093 193372 SH SOLE 0 0 0 Equities 55607X108 8863 240 SH SOLE 240 0 0 Convertible/ 55608BAA3 1766748 1790000 SH SOLE 0 0 0 Convertible/ 55608BAB1 5551831 6260000 SH SOLE 0 0 0 Equities 55616P104 3161 106 SH SOLE 106 0 0 Convertible/ 564759PS1 2996 3000 SH SOLE 3000 0 0 Equities 56501R106 18580 1000 SH SOLE 1000 0 0 Equities 56585A102 392791 5373 SH SOLE 5373 0 0 Convertible/ 566795LV0 10997 10000 SH SOLE 10000 0 0 Convertible/ 567137F25 16471 15000 SH SOLE 0 0 0 Convertible/ 567184KZ8 11568 10000 SH SOLE 10000 0 0 Equities 57060U878 123960 4000 SH SOLE 4000 0 0 Convertible/ 571903AK9 1233083 1245000 SH SOLE 0 0 0 Convertible/ 574193LT3 21745 20000 SH SOLE 0 0 0 Convertible/ 574599BN5 4766 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