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
INFORMATION TABLE
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form13f-1524091719_infotable.xml
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Equities
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Equities
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Equities
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Equities
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PFDs, REITs,
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Equities
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PFDs, REITs,
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SH
SOLE
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PFDs, REITs,
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SOLE
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PFDs, REITs,
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SOLE
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PFDs, REITs,
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SOLE
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PFDs, REITs,
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Equities
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PFDs, REITs,
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Equities
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Equities
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SOLE
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PFDs, REITs,
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SOLE
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PFDs, REITs,
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PFDs, REITs,
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Equities
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PFDs, REITs,
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PFDs, REITs,
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SOLE
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Equities
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SOLE
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Equities
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Equities
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Equities
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SH
SOLE
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SOLE
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Equities
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SH
SOLE
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SOLE
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Equities
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Equities
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SOLE
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Equities
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SOLE
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Equities
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SOLE
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0
Equities
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SH
SOLE
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0
PFDs, REITs,
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SH
SOLE
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0
Equities
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SH
SOLE
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0
0
Equities
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SOLE
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Equities
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SH
SOLE
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Equities
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SH
SOLE
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0
Equities
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SH
SOLE
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0
PFDs, REITs,
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500
SH
SOLE
500
0
0
Equities
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SH
SOLE
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0
0
Equities
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113
SH
SOLE
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0
0
PFDs, REITs,
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SH
SOLE
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0
0
Equities
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350
SH
SOLE
350
0
0
Equities
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50
SH
SOLE
50
0
0
Equities
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929
SH
SOLE
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0
0
PFDs, REITs,
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300
SH
SOLE
300
0
0
Equities
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SH
SOLE
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0
0
Equities
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85
SH
SOLE
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0
0
Equities
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14670
SH
SOLE
0
0
0
PFDs, REITs,
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192
SH
SOLE
192
0
0
Equities
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SH
SOLE
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0
0
Equities
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SH
SOLE
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0
Equities
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95
SH
SOLE
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0
0
Equities
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400
SH
SOLE
400
0
0
Equities
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148
SH
SOLE
148
0
0
Equities
375558103
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589
SH
SOLE
589
0
0
PFDs, REITs,
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900
SH
SOLE
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0
0
PFDs, REITs,
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550
SH
SOLE
550
0
0
PFDs, REITs,
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48881
SH
SOLE
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0
0
PFDs, REITs,
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600
SH
SOLE
600
0
0
Equities
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2764
200
SH
SOLE
200
0
0
Equities
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775
SH
SOLE
775
0
0
PFDs, REITs,
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1500
SH
SOLE
1500
0
0
Equities
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3150
SH
SOLE
3150
0
0
Equities
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165
SH
SOLE
165
0
0
Equities
406216101
4956
106
SH
SOLE
106
0
0
PFDs, REITs,
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12546
500
SH
SOLE
500
0
0
Equities
412822108
38592
900
SH
SOLE
900
0
0
PFDs, REITs,
416518504
3052
104
SH
SOLE
104
0
0
Equities
418056107
2529
30
SH
SOLE
30
0
0
Equities
419870100
17190
500
SH
SOLE
500
0
0
PFDs, REITs,
421946104
615301
22205
SH
SOLE
0
0
0
Equities
423452101
216986
3260
SH
SOLE
3260
0
0
PFDs, REITs,
427096862
4095
162
SH
SOLE
162
0
0
Equities
427866108
2177
22
SH
SOLE
22
0
0
Equities
428236103
4099
187
SH
SOLE
187
0
0
PFDs, REITs,
431284108
13015
297
SH
SOLE
297
0
0
Equities
436440101
37360
1000
SH
SOLE
1000
0
0
Equities
437076102
5504150
30881
SH
SOLE
0
0
0
Equities
438516106
324136
2243
SH
SOLE
2243
0
0
Equities
444859102
140329
522
SH
SOLE
522
0
0
Equities
446413106
3093
12
SH
SOLE
12
0
0
Equities
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SH
SOLE
0
0
0
Equities
448954206
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13
SH
SOLE
13
0
0
Equities
452308109
23499
150
SH
SOLE
150
0
0
PFDs, REITs,
456237106
17289
850
SH
SOLE
850
0
0
Equities
458140100
6275396
120495
SH
SOLE
0
0
0
Equities
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328
SH
SOLE
328
0
0
Equities
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SH
SOLE
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0
0
Equities
462222100
5230180
118652
SH
SOLE
0
0
0
Equities
464287176
7914
70
SH
SOLE
70
0
0
Equities
464287200
236445
891
SH
SOLE
891
0
0
Equities
464287226
4826
45
SH
SOLE
45
0
0
Equities
464287234
2897
60
SH
SOLE
60
0
0
Equities
464287291
7917
50
SH
SOLE
50
0
0
Equities
464287309
103277
666
SH
SOLE
666
0
0
Equities
464287432
2316
19
SH
SOLE
19
0
0
Equities
464287465
3345
48
SH
SOLE
48
0
0
Equities
464287481
34426
280
SH
SOLE
280
0
0
Equities
464287507
186069
992
SH
SOLE
992
0
0
Equities
464287622
7637
52
SH
SOLE
52
0
0
Equities
464287630
65439
431
SH
SOLE
431
0
0
Equities
464287630
22792
187
SH
SOLE
187
0
0
Equities
464288208
21582
119
SH
SOLE
119
0
0
Equities
464288273
8084
124
SH
SOLE
124
0
0
Equities
464288638
5362
50
SH
SOLE
50
0
0
Equities
464288646
15570
150
SH
SOLE
150
0
0
Equities
478160104
6208363
48446
SH
SOLE
0
0
0
Equities
478366107
193186
5482
SH
SOLE
5482
0
0
PFDs, REITs,
481246700
3317
127
SH
SOLE
127
0
0
Equities
482480100
11518
106
SH
SOLE
106
0
0
Equities
485170302
7360
67
SH
SOLE
67
0
0
Equities
486606106
8186
497
SH
SOLE
497
0
0
Equities
494368103
3973490
36080
SH
SOLE
0
0
0
Equities
500255104
2620
40
SH
SOLE
40
0
0
Equities
500458401
1211
36
SH
SOLE
36
0
0
Equities
500600101
16224
5200
SH
SOLE
5200
0
0
Equities
500754106
294943
4735
SH
SOLE
4735
0
0
Equities
501044101
144
6
SH
SOLE
6
0
0
PFDs, REITs,
502175102
26600
700
SH
SOLE
700
0
0
Equities
502424104
7280
35
SH
SOLE
35
0
0
PFDs, REITs,
505743104
52780
3500
SH
SOLE
3500
0
0
Equities
512807108
6907
34
SH
SOLE
34
0
0
Equities
513272104
19387
333
SH
SOLE
333
0
0
Equities
516806106
12194
1400
SH
SOLE
1400
0
0
Equities
518439104
119776
800
SH
SOLE
800
0
0
Equities
524660107
3147786
70960
SH
SOLE
0
0
0
Equities
526107107
10219
50
SH
SOLE
50
0
0
Equities
530307305
428
5
SH
SOLE
5
0
0
Equities
531229409
822
20
SH
SOLE
20
0
0
Equities
531229607
1634
40
SH
SOLE
40
0
0
Equities
532457108
133431
1725
SH
SOLE
1725
0
0
Equities
538034109
3076
73
SH
SOLE
73
0
0
Equities
539830109
2389165
7070
SH
SOLE
7070
0
0
Equities
548661107
59670
680
SH
SOLE
680
0
0
Equities
552953101
3132224
89441
SH
SOLE
0
0
0
PFDs, REITs,
559080106
338663
5804
SH
SOLE
5804
0
0
Equities
560877300
2082
42
SH
SOLE
42
0
0
Equities
563571108
1423
50
SH
SOLE
50
0
0
Equities
565849106
5031
312
SH
SOLE
312
0
0
Equities
570535104
17554
15
SH
SOLE
15
0
0
Equities
571748102
3964
48
SH
SOLE
48
0
0
Equities
571903202
32635
240
SH
SOLE
240
0
0
Equities
579780206
43620
410
SH
SOLE
410
0
0
Equities
580135101
274658
1756
SH
SOLE
1756
0
0
Equities
585055106
1043742
13011
SH
SOLE
0
0
0
Equities
589331107
2816356
51705
SH
SOLE
0
0
0
Equities
590660106
3232
215
SH
SOLE
215
0
0
Equities
594918104
12133231
132938
SH
SOLE
0
0
0
Equities
594960106
3729
3300
SH
SOLE
3300
0
0
Equities
596278101
37137
300
SH
SOLE
300
0
0
PFDs, REITs,
604675991
0
374
SH
SOLE
374
0
0
Equities
609207105
320445
7679
SH
SOLE
7679
0
0
Equities
610236101
607020
11325
SH
SOLE
0
0
0
Equities
615394202
49446
600
SH
SOLE
600
0
0
Equities
620076307
21271
202
SH
SOLE
202
0
0
Equities
628703100
0
311
SH
SOLE
311
0
0
Equities
636180101
2573
50
SH
SOLE
50
0
0
PFDs, REITs,
636220709
7512
300
SH
SOLE
300
0
0
PFDs, REITs,
636220808
53270
2152
SH
SOLE
2152
0
0
PFDs, REITs,
636220857
9924
400
SH
SOLE
400
0
0
PFDs, REITs,
636220873
6202
250
SH
SOLE
250
0
0
Equities
637071101
2393
65
SH
SOLE
65
0
0
PFDs, REITs,
637417809
2287
91
SH
SOLE
91
0
0
Equities
641069406
39525
500
SH
SOLE
500
0
0
Equities
648691103
13628
1666
SH
SOLE
1666
0
0
PFDs, REITs,
649604808
23620
1000
SH
SOLE
1000
0
0
Equities
651639106
10744
275
SH
SOLE
275
0
0
Equities
654106103
793626
11945
SH
SOLE
0
0
0
Equities
655044105
11817
390
SH
SOLE
390
0
0
Equities
655663102
20451
150
SH
SOLE
150
0
0
Equities
655664100
58092
1200
SH
SOLE
1200
0
0
Equities
655844108
74042
545
SH
SOLE
545
0
0
Equities
665859104
30939
300
SH
SOLE
300
0
0
Equities
666807102
53066
152
SH
SOLE
152
0
0
Equities
670346105
4276
70
SH
SOLE
0
0
0
Equities
674599015
45438
699
SH
SOLE
699
0
0
Equities
681919106
13517
186
SH
SOLE
186
0
0
PFDs, REITs,
681936100
175490
6490
SH
SOLE
6490
0
0
Equities
682189105
29058
1188
SH
SOLE
1188
0
0
Equities
682680103
5920
104
SH
SOLE
104
0
0
Equities
690732102
8553
550
SH
SOLE
550
0
0
PFDs, REITs,
691543300
7609
300
SH
SOLE
300
0
0
PFDs, REITs,
691543508
15300
600
SH
SOLE
600
0
0
Equities
693475105
6355407
42022
SH
SOLE
0
0
0
PFDs, REITs,
693475857
1847034
65801
SH
SOLE
0
0
0
Equities
693506107
36270
325
SH
SOLE
325
0
0
Equities
697435105
26502
146
SH
SOLE
146
0
0
Equities
697900108
11305
700
SH
SOLE
700
0
0
Equities
698354107
503
100
SH
SOLE
100
0
0
Equities
698814100
1458
300
SH
SOLE
300
0
0
PFDs, REITs,
700517105
54040
2000
SH
SOLE
2000
0
0
Equities
701094104
73372
429
SH
SOLE
429
0
0
Equities
704326107
963148
15638
SH
SOLE
0
0
0
Equities
713448108
3304516
30275
SH
SOLE
0
0
0
Equities
715302204
5693
2777
SH
SOLE
2777
0
0
Equities
717081103
5555704
156543
SH
SOLE
0
0
0
Equities
718172109
1027597
10338
SH
SOLE
0
0
0
Equities
718546104
1668528
17395
SH
SOLE
0
0
0
Equities
723664108
5400
2000
SH
SOLE
2000
0
0
Equities
723787107
100663
586
SH
SOLE
586
0
0
PFDs, REITs,
726503105
66839
3034
SH
SOLE
3034
0
0
Equities
736508847
20255
500
SH
SOLE
500
0
0
Equities
742718109
3701839
46693
SH
SOLE
0
0
0
Equities
743713109
25861
220
SH
SOLE
220
0
0
Equities
744320102
61419
593
SH
SOLE
593
0
0
Equities
744320607
2291
91
SH
SOLE
91
0
0
PFDs, REITs,
744320706
13002
518
SH
SOLE
518
0
0
Equities
744573106
3014
60
SH
SOLE
60
0
0
Equities
746922103
116600
10000
SH
SOLE
10000
0
0
Equities
747525103
8510942
153599
SH
SOLE
0
0
0
Equities
749685103
1293287
27130
SH
SOLE
0
0
0
PFDs, REITs,
754907103
12559
357
SH
SOLE
357
0
0
Equities
755111507
4844529
22447
SH
SOLE
0
0
0
PFDs, REITs,
756109104
240545
4650
SH
SOLE
4650
0
0
PFDs, REITs,
759351703
1444
51
SH
SOLE
51
0
0
Equities
759530108
1295
62
SH
SOLE
62
0
0
Equities
760759100
5777524
87234
SH
SOLE
0
0
0
Equities
761152107
29541
300
SH
SOLE
300
0
0
Equities
761330109
8162
265
SH
SOLE
265
0
0
Equities
767744105
17812
566
SH
SOLE
566
0
0
Equities
778296103
3509
45
SH
SOLE
45
0
0
Equities
780087102
2396
31
SH
SOLE
31
0
0
PFDs, REITs,
780097739
1945
76
SH
SOLE
76
0
0
PFDs, REITs,
780259107
6750
103
SH
SOLE
103
0
0
Equities
780259206
48751
764
SH
SOLE
764
0
0
Equities
780287108
34520
402
SH
SOLE
402
0
0
Equities
783513203
983
8
SH
SOLE
8
0
0
Equities
803866300
1702
50
SH
SOLE
50
0
0
Equities
806857108
2971117
45865
SH
SOLE
0
0
0
Equities
808513105
133161
2550
SH
SOLE
2550
0
0
PFDs, REITs,
808513600
965102
36850
SH
SOLE
0
0
0
Equities
808524201
1262
20
SH
SOLE
20
0
0
Equities
808524409
1057
20
SH
SOLE
20
0
0
Equities
808524607
1728
25
SH
SOLE
25
0
0
Equities
808524797
9806
200
SH
SOLE
200
0
0
Equities
808524847
612
16
SH
SOLE
16
0
0
Equities
811916105
16470
1525
SH
SOLE
1525
0
0
Equities
812578102
20936
400
SH
SOLE
400
0
0
Equities
814785309
108
21
SH
SOLE
21
0
0
Equities
816851109
21688
195
SH
SOLE
195
0
0
Equities
826197501
12784
200
SH
SOLE
200
0
0
Equities
828806109
93059
603
SH
SOLE
603
0
0
Equities
830566105
40835
1050
SH
SOLE
1050
0
0
Equities
833034101
2213
15
SH
SOLE
15
0
0
Equities
835495102
410938
8473
SH
SOLE
8473
0
0
Equities
842587107
64757
1450
SH
SOLE
1450
0
0
PFDs, REITs,
842587206
1066
40
SH
SOLE
40
0
0
Equities
844544809
0
124
SH
SOLE
124
0
0
Equities
844741108
1141590
19930
SH
SOLE
0
0
0
Equities
852234103
24600
500
SH
SOLE
500
0
0
Equities
853666105
19028
400
SH
SOLE
400
0
0
Equities
855244109
1084974
18742
SH
SOLE
0
0
0
PFDs, REITs,
857477509
3986
159
SH
SOLE
159
0
0
PFDs, REITs,
857477608
3892
142
SH
SOLE
142
0
0
PFDs, REITs,
857477889
7364
280
SH
SOLE
280
0
0
Equities
858912108
1990
34
SH
SOLE
34
0
0
Equities
861012102
11479
515
SH
SOLE
515
0
0
Equities
862121100
29784
1200
SH
SOLE
1200
0
0
Equities
863307104
81260
646
SH
SOLE
646
0
0
Equities
863667101
72414
450
SH
SOLE
450
0
0
Equities
865634109
146923
61218
SH
SOLE
0
0
0
Equities
867914103
5838104
85804
SH
SOLE
0
0
0
Equities
871829107
45210
754
SH
SOLE
754
0
0
PFDs, REITs,
872382106
0
10008
SH
SOLE
0
0
0
Equities
872540109
26833
329
SH
SOLE
329
0
0
Equities
872590104
3296
54
SH
SOLE
54
0
0
Equities
874039100
35008
800
SH
SOLE
800
0
0
Equities
876030107
21044
400
SH
SOLE
400
0
0
Equities
876568502
10280
400
SH
SOLE
400
0
0
Equities
878742204
88280
3427
SH
SOLE
3427
0
0
Equities
879382208
9752
988
SH
SOLE
988
0
0
Equities
881624209
2991
175
SH
SOLE
175
0
0
PFDs, REITs,
882228406
24130
950
SH
SOLE
950
0
0
Equities
882508104
220247
2120
SH
SOLE
2120
0
0
Equities
882681109
1640374
28390
SH
SOLE
0
0
0
Equities
883556102
5781
28
SH
SOLE
28
0
0
PFDs, REITs,
885218800
0
15
SH
SOLE
15
0
0
Equities
889110102
1200
26
SH
SOLE
26
0
0
Equities
889478103
12975
300
SH
SOLE
300
0
0
Equities
902681105
83288
1875
SH
SOLE
1875
0
0
PFDs, REITs,
902973155
858
37
SH
SOLE
37
0
0
Equities
902973304
3992126
79052
SH
SOLE
0
0
0
PFDs, REITs,
902973791
1880
74
SH
SOLE
74
0
0
PFDs, REITs,
902973833
78427
2808
SH
SOLE
2808
0
0
PFDs, REITs,
903002400
12505
500
SH
SOLE
500
0
0
Equities
904311107
3270
200
SH
SOLE
200
0
0
Equities
904311206
24395
1700
SH
SOLE
1700
0
0
Equities
904767704
2222
40
SH
SOLE
40
0
0
Equities
904784709
28195
500
SH
SOLE
500
0
0
Equities
907818108
9001567
66961
SH
SOLE
0
0
0
Equities
911312106
39248
375
SH
SOLE
375
0
0
PFDs, REITs,
911684504
7722
300
SH
SOLE
300
0
0
Equities
911717106
3209
75
SH
SOLE
75
0
0
Equities
913017109
157231
1250
SH
SOLE
1250
0
0
Equities
913991006
0
1
SH
SOLE
1
0
0
Equities
918204108
51736
698
SH
SOLE
698
0
0
Equities
919134304
1824
55
SH
SOLE
55
0
0
Equities
921908844
47696
472
SH
SOLE
472
0
0
Equities
921910873
4982
55
SH
SOLE
55
0
0
Equities
921943858
22523
509
SH
SOLE
509
0
0
Equities
921946406
7507
91
SH
SOLE
91
0
0
Equities
921946810
4831
75
SH
SOLE
75
0
0
Equities
922042676
6458
106
SH
SOLE
106
0
0
Equities
922042775
15169
279
SH
SOLE
279
0
0
Equities
922042858
7282
155
SH
SOLE
155
0
0
Equities
922042874
82108
1412
SH
SOLE
1412
0
0
Equities
922475108
2921
40
SH
SOLE
40
0
0
Equities
922908512
148092
1354
SH
SOLE
1354
0
0
Equities
922908538
7777
60
SH
SOLE
60
0
0
Equities
922908553
2415
32
SH
SOLE
32
0
0
Equities
922908637
89724
740
SH
SOLE
740
0
0
Equities
922908751
70522
480
SH
SOLE
480
0
0
Equities
922908769
130106
959
SH
SOLE
959
0
0
Equities
923725105
12912
400
SH
SOLE
400
0
0
Equities
925550105
68
7
SH
SOLE
7
0
0
Equities
927320101
1847
75
SH
SOLE
75
0
0
PFDs, REITs,
929042844
1128
47
SH
SOLE
47
0
0
Equities
929740108
8140
100
SH
SOLE
100
0
0
Equities
931142103
573543
6446
SH
SOLE
6446
0
0
Equities
931427108
200207
3058
SH
SOLE
3058
0
0
Equities
942622200
11039
61
SH
SOLE
61
0
0
Equities
948626106
12744
200
SH
SOLE
200
0
0
Equities
949746101
1321046
25206
SH
SOLE
0
0
0
PFDs, REITs,
949746465
3212
115
SH
SOLE
115
0
0
PFDs, REITs,
949746556
28788
1095
SH
SOLE
1095
0
0
Equities
955306105
193355
2190
SH
SOLE
2190
0
0
Equities
957638109
52299
900
SH
SOLE
900
0
0
Equities
958102105
3875
42
SH
SOLE
42
0
0
Equities
959802109
157609
8196
SH
SOLE
8196
0
0
PFDs, REITs,
962166104
61600
1760
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SOLE
1760
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0
Equities
962879102
116211
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SOLE
5705
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0
Equities
969457100
1690
68
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SOLE
68
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Equities
976657106
78062
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SOLE
1245
0
0
Equities
977874205
2134
40
SH
SOLE
40
0
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Equities
981558109
3738548
45459
SH
SOLE
0
0
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Equities
983793100
15272
150
SH
SOLE
150
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Equities
984121103
1007
35
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SOLE
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0
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Equities
985572114
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827
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Equities
988498101
42565
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500
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Convertible/
040588E31
17324
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SOLE
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Equities
00212E105
6456
150
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150
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Equities
09254E106
126400
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SH
SOLE
10000
0
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Equities
42727E107
20
50
SH
SOLE
50
0
0
Equities
46132E107
144328
13603
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SOLE
0
0
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Equities
03073E108
4742
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SH
SOLE
55
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0
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91912E109
17172
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SOLE
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Equities
87612E110
693328
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SOLE
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Equities
01248E111
33000
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SOLE
0
0
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Equities
28176E112
27904
200
SH
SOLE
200
0
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Equities
89151E113
34614
600
SH
SOLE
600
0
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Equities
89417E113
24301
175
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SOLE
175
0
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PFDs, REITs,
05252E204
90
600
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SOLE
600
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Equities
12507E205
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200
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200
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Equities
90478E305
0
3000
SH
SOLE
3000
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33733E306
61455
510
SH
SOLE
510
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Equities
00089Y109
0
156
SH
SOLE
156
0
0
PFDs, REITs,
00123Q302
28292
1100
SH
SOLE
1100
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Equities
00162Q866
70069
7478
SH
SOLE
7478
0
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Convertible/
00163UAA4
1474811
1375000
SH
SOLE
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Equities
00164V103
1293
25
SH
SOLE
25
0
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PFDs, REITs,
001ESC102
0
1400
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SOLE
1400
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Equities
00206R102
1324604
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SOLE
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Equities
00210R106
0
153
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153
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Equities
00258J107
0
98700
SH
SOLE
0
0
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Equities
00287Y109
216654
2289
SH
SOLE
2289
0
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Equities
00430H102
50156
2195
SH
SOLE
2195
0
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Convertible/
00440EAS6
19555
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SH
SOLE
0
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Convertible/
005518VG7
107434
100000
SH
SOLE
0
0
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Equities
00709P108
5001
633
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633
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Equities
00724F101
5999547
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SOLE
0
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Convertible/
00751YAA4
1159100
1105000
SH
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00751YAC0
51473
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Equities
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584661
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SOLE
0
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Equities
00773T101
35
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SH
SOLE
1
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Convertible/
008117AP8
5786
6000
SH
SOLE
6000
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Equities
00817Y108
19435
115
SH
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115
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Equities
00846U101
16926
253
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SOLE
253
0
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Equities
00971T101
21294
300
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SOLE
300
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Equities
00972D105
1668
175
SH
SOLE
175
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Equities
00972L107
1281
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SH
SOLE
50
0
0
Convertible/
013817AV3
25750
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SOLE
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Equities
01609W102
84612
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461
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01881G106
277226
10325
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SOLE
0
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Equities
01883A107
247650
19500
SH
SOLE
0
0
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Equities
02079K107
8473059
8212
SH
SOLE
8212
0
0
Equities
02079K305
2375051
2290
SH
SOLE
2290
0
0
Equities
02209S103
878650
14099
SH
SOLE
0
0
0
Equities
02364W105
3818
200
SH
SOLE
200
0
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Equities
02376R102
26259
505
SH
SOLE
505
0
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Equities
02503V109
0
200
SH
SOLE
200
0
0
Equities
02503X105
589472
31156
SH
SOLE
0
0
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0258M0DK2
9954
10000
SH
SOLE
10000
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026609AC1
64872
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SH
SOLE
0
0
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Convertible/
02665WAC5
9974
10000
SH
SOLE
10000
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Convertible/
03027XAD2
68596
65000
SH
SOLE
0
0
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Convertible/
03027XAJ9
15181
15000
SH
SOLE
0
0
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Convertible/
031162BX7
29291
30000
SH
SOLE
0
0
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Convertible/
031162CP3
1319192
1355000
SH
SOLE
0
0
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Equities
03349M105
518776
5159
SH
SOLE
5159
0
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PFDs, REITs,
03350F106
294895
6581
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SOLE
6581
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PFDs, REITs,
03748R101
10880
267
SH
SOLE
267
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PFDs, REITs,
03762U105
75516
4200
SH
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4200
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PFDs, REITs,
03762U501
10176
400
SH
SOLE
400
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Equities
03765K104
10214
1140
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SOLE
1140
0
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Convertible/
037833CN8
505686
500000
SH
SOLE
0
0
0
Equities
03823U102
5012
200
SH
SOLE
200
0
0
Equities
03842K200
12
4
SH
SOLE
4
0
0
Convertible/
038699TA2
117784
100000
SH
SOLE
0
0
0
Equities
03879J100
100
20
SH
SOLE
20
0
0
Equities
03938L104
3308
104
SH
SOLE
0
0
0
Equities
04010L103
18790
1184
SH
SOLE
1184
0
0
PFDs, REITs,
04014Y200
15678
600
SH
SOLE
600
0
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Convertible/
040484PM3
5543
5000
SH
SOLE
5000
0
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Convertible/
04048RLZ7
11600
10000
SH
SOLE
10000
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Convertible/
04048RPG5
11755
10000
SH
SOLE
10000
0
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Convertible/
040506NA1
10677
10000
SH
SOLE
10000
0
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Convertible/
040507NS0
30726
30000
SH
SOLE
0
0
0
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040624AV0
10540
10000
SH
SOLE
10000
0
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Convertible/
040647DP1
10712
10000
SH
SOLE
10000
0
0
Convertible/
040647DQ9
26780
25000
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SOLE
0
0
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Convertible/
040649KZ7
10712
10000
SH
SOLE
10000
0
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040654UD5
10951
10000
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SOLE
10000
0
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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
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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
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Convertible/
052404MW7
5837
5000
SH
SOLE
5000
0
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052430KT1
16836
15000
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SOLE
0
0
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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
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PFDs, REITs,
05990K874
20720
800
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SOLE
800
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PFDs, REITs,
05990K882
7860
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300
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Convertible/
06051GEC9
7375
7000
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SOLE
7000
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06051GEM7
72965
67000
SH
SOLE
0
0
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06406FAB9
9704
10000
SH
SOLE
10000
0
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Convertible/
06406RAC1
53455
55000
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SOLE
0
0
0
Equities
06738C786
7310
1000
SH
SOLE
1000
0
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Convertible/
082887NB2
16637
15000
SH
SOLE
0
0
0
Convertible/
084670BQ0
9861
10000
SH
SOLE
10000
0
0
Convertible/
084670BS6
19411
20000
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SOLE
0
0
0
Equities
09061G101
48642
600
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SOLE
600
0
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09061GAF8
5649620
5115000
SH
SOLE
0
0
0
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09061GAH4
6681214
7100000
SH
SOLE
0
0
0
Equities
09062X103
25465
93
SH
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93
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09247X101
8668
16
SH
SOLE
0
0
0
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09253U108
1233864
38619
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SOLE
0
0
0
Equities
09253W104
118619
8872
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SOLE
8872
0
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Equities
09254F100
52059
3700
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SOLE
3700
0
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PFDs, REITs,
09627J508
7494
300
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300
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PFDs, REITs,
09627J748
13308
577
SH
SOLE
577
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Equities
09776J101
41
1027
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SOLE
1027
0
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Equities
10922N103
463
9
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SOLE
9
0
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Equities
11132B202
0
100
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SOLE
100
0
0
Convertible/
114894RP5
11008
10000
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SOLE
10000
0
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Convertible/
12189TBC7
8221
8000
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SOLE
8000
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PFDs, REITs,
12542R803
19467
700
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700
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Convertible/
125509BS7
61001
60000
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SOLE
0
0
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Equities
12572Q105
8087
50
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SOLE
50
0
0
Convertible/
126349AF6
21236964
19425000
SH
SOLE
0
0
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Equities
12634H101
241
80
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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
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Convertible/
126650BW9
173452
170000
SH
SOLE
0
0
0
PFDs, REITs,
12673A108
336000
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SOLE
0
0
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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
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13063BFA5
10624
10000
SH
SOLE
10000
0
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13063C5U0
11818
10000
SH
SOLE
10000
0
0
Convertible/
13063CLV0
11498
10000
SH
SOLE
10000
0
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13063CYB0
5639
5000
SH
SOLE
5000
0
0
Convertible/
13066YMY2
5014
5000
SH
SOLE
5000
0
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Convertible/
130685VT4
30950
30000
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SOLE
0
0
0
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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
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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
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14912L4D0
8173
8000
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SOLE
8000
0
0
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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
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SOLE
0
0
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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
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SOLE
0
0
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PFDs, REITs,
16934Q307
10548
416
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SOLE
416
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PFDs, REITs,
16934Q406
10663
418
SH
SOLE
418
0
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Equities
17243V102
75340
2000
SH
SOLE
2000
0
0
Equities
17275R102
7158310
166899
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SOLE
0
0
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Convertible/
17275RAE2
1702
1667
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SOLE
1667
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Convertible/
17275RBD3
4909
5000
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SOLE
5000
0
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Convertible/
172967GK1
61247
60000
SH
SOLE
0
0
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18085PLL6
105818
100000
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SOLE
0
0
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185899AA9
53978
50000
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SOLE
0
0
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Equities
18683K101
34750
5000
SH
SOLE
5000
0
0
Convertible/
194653JH5
25762
25000
SH
SOLE
0
0
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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
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Equities
20449X401
1458
70
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SOLE
70
0
0
Convertible/
205363AN4
56374
55000
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SOLE
0
0
0
Equities
20605P101
66145
440
SH
SOLE
440
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Equities
20825C104
1739894
29345
SH
SOLE
0
0
0
Equities
21036P108
136752
600
SH
SOLE
600
0
0
Equities
21077F100
185
10
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SOLE
10
0
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Convertible/
21226PKD9
27079
25000
SH
SOLE
0
0
0
PFDs, REITs,
21870U304
13739
550
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SOLE
550
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Convertible/
21925YAB9
10747266
10770000
SH
SOLE
0
0
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Convertible/
219350AZ8
50216
50000
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SOLE
0
0
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219350BB0
1560638
1590000
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SOLE
0
0
0
PFDs, REITs,
22002T108
51660
2000
SH
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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
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SOLE
0
0
0
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22758A105
51400
2500
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SOLE
2500
0
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Equities
23129V109
98400
1000
SH
SOLE
1000
0
0
Equities
23131C107
91860
1178
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SOLE
1178
0
0
Equities
23918K108
15628
237
SH
SOLE
237
0
0
Convertible/
246381CC9
17190
15000
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SOLE
0
0
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Convertible/
246381FV4
17050
15000
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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
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Equities
25243Q205
49699
367
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367
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Equities
25375L206
40
100
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100
0
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Equities
25659T107
4004
63
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SOLE
63
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0
Equities
25746U109
1281
19
SH
SOLE
19
0
0
Equities
25787G100
1717
100
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SOLE
100
0
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Convertible/
260003AC2
167129
135000
SH
SOLE
0
0
0
Convertible/
260543CF8
10254
10000
SH
SOLE
10000
0
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Equities
26078J100
3557120
55833
SH
SOLE
0
0
0
Convertible/
262061NX8
10875
10000
SH
SOLE
10000
0
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Equities
26441C105
75611
976
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SOLE
976
0
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Equities
26441C303
1857
73
SH
SOLE
73
0
0
Equities
26841Y103
0
300
SH
SOLE
300
0
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Equities
26875P101
10527
100
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100
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PFDs, REITs,
26884U109
4764
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27616P103
20400
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Convertible/
278062AC8
5852
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6000
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Equities
27828N102
4859
420
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420
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Equities
27828Y108
13833
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Equities
27829M103
77136
8035
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SOLE
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Convertible/
27875TAA9
2680186
2614000
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Convertible/
278865AL4
50136
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Equities
27922Y202
0
833
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833
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Convertible/
280659SL8
21194
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Equities
28106W103
9945
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Equities
28226B104
1260
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2000
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Equities
29250N105
14476
460
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460
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PFDs, REITs,
29250R106
3856
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400
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Convertible/
29270CWA9
10085
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PFDs, REITs,
29273R109
74612
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29273V100
69629
4900
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4900
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Equities
29364D761
657
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27
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Equities
29364G103
4884
62
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62
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Convertible/
29404KAA4
10120835
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PFDs, REITs,
29476L107
14357
233
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SOLE
233
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Equities
30040W108
20917
355
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355
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Equities
30063P105
68561
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SOLE
1700
0
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Convertible/
30063PAA3
3087162
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SOLE
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Equities
30161Q104
138659
6260
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6260
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30212PAB1
7106
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7000
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30212PAH8
7406
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7000
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Equities
30212W100
209385
18966
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SOLE
0
0
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30225T102
68431
783
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783
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Equities
30231G102
4689018
62847
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SOLE
0
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Equities
30303M102
134224
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840
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Equities
30304R407
8568
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250
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31200CAM8
5505
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3135G0F73
21480
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3137EACA5
21317
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Equities
31428X106
158713
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661
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31502A105
1894
250
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250
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Convertible/
316773CP3
61473
60000
SH
SOLE
0
0
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Equities
33734X143
37476
540
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540
0
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Unit Trusts
33735N730
26070
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30
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Convertible/
337915AA0
56379
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Equities
33812L102
1530
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300
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33938EAS6
2517683
2399000
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0
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345277AE7
20549
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0
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345370CR9
14789
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345397VM2
14066
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Convertible/
347753CR4
106138
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SOLE
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0
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Equities
34959J108
23256
300
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SOLE
300
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Equities
35086T109
1335
58
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58
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Equities
35671D857
25524
1453
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SOLE
1453
0
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Convertible/
358240FC8
51846
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SOLE
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Equities
35906A306
7
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1
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Equities
35952H106
87
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Equities
36164V305
529
10
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10
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Convertible/
362320BA0
12529
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SH
SOLE
10000
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364760AK4
16520156
15785000
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0
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Convertible/
36962G4D3
9369
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9000
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Equities
37045V126
1066
57
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57
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37045VAE0
62668
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Convertible/
37045XAB2
14097
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PFDs, REITs,
370ESC9S6
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370ESCBW4
0
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Equities
37247D106
2830
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1000
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Convertible/
373334KH3
19327
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SH
SOLE
0
0
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Convertible/
373384PL4
26043
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SOLE
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0
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Equities
37733W105
8595
220
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220
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PFDs, REITs,
37954A204
13900
2000
SH
SOLE
2000
0
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Equities
38045R107
260
20
SH
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20
0
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Equities
38079K101
0
4000
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4000
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Convertible/
38141E2V0
21747
20000
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SOLE
0
0
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38141ED48
27385
25000
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SOLE
0
0
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Convertible/
38141EM63
42673
40000
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SOLE
0
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Equities
38141G104
257401
1022
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SOLE
1022
0
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Convertible/
38141GGS7
54056
50000
SH
SOLE
0
0
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Convertible/
38143VAA7
59500
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0
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PFDs, REITs,
38145G308
246514
9257
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SOLE
9257
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Convertible/
38145GAF7
5014883
4960000
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PFDs, REITs,
38148B108
5078
178
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178
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PFDs, REITs,
38148B504
1045712
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Convertible/
385493EU1
15039
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PFDs, REITs,
38741L107
92789
5610
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5610
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40171VAA8
4197672
4285000
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SOLE
0
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Convertible/
402892CV3
86936
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0
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PFDs, REITs,
40414L109
84627
3643
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SOLE
3643
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Equities
40434H104
12670
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3500
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Equities
40449J103
1760
200
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200
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Convertible/
414005QD3
16693
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SOLE
0
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Convertible/
416518AB4
53276
50000
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SOLE
0
0
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PFDs, REITs,
42217K106
11321
208
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208
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Convertible/
428236BQ5
25918
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SOLE
0
0
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428236BV4
15759
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SOLE
0
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42824CAN9
56956
55000
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0
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Convertible/
43739QAB6
8648
10000
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10000
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PFDs, REITs,
44106M102
1849693
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SOLE
0
0
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Convertible/
44106MAQ5
270271
260000
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0
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448055AF0
7474
7000
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7000
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44835EDE5
27448
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0
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Convertible/
448579AD4
2242542
2125000
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SOLE
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Equities
44980X109
481930
2065
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SOLE
2065
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PFDs, REITs,
45378A106
18360
2000
SH
SOLE
2000
0
0
Equities
45378C102
0
62
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62
0
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Convertible/
45385LHC0
49874
50000
SH
SOLE
0
0
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455057XG9
10286
10000
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SOLE
10000
0
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45687AAJ1
25891
25000
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SOLE
0
0
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Convertible/
458140AU4
18785
20000
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SOLE
0
0
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PFDs, REITs,
45822P204
7009
267
SH
SOLE
267
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Equities
45824V209
3624
600
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600
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Equities
45865V100
10153
140
SH
SOLE
140
0
0
Convertible/
460690BH2
50649
50000
SH
SOLE
0
0
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Equities
46122T102
4599
300
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SOLE
300
0
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PFDs, REITs,
46131B100
378624
23115
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0
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PFDs, REITs,
46131B209
4972
200
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200
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PFDs, REITs,
46131B407
3777
150
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SOLE
150
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Equities
46131M106
181198
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SOLE
0
0
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Equities
46187W107
73695
3228
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SOLE
3228
0
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Convertible/
46360TDV2
24465
25000
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SOLE
0
0
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Convertible/
463831KM8
10319
10000
SH
SOLE
10000
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Equities
46428Q109
20033
1300
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SOLE
1300
0
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Convertible/
464337AJ3
17094989
17307000
SH
SOLE
0
0
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Equities
46434V704
3946
144
SH
SOLE
144
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Convertible/
46613C2F1
11224
10000
SH
SOLE
10000
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Equities
46625H100
985172
8959
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SOLE
8959
0
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Convertible/
46625HJY7
59857
60000
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SOLE
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Convertible/
46625HKK5
123300
120000
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0
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PFDs, REITs,
46637G124
5723
227
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227
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Equities
47215P106
16196
400
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400
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472319AK8
8006
8000
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8000
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Convertible/
478375AG3
55032
55000
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0
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48127A161
4052
155
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155
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48127R461
8715
333
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333
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48127X542
1206683
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48203RAG9
7229023
7075000
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0
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48203RAH7
700253
700000
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0
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Equities
48241F104
697
16
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SOLE
16
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Convertible/
482480AC4
759017
755000
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SOLE
0
0
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Equities
48576U106
16104
1200
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1200
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48660Q102
1696
109
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SOLE
109
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Convertible/
488764TW1
15446
15000
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SOLE
0
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Equities
49338L103
6601
126
SH
SOLE
126
0
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Convertible/
494368AS2
100003
82000
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SOLE
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Equities
49446R109
5846
406
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406
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49446R745
1071
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Equities
49456B101
274296
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49456B200
3109
100
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100
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498531FE7
11395
10000
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10000
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Convertible/
50077LAJ5
54903
55000
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0
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Equities
50218P107
1745
100
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100
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50540R409
51275
317
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317
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PFDs, REITs,
51508J108
140409
8433
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8433
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51508J306
7181
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300
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524ESC100
0
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1000
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525ESC711
0
20092
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Convertible/
525ESCGU7
800
20000
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SOLE
0
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Equities
52886N307
2100
2000
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SOLE
2000
0
0
Convertible/
530715AJ0
18275
17000
SH
SOLE
0
0
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Equities
53071M104
3524
140
SH
SOLE
140
0
0
Convertible/
532716AS6
8893125
8370000
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SOLE
0
0
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532716AT4
7655313
7205000
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0
0
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538034AJ8
4387626
3460000
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0
0
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539830BF5
465531
470000
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SOLE
0
0
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54142L109
5778
50
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50
0
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544152AA9
26380
25000
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SOLE
0
0
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544495WB6
54672
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0
0
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544525RX8
5647
5000
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5000
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Equities
54755T100
1340
1550
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1550
0
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54811GZS2
11501
10000
SH
SOLE
10000
0
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Convertible/
548661AH0
708096
570000
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SOLE
0
0
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Equities
55024U109
64
1
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1
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55068R202
37320
600
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SOLE
600
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Convertible/
552953BW0
250500
240000
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SOLE
0
0
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PFDs, REITs,
55303A105
5132093
193372
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0
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55607X108
8863
240
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240
0
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Convertible/
55608BAA3
1766748
1790000
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0
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55608BAB1
5551831
6260000
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0
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55616P104
3161
106
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106
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564759PS1
2996
3000
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SOLE
3000
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Equities
56501R106
18580
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1000
0
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56585A102
392791
5373
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SOLE
5373
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566795LV0
10997
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10000
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567137F25
16471
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0
0
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567184KZ8
11568
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57060U878
123960
4000
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4000
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571903AK9
1233083
1245000
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SOLE
0
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574193LT3
21745
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574599BN5
4766
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5000
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80879
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0
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57582NSJ5
10565
10000
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10000
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576051BG0
10114
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57636Q104
145383
830
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830
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57665R106
584386
13150
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SOLE
0
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58013MES9
59454
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0
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58013MEX8
671938
675000
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0
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58155Q103
79028
561
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561
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58155QAG8
62539
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58463J304
612300
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585055BS4
19996
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Equities
58733R102
17820
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59001AAN2
851288
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59001AAQ5
7246553
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1542625
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59025D207
27704
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59156R108
10784
235
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235
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Convertible/
592573AT6
163469
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59318R103
0
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5516
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594185AQ3
74378
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594615BA3
10903
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10000
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594918AH7
20179
20000
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594918AW4
51324
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594918BY9
19828
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59507Q106
0
3000
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3000
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604059AE5
847254
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0
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10283
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10000
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606432BT8
10098
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10000
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6069017U4
10389
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10000
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60871R209
18833
250
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250
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61166W101
145279
1245
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1245
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61746BDZ6
19868
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0
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61747YDU6
55667
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61760LFF7
13050
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61945A107
1152960
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62472C102
0
400
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400
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62913M206
43022
1850
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1850
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631103AF5
66305
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637432LR4
8344
8000
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8000
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64110D104
18507
300
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300
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Equities
64110L106
109280
370
SH
SOLE
370
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64111Q104
13728
240
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240
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64125C109
8293
100
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SOLE
100
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Convertible/
646136XR7
127163
100000
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0
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0
Equities
64704V106
12358
721
SH
SOLE
721
0
0
PFDs, REITs,
64828T102
246750
15000
SH
SOLE
0
0
0
PFDs, REITs,
64944P307
536000
10720
SH
SOLE
0
0
0
Convertible/
64966LS77
11384
10000
SH
SOLE
10000
0
0
Convertible/
64990ADN2
11150
10000
SH
SOLE
10000
0
0
Convertible/
64990EUT2
11657
10000
SH
SOLE
10000
0
0
Equities
65333Q202
0
1
SH
SOLE
1
0
0
Equities
65339F101
173620
1063
SH
SOLE
1063
0
0
Equities
65370G109
583100
98000
SH
SOLE
0
0
0
Convertible/
658196PP9
5722
5000
SH
SOLE
5000
0
0
Convertible/
658203X82
11549
10000
SH
SOLE
10000
0
0
Convertible/
666807BE1
369248
365000
SH
SOLE
0
0
0
Equities
66980B100
0
100
SH
SOLE
100
0
0
Equities
66987V109
34685
429
SH
SOLE
429
0
0
Convertible/
66988TBB8
25003
25000
SH
SOLE
0
0
0
Equities
67020Y100
9450
600
SH
SOLE
600
0
0
Convertible/
67020YAF7
8148954
8140000
SH
SOLE
0
0
0
Convertible/
67020YAG5
6386890
6260000
SH
SOLE
0
0
0
Convertible/
67020YAK6
994692
1050000
SH
SOLE
0
0
0
Equities
67066G104
207273
895
SH
SOLE
895
0
0
Equities
67066V101
142700
10860
SH
SOLE
0
0
0
Equities
6706ER101
7219
542
SH
SOLE
542
0
0
Equities
67077M108
20794
440
SH
SOLE
440
0
0
Equities
67555N107
134
14
SH
SOLE
14
0
0
Convertible/
677521ZJ8
11186
10000
SH
SOLE
0
0
0
Convertible/
67766WVL3
11110
10000
SH
SOLE
10000
0
0
Equities
68389X105
3587151
78408
SH
SOLE
0
0
0
Convertible/
68389XAS4
1365880
1340000
SH
SOLE
0
0
0
Convertible/
68389XBK0
4827
5000
SH
SOLE
5000
0
0
Equities
68556C108
0
100000
SH
SOLE
0
0
0
Convertible/
68641HGQ1
106734
100000
SH
SOLE
0
0
0
PFDs, REITs,
69007J106
9370
500
SH
SOLE
500
0
0
Equities
69343T107
1253
25
SH
SOLE
0
0
0
Convertible/
693475AP0
20303
20000
SH
SOLE
0
0
0
PFDs, REITs,
69352P202
708
28
SH
SOLE
28
0
0
Convertible/
69353RFF0
3051368
3045000
SH
SOLE
0
0
0
PFDs, REITs,
69360J669
2818
114
SH
SOLE
114
0
0
Equities
69404A104
4
1000
SH
SOLE
1000
0
0
Convertible/
694308HS9
18979
20000
SH
SOLE
0
0
0
Equities
70337F103
38
500
SH
SOLE
500
0
0
Equities
70450Y103
22306
294
SH
SOLE
294
0
0
PFDs, REITs,
70509V407
6100
250
SH
SOLE
250
0
0
Convertible/
708553PU0
33660
30000
SH
SOLE
0
0
0
Convertible/
709224FX2
11393
10000
SH
SOLE
0
0
0
PFDs, REITs,
70931T103
144240
8000
SH
SOLE
8000
0
0
PFDs, REITs,
70931T301
22914
900
SH
SOLE
900
0
0
Convertible/
713448BH0
51901
51667
SH
SOLE
0
0
0
Convertible/
713448CS5
9828
10000
SH
SOLE
10000
0
0
Convertible/
717081DH3
49775
50000
SH
SOLE
0
0
0
Convertible/
718814Q25
23174
20000
SH
SOLE
0
0
0
Convertible/
71883MHE7
10712
10000
SH
SOLE
0
0
0
Convertible/
71883MHL1
16068
15000
SH
SOLE
0
0
0
Convertible/
71883PJP3
11587
10000
SH
SOLE
0
0
0
Convertible/
71883RJQ7
10415
10000
SH
SOLE
0
0
0
Convertible/
71883RMB6
27443
25000
SH
SOLE
0
0
0
Convertible/
71883RNK5
11505
10000
SH
SOLE
0
0
0
Convertible/
718849BD3
10703
10000
SH
SOLE
0
0
0
PFDs, REITs,
71943U104
143805
9236
SH
SOLE
9236
0
0
Convertible/
721663ZL9
5449
5000
SH
SOLE
5000
0
0
Convertible/
72177LAS8
50097
50000
SH
SOLE
0
0
0
Convertible/
72177MMK0
10012
10000
SH
SOLE
0
0
0
Convertible/
72177PAZ3
11549
10000
SH
SOLE
0
0
0
Convertible/
721876RH5
10981
10000
SH
SOLE
0
0
0
Equities
72200W106
104928
8321
SH
SOLE
8321
0
0
Equities
72201H108
748347
64016
SH
SOLE
0
0
0
Equities
72201J104
722799
69300
SH
SOLE
0
0
0
Equities
72201R205
36393
700
SH
SOLE
700
0
0
Equities
73935A104
47398
296
SH
SOLE
296
0
0
Equities
73935X609
61147
1430
SH
SOLE
1430
0
0
Equities
73935X872
28569
860
SH
SOLE
860
0
0
Equities
73936Q710
1
0
SH
SOLE
0
0
0
Equities
73936Q769
45219
1955
SH
SOLE
1955
0
0
Equities
73936T565
1
0
SH
SOLE
0
0
0
Equities
73937B571
108141
3543
SH
SOLE
3543
0
0
Equities
73937B779
4744
101
SH
SOLE
101
0
0
Equities
73937B886
87003
781
SH
SOLE
781
0
0
Equities
74005P104
6494
45
SH
SOLE
45
0
0
PFDs, REITs,
74039L103
28380
2000
SH
SOLE
2000
0
0
Equities
74112D101
6744
200
SH
SOLE
200
0
0
Equities
74144T108
28288
262
SH
SOLE
262
0
0
Equities
74251V102
6091
100
SH
SOLE
100
0
0
PFDs, REITs,
74340W103
206292
3275
SH
SOLE
3275
0
0
Equities
74347B201
36270
1000
SH
SOLE
1000
0
0
Equities
74347R883
10281
251
SH
SOLE
251
0
0
Equities
74347W841
3109
100
SH
SOLE
100
0
0
Equities
74348A590
8810
1000
SH
SOLE
1000
0
0
Equities
74435K204
2812
55
SH
SOLE
55
0
0
PFDs, REITs,
74460D109
44632
223
SH
SOLE
223
0
0
PFDs, REITs,
74460W107
662
27
SH
SOLE
27
0
0
PFDs, REITs,
74460W602
1057
42
SH
SOLE
42
0
0
PFDs, REITs,
74460W792
776
30
SH
SOLE
30
0
0
PFDs, REITs,
74460W800
1046
42
SH
SOLE
42
0
0
PFDs, REITs,
74460W826
2004
77
SH
SOLE
77
0
0
PFDs, REITs,
74460W842
1452
55
SH
SOLE
55
0
0
Convertible/
747262AU7
19681
20000
SH
SOLE
0
0
0
Convertible/
747525AE3
1211449
1230000
SH
SOLE
0
0
0
Equities
74834L100
5079
51
SH
SOLE
51
0
0
Convertible/
74838JAA9
17680224
10285000
SH
SOLE
0
0
0
Equities
74913G303
1008
40
SH
SOLE
40
0
0
PFDs, REITs,
74913G501
966
41
SH
SOLE
41
0
0
Equities
74967R106
700
10
SH
SOLE
10
0
0
Convertible/
749685AT0
162749
145000
SH
SOLE
0
0
0
Convertible/
74973WAB3
5957363
5640000
SH
SOLE
0
0
0
Convertible/
751212AA9
9975
10000
SH
SOLE
10000
0
0
Convertible/
755111AF8
102184
80000
SH
SOLE
0
0
0
Equities
75629F109
11010
1000
SH
SOLE
1000
0
0
Convertible/
75913TJE5
10688
10000
SH
SOLE
0
0
0
Equities
75915K101
144
200
SH
SOLE
200
0
0
Equities
7591EP100
37160
2000
SH
SOLE
2000
0
0
PFDs, REITs,
7591EP506
3615
130
SH
SOLE
130
0
0
Convertible/
760759AH3
3704730
3565000
SH
SOLE
0
0
0
Convertible/
760761AB2
1658154
1595000
SH
SOLE
0
0
0
PFDs, REITs,
76131V202
14097
1209
SH
SOLE
1209
0
0
Convertible/
774341AE1
60324
60000
SH
SOLE
0
0
0
Convertible/
777543SS9
10496
10000
SH
SOLE
0
0
0
Convertible/
78012KKU0
9858
10000
SH
SOLE
10000
0
0
Convertible/
780287AA6
52781
50000
SH
SOLE
0
0
0
Equities
78355W106
68337
687
SH
SOLE
687
0
0
Equities
78392U105
2008
30
SH
SOLE
30
0
0
Equities
78462F103
239203
909
SH
SOLE
909
0
0
Equities
78463X749
11568
250
SH
SOLE
250
0
0
Equities
78464A698
66369
1099
SH
SOLE
1099
0
0
Equities
78464A763
38304
420
SH
SOLE
420
0
0
Equities
78468R408
82
3
SH
SOLE
3
0
0
Convertible/
786514BA6
23454
29000
SH
SOLE
0
0
0
Equities
79466L302
38844
334
SH
SOLE
334
0
0
Convertible/
79575DA59
15381
15000
SH
SOLE
0
0
0
Convertible/
79575EAJ7
39635
35000
SH
SOLE
0
0
0
Convertible/
79575EAK4
57395
50000
SH
SOLE
0
0
0
Convertible/
79575EAP3
58799
50000
SH
SOLE
0
0
0
Convertible/
79575EAR9
70401
60000
SH
SOLE
0
0
0
Convertible/
79575EAS7
59254
50000
SH
SOLE
0
0
0
Equities
79588J102
2091
75
SH
SOLE
75
0
0
Convertible/
7962533W0
16972
15000
SH
SOLE
0
0
0
Convertible/
79730AHP6
20761
20000
SH
SOLE
0
0
0
Convertible/
798136TS6
60158
55000
SH
SOLE
0
0
0
Equities
80105N105
40080
1000
SH
SOLE
1000
0
0
Equities
80105N113
429
1014
SH
SOLE
1014
0
0
Equities
80589M102
37550
1000
SH
SOLE
1000
0
0
Equities
81369Y209
26455
325
SH
SOLE
325
0
0
Equities
81369Y506
20223
300
SH
SOLE
300
0
0
Equities
81369Y605
84888
3079
SH
SOLE
3079
0
0
Equities
81369Y803
13084
200
SH
SOLE
200
0
0
PFDs, REITs,
81618T100
2006927
103025
SH
SOLE
0
0
0
Convertible/
817609AB6
5325
5000
SH
SOLE
5000
0
0
PFDs, REITs,
818ESC998
0
50
SH
SOLE
50
0
0
Equities
82966U103
1872
300
SH
SOLE
300
0
0
Equities
83088M102
10026
100
SH
SOLE
100
0
0
Equities
83304A106
31264
1970
SH
SOLE
1970
0
0
Equities
83404D109
972
26
SH
SOLE
26
0
0
PFDs, REITs,
83600C301
14421
577
SH
SOLE
577
0
0
PFDs, REITs,
83600C400
15000
600
SH
SOLE
600
0
0
Equities
84265V105
21672
400
SH
SOLE
400
0
0
Equities
84473L105
137
11
SH
SOLE
11
0
0
Equities
84761T109
138
1000
SH
SOLE
1000
0
0
Equities
84763A108
4210061
261657
SH
SOLE
0
0
0
Convertible/
84763AAB4
8115064
5220000
SH
SOLE
0
0
0
Equities
85207U105
190
39
SH
SOLE
39
0
0
Equities
85208M102
21921
934
SH
SOLE
934
0
0
Equities
85209D101
293
3000
SH
SOLE
3000
0
0
PFDs, REITs,
85254J102
70564
2950
SH
SOLE
2950
0
0
Convertible/
855244AJ8
9791
10000
SH
SOLE
10000
0
0
PFDs, REITs,
85571B105
497563
23750
SH
SOLE
0
0
0
Convertible/
857477AT0
20060
20000
SH
SOLE
0
0
0
Convertible/
86181SAP3
90797
90000
SH
SOLE
0
0
0
Equities
86562M209
1666
196
SH
SOLE
196
0
0
Convertible/
86888YAD3
30291
30000
SH
SOLE
0
0
0
PFDs, REITs,
87161C402
15606
600
SH
SOLE
600
0
0
Equities
87165B103
18442
550
SH
SOLE
550
0
0
Equities
87929A102
46
3
SH
SOLE
3
0
0
Equities
87944W105
1367
60
SH
SOLE
60
0
0
Convertible/
8797094M2
5809
5000
SH
SOLE
5000
0
0
Convertible/
879709H30
5034
5000
SH
SOLE
5000
0
0
Convertible/
880394AE1
5631
5000
SH
SOLE
5000
0
0
Convertible/
880443BN5
5493
5000
SH
SOLE
5000
0
0
Convertible/
880541MN4
10027
10000
SH
SOLE
0
0
0
Equities
88160R101
30605
115
SH
SOLE
115
0
0
Convertible/
882724AZ0
22457
20000
SH
SOLE
0
0
0
Convertible/
88283LJW7
11614
10000
SH
SOLE
0
0
0
Convertible/
883203BU4
61594
60000
SH
SOLE
0
0
0
Equities
88554D205
232
20
SH
SOLE
20
0
0
Equities
88579Y101
2758887
12568
SH
SOLE
0
0
0
Convertible/
88947EAK6
9794400
9240000
SH
SOLE
0
0
0
Convertible/
88947EAN0
322156
325000
SH
SOLE
0
0
0
Convertible/
88947EAP5
7343790
7305000
SH
SOLE
0
0
0
Convertible/
88947EAQ3
104500
100000
SH
SOLE
0
0
0
Convertible/
88947EAS9
19575
20000
SH
SOLE
0
0
0
Convertible/
89236TAY1
9966
10000
SH
SOLE
10000
0
0
Equities
89353D107
8262
200
SH
SOLE
200
0
0
Equities
89579K109
2358
61
SH
SOLE
61
0
0
Equities
89686D105
6603
950
SH
SOLE
950
0
0
Convertible/
898711T97
5185
5000
SH
SOLE
5000
0
0
Convertible/
898797CG8
11719
10000
SH
SOLE
0
0
0
Convertible/
898797ED3
23438
20000
SH
SOLE
0
0
0
Equities
90138F102
11454
300
SH
SOLE
300
0
0
Equities
90184L102
7107
245
SH
SOLE
245
0
0
PFDs, REITs,
90187B101
455198
29616
SH
SOLE
0
0
0
PFDs, REITs,
90187B200
15804
600
SH
SOLE
600
0
0
PFDs, REITs,
90187B309
8817
350
SH
SOLE
350
0
0
Convertible/
902494AX1
55387
55000
SH
SOLE
0
0
0
Equities
90341K104
0
162
SH
SOLE
162
0
0
Equities
90341L102
0
40
SH
SOLE
40
0
0
Equities
90347A100
4816
70
SH
SOLE
70
0
0
Convertible/
907818EP9
19286
20000
SH
SOLE
0
0
0
Convertible/
91159HHH6
9945
10000
SH
SOLE
10000
0
0
Equities
91324P102
49648
232
SH
SOLE
232
0
0
PFDs, REITs,
91325V108
1300
80
SH
SOLE
80
0
0
Equities
91347P105
10100
100
SH
SOLE
100
0
0
Convertible/
914062EC4
29011
25000
SH
SOLE
0
0
0
Convertible/
917542TX0
11443
10000
SH
SOLE
0
0
0
Equities
91911X104
5731
360
SH
SOLE
360
0
0
Equities
91913Y100
3199730
34491
SH
SOLE
0
0
0
Convertible/
91913YAR1
9107441
8640000
SH
SOLE
0
0
0
Equities
92204A405
34735
500
SH
SOLE
500
0
0
Equities
92206C409
19608
250
SH
SOLE
250
0
0
Equities
92206C870
19259
227
SH
SOLE
227
0
0
Equities
92240M108
60558
2970
SH
SOLE
2970
0
0
Convertible/
92240MBC1
6616011
6045000
SH
SOLE
0
0
0
Equities
92276M204
2095
84
SH
SOLE
84
0
0
PFDs, REITs,
92339V100
15486
2225
SH
SOLE
2225
0
0
PFDs, REITs,
92339V209
7620
300
SH
SOLE
300
0
0
Equities
92343V104
3353048
70118
SH
SOLE
0
0
0
PFDs, REITs,
92343V302
5557
210
SH
SOLE
210
0
0
Convertible/
92343VBR4
215893
200000
SH
SOLE
0
0
0
Equities
92343X100
5964
140
SH
SOLE
140
0
0
Convertible/
92343XAA8
19536115
19995000
SH
SOLE
0
0
0
Equities
92345Y106
7488
72
SH
SOLE
72
0
0
Equities
92532F100
7823
48
SH
SOLE
48
0
0
Convertible/
92553PAT9
45638
45000
SH
SOLE
0
0
0
Equities
92826C839
88519
740
SH
SOLE
740
0
0
Convertible/
92826CAB8
9873
10000
SH
SOLE
10000
0
0
Equities
92851M108
0
500
SH
SOLE
500
0
0
Equities
92857W209
22256
800
SH
SOLE
800
0
0
Convertible/
929160AT6
19726
20000
SH
SOLE
0
0
0
Equities
92927K102
6694
50
SH
SOLE
50
0
0
PFDs, REITs,
92936U109
37194
600
SH
SOLE
600
0
0
Equities
93148P102
35652
600
SH
SOLE
600
0
0
Convertible/
9397195F3
36118
35000
SH
SOLE
0
0
0
PFDs, REITs,
939ESC968
0
3100
SH
SOLE
3100
0
0
Equities
94106L109
981176
11664
SH
SOLE
0
0
0
Convertible/
94106LAG4
265442
205000
SH
SOLE
0
0
0
Convertible/
94106LAY5
163070
165000
SH
SOLE
0
0
0
Convertible/
94106LAZ2
55047
55000
SH
SOLE
0
0
0
Convertible/
941660AP7
26036
25000
SH
SOLE
0
0
0
Convertible/
942830ST8
102006
100000
SH
SOLE
0
0
0
Convertible/
949746RN3
157688
150000
SH
SOLE
0
0
0
Convertible/
949746SA0
11573
12000
SH
SOLE
0
0
0
Convertible/
94974BFN5
45622
45000
SH
SOLE
0
0
0
Equities
94987B105
462887
57573
SH
SOLE
0
0
0
PFDs, REITs,
94988N207
25960
1000
SH
SOLE
1000
0
0
Equities
95766J102
390110
59468
SH
SOLE
0
0
0
Equities
95768B107
277400
19000
SH
SOLE
0
0
0
Equities
96145D105
50053
780
SH
SOLE
780
0
0
Convertible/
963320AQ9
1936621
1943000
SH
SOLE
0
0
0
Convertible/
963320AR7
66499
65000
SH
SOLE
0
0
0
Convertible/
97122PBJ1
108889
100000
SH
SOLE
0
0
0
Equities
97381W104
86
61
SH
SOLE
61
0
0
Convertible/
97705MGS8
11983
10000
SH
SOLE
0
0
0
Equities
97717W315
1769
37
SH
SOLE
37
0
0
Equities
97717X701
12544
200
SH
SOLE
200
0
0
Convertible/
97989DAX0
54805
50000
SH
SOLE
0
0
0
Equities
98212B103
7390
500
SH
SOLE
500
0
0
Equities
98310W108
31468
275
SH
SOLE
275
0
0
Equities
98462Y100
1380
500
SH
SOLE
500
0
0
Equities
98850P109
20750
500
SH
SOLE
500
0
0
Equities
98954M101
5400
100
SH
SOLE
100
0
0
Equities
98954M200
10760
200
SH
SOLE
200
0
0
Convertible/
98954MAB7
3577127
2940000
SH
SOLE
0
0
0
Equities
98956P102
34893
320
SH
SOLE
320
0
0
Equities
98978V103
21128
253
SH
SOLE
253
0
0
Equities
D22359133
11797
100
SH
SOLE
100
0
0
Equities
F19320104
22629
100
SH
SOLE
100
0
0
Equities
G0084W101
30239
506
SH
SOLE
506
0
0
Equities
G0135Z103
1739
15000
SH
SOLE
0
0
0
Equities
G01767105
11592
200
SH
SOLE
200
0
0
Equities
G037AX101
4899
100
SH
SOLE
100
0
0
Equities
G0457F107
915
100
SH
SOLE
100
0
0
PFDs, REITs,
G06207123
9940
400
SH
SOLE
400
0
0
Equities
G1151C101
26402
172
SH
SOLE
172
0
0
Equities
G16962105
3845
52
SH
SOLE
52
0
0
PFDs, REITs,
G16962204
2542270
23330
SH
SOLE
0
0
0
PFDs, REITs,
G37585117
10706
400
SH
SOLE
400
0
0
PFDs, REITs,
G3933F121
6444
250
SH
SOLE
250
0
0
PFDs, REITs,
G3933F139
15380
600
SH
SOLE
600
0
0
Equities
G47567105
3425
71
SH
SOLE
71
0
0
Equities
G4766G101
17102
200
SH
SOLE
200
0
0
Equities
G491BT108
2081
65
SH
SOLE
65
0
0
Equities
G5876H105
4410
210
SH
SOLE
210
0
0
PFDs, REITs,
G7293H114
5290
200
SH
SOLE
200
0
0
PFDs, REITs,
G7498P119
2319
93
SH
SOLE
93
0
0
Equities
G7945J104
7725
132
SH
SOLE
132
0
0
Equities
G81075106
8580
600
SH
SOLE
600
0
0
Equities
G90073100
4950
500
SH
SOLE
500
0
0
Equities
H57312649
15162
192
SH
SOLE
192
0
0
Equities
H6169Q108
2385
35
SH
SOLE
35
0
0
Equities
H8912P106
42358
424
SH
SOLE
424
0
0
Equities
J32491102
2464
4
SH
SOLE
4
0
0
Equities
N53745100
610408
5776
SH
SOLE
5776
0
0
Equities
N59465109
823
20
SH
SOLE
20
0
0
Equities
N72482123
1971
61
SH
SOLE
61
0
0
Equities
Q48886107
5293
1500
SH
SOLE
1500
0
0
Equities
Y0486S104
4006
17
SH
SOLE
17
0
0
PFDs, REITs,
Y2188B116
19860
750
SH
SOLE
750
0
0
PFDs, REITs,
Y2687W108
46600
2000
SH
SOLE
2000
0
0
PFDs, REITs,
Y2687W116
12835
500
SH
SOLE
500
0
0
PFDs, REITs,
Y3262R118
12990
500
SH
SOLE
500
0
0
PFDs, REITs,
Y8564M113
13242
534
SH
SOLE
534
0
0