0001085146-16-004173.txt : 20160805 0001085146-16-004173.hdr.sgml : 20160805 20160805172151 ACCESSION NUMBER: 0001085146-16-004173 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160805 DATE AS OF CHANGE: 20160805 EFFECTIVENESS DATE: 20160805 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHUFRO ROSE & CO LLC CENTRAL INDEX KEY: 0000908195 IRS NUMBER: 135390713 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04541 FILM NUMBER: 161812069 BUSINESS ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 BUSINESS PHONE: 2127545100 MAIL ADDRESS: STREET 1: 745 FIFTH AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10151-2600 FORMER COMPANY: FORMER CONFORMED NAME: SHUFRO ROSE EHRMAN DATE OF NAME CHANGE: 19930624 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000908195 XXXXXXXX 06-30-2016 06-30-2016 SHUFRO ROSE & CO LLC
745 FIFTH AVENUE 26TH FLOOR NEW YORK NY 10151-2600
13F HOLDINGS REPORT 028-04541 N
Steven J. Glass Managing Director 212 754-5100 /s/ Steven J. Glass New York NY 08-03-2016 0 266 904267 false
INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1011155465978SHSOLE 0065978A MARK PRECIOUS METALS INCCOM00181T1073306204300SHSOLE 00204300ABB LTDSPONSORED ADR00037520467934250SHSOLE 0034250ABBOTT LABSCOM0028241002997600SHSOLE 007600ABERDEEN ASIA PACIFIC INCOMCOM00300910719238300PRNSOLE 0038300ABERDEEN JAPAN EQUITY FD INCCOM00306J10929137950PRNSOLE 0037950AGILYSYS INCCOM00847J1051186113285SHSOLE 00113285AGRIUM INCCOM008916108725680251SHSOLE 0080251AIR LEASE CORPCL A00912X30275528200SHSOLE 0028200ALCOA INCCOM013817101108861174305SHSOLE 001174305ALLERGAN PLCSHSG0177J1082030087846SHSOLE 0087846ALPHABET INCCAP STK CL C02079K107247357SHSOLE 00357ALTRIA GROUP INCCOM02209S1033214650SHSOLE 004650AMERICAN AIRLS GROUP INCCOM02376R1022298102SHSOLE 008102AMERICAN EAGLE OUTFITTERS NECOM02553E1068981563757SHSOLE 00563757AMERICAN FARMLAND COCOM02589Y1003189528000SHSOLE 00528000AMERICAN FINL GROUP INC OHIOCOM0259321043334500SHSOLE 004500AMETEK INC NEWCOM0311001003046574SHSOLE 006574AMGEN INCCOM03116210016767110200SHSOLE 00110200ANTERO RES CORPCOM03674X10630011550SHSOLE 0011550ANTHEM INCCOM0367521034273250SHSOLE 003250APPLE INCCOM037833100734376809SHSOLE 0076809ARALEZ PHARMACEUTICALS INCCOM03852X1005416487SHSOLE 0016487ARTS WAY MFG INCCOM0431681035317775SHSOLE 0017775ASTRONOVA INCCOM04638F10815210004SHSOLE 0010004AT&T INCCOM00206R10286820077SHSOLE 0020077ATLANTIC AMERN CORPCOM04820910016742050SHSOLE 0042050AUTOMATIC DATA PROCESSING INCOM0530151034805228SHSOLE 005228AVERY DENNISON CORPCOM05361110923268311271SHSOLE 00311271AVX CORP NEWCOM002444107112282641SHSOLE 0082641BAKER HUGHES INCCOM0572241072846295SHSOLE 006295BANK AMER CORPCOM060505104102477147SHSOLE 0077147BANK NEW YORK MELLON CORPCOM0640581003037800SHSOLE 007800BAR HBR BANKSHARESCOM06684910053515237SHSOLE 0015237BED BATH & BEYOND INCCOM0758961006138142020SHSOLE 00142020BERKSHIRE HATHAWAY INC DELCL A084670108347216SHSOLE 0016BERKSHIRE HATHAWAY INC DELCL B NEW0846707021168380688SHSOLE 0080688BIG LOTS INCCOM089302103150830100SHSOLE 0030100BLACKROCK CAPITAL INVESTMENTCOM09253310826834500SHSOLE 0034500BLACKROCK ENHANCED EQT DIV TCOM09251A10422428385PRNSOLE 0028385BLACKROCK FLOAT RATE OME STRCOM09255X100108582500PRNSOLE 0082500BLACKROCK MUNIHLDGS NY QLTYCOM09255C10618111800PRNSOLE 0011800BLACKROCK MUNIYIELD NY QLTYCOM09255E10225818000PRNSOLE 0018000BP PLCSPONSORED ADR0556221043887109460SHSOLE 00109460BRISTOL MYERS SQUIBB COCOM11012210893812755SHSOLE 0012755BUCKLE INCCOM1184401066060233170SHSOLE 00233170CABOT OIL & GAS CORPCOM12709710316885656002SHSOLE 00656002CARNIVAL CORPUNIT 99/99/9999143658300130529516SHSOLE 0029516CASTLE A M & COCOM1484111012113000SHSOLE 0013000CHARTER COMMUNICATIONS INC NCL A16119P1084742073SHSOLE 002073CHEVRON CORP NEWCOM166764100351433524SHSOLE 0033524CHICAGO BRIDGE & IRON CO N VCOM1672501099516274796SHSOLE 00274796CHICOS FAS INCCOM1686151022848265924SHSOLE 00265924CISCO SYS INCCOM17275R10225988905826SHSOLE 00905826CITIGROUP INCCOM NEW17296742482619485SHSOLE 0019485COCA COLA COCOM19121610072415973SHSOLE 0015973COEUR MNG INCCOM NEW19210850473068500SHSOLE 0068500COHEN & STEERS INFRASTRUCTURCOM19248A10928313200PRNSOLE 0013200COMMERCIAL METALS COCOM20172310354232100SHSOLE 0032100CONOCOPHILLIPSCOM20825C10448711170SHSOLE 0011170CONSOL ENERGY INCCOM20854P10935121800SHSOLE 0021800CONSOLIDATED EDISON INCCOM209115104162020140SHSOLE 0020140CORE LABORATORIES N VCOMN22717107737859555SHSOLE 0059555CORNING INCCOM219350105359091753363SHSOLE 001753363CVS HEALTH CORPCOM126650100144815125SHSOLE 0015125D R HORTON INCCOM23331A10936311520SHSOLE 0011520DARLING INGREDIENTS INCCOM2372661012215148684SHSOLE 00148684DEUTSCHE MULTI-MKT INCOME TRSHS25160E10257170000PRNSOLE 0070000DICKS SPORTING GOODS INCCOM253393102320971215SHSOLE 0071215DISNEY WALT COCOM DISNEY254687106104610690SHSOLE 0010690DREYFUS HIGH YIELD STRATEGIESH BEN INT26200S1015115275PRNSOLE 0015275DSW INCCL A23334L102198293580SHSOLE 0093580DU PONT E I DE NEMOURS & COCOM26353410916039247521SHSOLE 00247521EATON VANCE FLTING RATE INCCOM27827910435726600PRNSOLE 0026600EATON VANCE LTD DUR INCOME FCOM27828H10550937900PRNSOLE 0037900EATON VANCE SR FLTNG RTE TRCOM27828Q10519214650PRNSOLE 0014650EMERSON ELEC COCOM291011104211840610SHSOLE 0040610ENERPLUS CORPCOM29276610215924210SHSOLE 0024210EQUUS TOTAL RETURN INCCOM2947661003217735SHSOLE 0017735ERA GROUP INCCOM26885G10915316300SHSOLE 0016300EVERSOURCE ENERGYCOM30040W1083445748SHSOLE 005748EXAMWORKS GROUP INCCOM30066A10565718856SHSOLE 0018856EXELON CORPCOM30161N1012767600SHSOLE 007600EXPRESS SCRIPTS HLDG COCOM30219G108103513655SHSOLE 0013655EXXON MOBIL CORPCOM30231G10229547315204SHSOLE 00315204FACEBOOK INCCL A30303M1021082294700SHSOLE 0094700FIRST TR SR FLG RTE INCM FDCOM33733U10820716100PRNSOLE 0016100FIRSTENERGY CORPCOM337932107193155300SHSOLE 0055300FLEXTRONICS INTL LTDORDY2573F1025835494472SHSOLE 00494472FORD MTR CO DELCOM PAR $0.0134537086026721208SHSOLE 0021208FREEPORT-MCMORAN INCCL B35671D85741837510SHSOLE 0037510FREIGHTCAR AMER INCCOM3570231006661474061SHSOLE 00474061FREQUENCY ELECTRS INCCOM35801010610411191SHSOLE 0011191FRIEDMAN INDS INCCOM3584351051013173786SHSOLE 00173786GATX CORPCOM3614481032465600SHSOLE 005600GENERAL ELECTRIC COCOM369604103457251452512SHSOLE 001452512GENERAL MLS INCCOM37033410490612700SHSOLE 0012700GENERAL MTRS COCOM37045V1006035213240SHSOLE 00213240GENTEX CORPCOM3719011093789245250SHSOLE 00245250GETTY RLTY CORP NEWCOM37429710964129862SHSOLE 0029862GILEAD SCIENCES INCCOM3755581033504200SHSOLE 004200GLADSTONE LD CORPCOM37654910125723200SHSOLE 0023200GLAXOSMITHKLINE PLCSPONSORED ADR37733W1053057040SHSOLE 007040GOLDFIELD CORPCOM381370105343104712SHSOLE 00104712GOVERNMENT PPTYS INCOME TRCOM SHS BEN INT38376A10351222200SHSOLE 0022200GREENHILL & CO INCCOM3952591043007186800SHSOLE 00186800HALLIBURTON COCOM4062161012846281SHSOLE 006281HANESBRANDS INCCOM4103451026266249345SHSOLE 00249345HARDINGE INCCOM41232430360660200SHSOLE 0060200HARRIS & HARRIS GROUP INCCOM41383310414288500SHSOLE 0088500HEALTHCARE SVCS GRP INCCOM42190610893522600SHSOLE 0022600HOME DEPOT INCCOM437076102216416950SHSOLE 0016950HONEYWELL INTL INCCOM4385161062011730SHSOLE 001730HOSPITALITY PPTYS TRCOM SH BEN INT44106M1022488600SHSOLE 008600HSBC HLDGS PLCADR A 1/40PF A40428060432512525SHSOLE 0012525II VI INCCOM9021041087222384976SHSOLE 00384976ILLINOIS TOOL WKS INCCOM45230810911397109414SHSOLE 00109414IMMUCELL CORPCOM PAR $0.1045252530629142191SHSOLE 0042191INTEL CORPCOM458140100362651105632SHSOLE 001105632INTELLIGENT SYS CORP NEWCOM45816D10029378742SHSOLE 0078742INTERCONTINENTAL EXCHANGE INCOM45866F1042821100SHSOLE 001100INTERNATIONAL BUSINESS MACHSCOM459200101262617299SHSOLE 0017299INVESCO TR INVT GRADE MUNSCOM46131M10647131700PRNSOLE 0031700INVESCO TR INVT GRADE NY MUNCOM46131T10140224500PRNSOLE 0024500ISHARES TRCORE US AGGBD ET4642872263783359SHSOLE 003359ISHARES TRLATN AMER 40 ETF46428739064124380SHSOLE 0024380ISHARES TRCORE S&P SCP ETF4642878043643132SHSOLE 003132ITT INCCOM45073V10843413576SHSOLE 0013576J & J SNACK FOODS CORPCOM466032109179015005SHSOLE 0015005JACOBS ENGR GROUP INC DELCOM46981410710181204390SHSOLE 00204390JETBLUE AIRWAYS CORPCOM47714310116610050SHSOLE 0010050JOHNSON & JOHNSONCOM478160104551345450SHSOLE 0045450JOHNSON CTLS INCCOM47836610724034543012SHSOLE 00543012JOY GLOBAL INCCOM48116510847822600SHSOLE 0022600JPMORGAN CHASE & COCOM46625H10014261229493SHSOLE 00229493KELLOGG COCOM4878361082272780SHSOLE 002780KELLY SVCS INCCL A4881522085344281716SHSOLE 00281716KENNAMETAL INCCOM4891701008002361923SHSOLE 00361923KERYX BIOPHARMACEUTICALS INCCOM49251510151678000SHSOLE 0078000KIMBERLY CLARK CORPCOM4943681034813500SHSOLE 003500KNOWLES CORPCOM49926D10926119100SHSOLE 0019100KOHLS CORPCOM5002551048520224687SHSOLE 00224687KONINKLIJKE PHILIPS N VNY REG SH NEW5004723032369444SHSOLE 009444L-3 COMMUNICATIONS HLDGS INCCOM5024241045133500SHSOLE 003500LEGG MASON INCCOM5249011052659000SHSOLE 009000LEXINGTON REALTY TRUSTCOM52904310134634229SHSOLE 0034229LIBERTY BROADBAND CORPCOM SER C5303073055338885SHSOLE 008885LIBERTY MEDIA CORP DELAWARECOM A SIRIUSXM531229409196962789SHSOLE 0062789LIBERTY MEDIA CORP DELAWARECOM C SIRIUSXM5312296075790187556SHSOLE 00187556LIBERTY MEDIA CORP DELAWARECOM C MEDIA GRP53122985488746743SHSOLE 0046743LIBERTY MEDIA CORP DELAWARECOM A MEDIA GRP53122987029815544SHSOLE 0015544LILLY ELI & COCOM532457108404351337SHSOLE 0051337LIVE NATION ENTERTAINMENT INCOM53803410955323526SHSOLE 0023526M & T BK CORPCOM55261F104592550110SHSOLE 0050110MANHATTAN BRIDGE CAPITAL INCCOM56280310620338175SHSOLE 0038175MEDICAL PPTYS TRUST INCCOM58463J30466943966SHSOLE 0043966MEDTRONIC PLCSHSG5960L103112412953SHSOLE 0012953MERCER INTL INCCOM58805610126533250SHSOLE 0033250MERCK & CO INCCOM58933Y105107218603SHSOLE 0018603METLIFE INCCOM59156R10811267282867SHSOLE 00282867MFC BANCORP LTDCOM55278T1056429350SHSOLE 0029350MFS INTER INCOME TRSH BEN INT55273C107718154810PRNSOLE 00154810MICROSOFT CORPCOM59491810412865251408SHSOLE 00251408MIDDLEBURG FINANCIAL CORPCOM5960941022796102798SHSOLE 00102798MITCHAM INDS INCCOM6065011047520100SHSOLE 0020100MONMOUTH REAL ESTATE INVT COCL A6097201071492112550SHSOLE 00112550MORGAN STANLEYCOM NEW61744644826210100SHSOLE 0010100MORGAN STANLEY EMER MKTS DEBCOM61744H10511512450PRNSOLE 0012450MOSAIC CO NEWCOM61945C1035910225742SHSOLE 00225742NATIONAL WESTN LIFE GROUP INCL A638517102922847260SHSOLE 0047260NEUSTAR INCCL A64126X2013752159600SHSOLE 00159600NEW MEDIA INVT GROUP INCCOM64704V106106158700SHSOLE 0058700NORTHERN TR CORPCOM6658591042323500SHSOLE 003500NORWEGIAN CRUISE LINE HLDGSSHSG6672110479319900SHSOLE 0019900NOVARTIS A GSPONSORED ADR66987V109148117952SHSOLE 0017952NOW INCCOM67011P1002708149290SHSOLE 00149290NUCOR CORPCOM670346105199140291SHSOLE 0040291NUVEEN CR STRATEGIES INCM FDCOM SHS67073D10212415300PRNSOLE 0015300NUVEEN MUN VALUE FD INCCOM67092810018417000PRNSOLE 0017000NUVEEN PFD INCOME OPPRTNY FDCOM67073B10610010000PRNSOLE 0010000NUVEEN PREFERRED SECURITIESCOM67072C10529031349PRNSOLE 0031349OMEGA PROTEIN CORPCOM68210P10793846900SHSOLE 0046900OPHTHOTECH CORPCOM68374510361111975SHSOLE 0011975OPKO HEALTH INCCOM68375N1031389148700SHSOLE 00148700ORBCOMM INCCOM68555P10031431600SHSOLE 0031600PANDORA MEDIA INCCOM69835410721817500SHSOLE 0017500PDC ENERGY INCCOM69327R10161110600SHSOLE 0010600PEPSICO INCCOM7134481082111990SHSOLE 001990PERRIGO CO PLCSHSG978221035315854SHSOLE 005854PFIZER INCCOM7170811034041114756SHSOLE 00114756PHILLIPS 66COM7185461042142700SHSOLE 002700PIMCO INCOME STRATEGY FUNDCOM72201H10846044766PRNSOLE 0044766PIMCO INCOME STRATEGY FUND ICOM72201J10433436300PRNSOLE 0036300POTASH CORP SASK INCCOM73755L1073927241841SHSOLE 00241841POWERSHARES QQQ TRUSTUNIT SER 173935A1042282122SHSOLE 002122PROCTER & GAMBLE COCOM7427181092062430SHSOLE 002430PROSPECT CAPITAL CORPORATIONCOM74348T1021491190666SHSOLE 00190666PUBLIC SVC ENTERPRISE GROUPCOM74457310690319366SHSOLE 0019366PUTNAM PREMIER INCOME TRSH BEN INT746853100711151300PRNSOLE 00151300QUALCOMM INCCOM747525103281552544SHSOLE 0052544QUEST DIAGNOSTICS INCCOM74834L10086910680SHSOLE 0010680RAMCO-GERSHENSON PPTYS TRCOM SH BEN INT75145220227514000SHSOLE 0014000RAND CAP CORPCOM752185108485135800SHSOLE 00135800REGENERON PHARMACEUTICALSCOM75886F107210600SHSOLE 00600RESEARCH FRONTIERS INCCOM760911107718196682SHSOLE 00196682ROCKWELL COLLINS INCCOM77434110112995152629SHSOLE 00152629ROFIN SINAR TECHNOLOGIES INCCOM7750431023039500SHSOLE 009500ROYAL DUTCH SHELL PLCSPONS ADR A7802592064468069SHSOLE 008069RTI SURGICAL INCCOM74975N10513838500SHSOLE 0038500SALISBURY BANCORP INCCOM7952261092949875SHSOLE 009875SANDERSON FARMS INCCOM800013104637473570SHSOLE 0073570SANOFISPONSORED ADR80105N1052856800SHSOLE 006800SCHEIN HENRY INCCOM80640710213707750SHSOLE 007750SCHMITT INDS INC ORECOM NEW8068702002815000SHSOLE 0015000SCHNITZER STL INDSCL A8068821066013341650SHSOLE 00341650SEABOARD CORPCOM8115431071154402SHSOLE 00402SEACOR HOLDINGS INCCOM811904101140824300SHSOLE 0024300SENECA FOODS CORP NEWCL A817070501136537700SHSOLE 0037700SIMPSON MANUFACTURING CO INCCOM82907310565516380SHSOLE 0016380SONOCO PRODS COCOM83549510216370329643SHSOLE 00329643SPDR S&P 500 ETF TRTR UNIT78462F1034332066SHSOLE 002066SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y1078383080SHSOLE 003080SPDR SERIES TRUSTS&P BIOTECH78464A87061711400SHSOLE 0011400SPROTT FOCUS TR INCCOM85208J10944268840PRNSOLE 0068840STARBUCKS CORPCOM8552441092063600SHSOLE 003600STRYKER CORPCOM863667101779065006SHSOLE 0065006SUPERIOR INDS INTL INCCOM8681681053480129935SHSOLE 00129935SWISS HELVETIA FD INCCOM87087510125824931PRNSOLE 0024931SYMANTEC CORPCOM871503108154375105SHSOLE 0075105SYNCHRONY FINLCOM87165B10382532625SHSOLE 0032625SYSTEMAX INCCOM8718511011410165354SHSOLE 00165354TARGET CORPCOM87612E1066499300SHSOLE 009300TEJON RANCH COCOM8790801097899334140SHSOLE 00334140TEMPLETON GLOBAL INCOME FDCOM88019810639261575PRNSOLE 0061575TERADYNE INCCOM8807701022308117220SHSOLE 00117220TERRAVIA HLDGS INCCOM88105A106664253300SHSOLE 00253300TESORO CORPCOM8816091016979300SHSOLE 009300TEVA PHARMACEUTICAL INDS LTDADR881624209307361177SHSOLE 0061177TEXAS INSTRS INCCOM88250810423044367828SHSOLE 00367828THERMO FISHER SCIENTIFIC INCCOM883556102923262482SHSOLE 0062482TICC CAPITAL CORPCOM87244T10911622000SHSOLE 0022000TIME WARNER INCCOM NEW887317303146719955SHSOLE 0019955TRI POINTE GROUP INCCOM87265H1098318703750SHSOLE 00703750TRINITY INDS INCCOM89652210962233500SHSOLE 0033500UNILEVER PLCSPON ADR NEW90476770471614950SHSOLE 0014950UNION PAC CORPCOM907818108100311501SHSOLE 0011501UNITED PARCEL SERVICE INCCL B9113121064013725SHSOLE 003725UNITED TECHNOLOGIES CORPCOM9130171092492425SHSOLE 002425UNITEDHEALTH GROUP INCCOM91324P10218312129691SHSOLE 00129691VALERO ENERGY CORP NEWCOM91913Y10071414000SHSOLE 0014000VALMONT INDS INCCOM920253101955770649SHSOLE 0070649VERIZON COMMUNICATIONS INCCOM92343V10412738228116SHSOLE 00228116VISHAY INTERTECHNOLOGY INCCOM92829810853443100SHSOLE 0043100VISHAY PRECISION GROUP INCCOM92835K1037960593180SHSOLE 00593180VODAFONE GROUP PLC NEWSPNSR ADR92857W30818454597395SHSOLE 00597395VOYA PRIME RATE TRSH BEN INT92913A10013326000PRNSOLE 0026000WALGREENS BOOTS ALLIANCE INCCOM9314271084165000SHSOLE 005000WALKER & DUNLOP INCCOM93148P10210043440866SHSOLE 00440866WENDYS COCOM95058W1009175953755SHSOLE 00953755WESTERN ASSET GLB PTNRS INCOCOM95766G10816919700PRNSOLE 0019700WESTERN ASST MN PRT FD INCCOM95766P10825714945PRNSOLE 0014945WESTERN DIGITAL CORPCOM9581021053537462SHSOLE 007462WISDOMTREE INVTS INCCOM97717P10419620000SHSOLE 0020000WORLD FUEL SVCS CORPCOM9814751066478136416SHSOLE 00136416WP GLIMCHER INCOM92939N1022626234665SHSOLE 00234665XYLEM INCCOM98419M100110724793SHSOLE 0024793