0001085146-16-004695.txt : 20161110 0001085146-16-004695.hdr.sgml : 20161110 20161109181556 ACCESSION NUMBER: 0001085146-16-004695 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161110 DATE AS OF CHANGE: 20161109 EFFECTIVENESS DATE: 20161110 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: 161985437 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 09-30-2016 09-30-2016 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 11-08-2016 0 265 894744 false
INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1011134464373SHSOLE 0064373A MARK PRECIOUS METALS INCCOM00181T1073263203300SHSOLE 00203300ABB LTDSPONSORED ADR00037520476033750SHSOLE 0033750ABBOTT LABSCOM0028241003137400SHSOLE 007400ABERDEEN ASIA PACIFIC INCOMCOM00300910719638300PRNSOLE 0038300ABERDEEN JAPAN EQUITY FD INCCOM00306J10931237950PRNSOLE 0037950AGILYSYS INCCOM00847J1051254112795SHSOLE 00112795AGRIUM INCCOM008916108726080051SHSOLE 0080051AIR LEASE CORPCL A00912X30285229800SHSOLE 0029800ALLERGAN PLCSHSG0177J10831693137611SHSOLE 00137611ALLERGAN PLCPFD CONV SER AG0177J116211257PRNSOLE 00257ALPHABET INCCAP STK CL C02079K107281362SHSOLE 00362ALPHABET INCCAP STK CL A02079K305210261SHSOLE 00261ALTRIA GROUP INCCOM02209S1032944650SHSOLE 004650AMERICAN AIRLS GROUP INCCOM02376R1022816547SHSOLE 007663AMERICAN EAGLE OUTFITTERS NECOM02553E1068788492041SHSOLE 00492041AMERICAN FARMLAND COCOM02589Y1001487188500SHSOLE 00188500AMERICAN FINL GROUP INC OHIOCOM0259321043004000SHSOLE 004000AMETEK INC NEWCOM0311001003106500SHSOLE 006574AMGEN INCCOM03116210017675105957SHSOLE 00105957ANTERO RES CORPCOM03674X10652419450SHSOLE 0019450ANTHEM INCCOM0367521034073250SHSOLE 003250APPLE INCCOM037833100867070964SHSOLE 0076690ARALEZ PHARMACEUTICALS INCCOM03852X10010421487SHSOLE 0021487ARTS WAY MFG INCCOM0431681035417775SHSOLE 0017775ASTRONOVA INCCOM04638F10814810004SHSOLE 0010004AT&T INCCOM00206R10286821362SHSOLE 0021362ATLANTIC AMERN CORPCOM04820910012338050SHSOLE 0038050AUTOMATIC DATA PROCESSING INCOM0530151034615228SHSOLE 005228AVERY DENNISON CORPCOM05361110923861306731SHSOLE 00306731AVX CORP NEWCOM002444107111280641SHSOLE 0080641BAKER HUGHES INCCOM0572241073136195SHSOLE 006195BANK AMER CORPCOM060505104119576347SHSOLE 0076347BANK NEW YORK MELLON CORPCOM0640581002917300SHSOLE 007600BAR HBR BANKSHARESCOM06684910056015237SHSOLE 0015237BED BATH & BEYOND INCCOM0758961005146119370SHSOLE 00119370BERKSHIRE HATHAWAY INC DELCL A084670108324415SHSOLE 0016BERKSHIRE HATHAWAY INC DELCL B NEW0846707021163280515SHSOLE 0081265BIG LOTS INCCOM089302103124226000SHSOLE 0026000BLACKROCK CAPITAL INVESTMENTCOM09253310844353500SHSOLE 0053500BLACKROCK ENHANCED EQT DIV TCOM09251A10422428385PRNSOLE 0028385BLACKROCK FLOAT RATE OME STRCOM09255X100116884300PRNSOLE 0084300BLACKROCK MUNIHLDGS NY QLTYCOM09255C10617511800PRNSOLE 0011800BLACKROCK MUNIYIELD NY QLTYCOM09255E10225418000PRNSOLE 0018000BORGWARNER INCCOM0997241062587335SHSOLE 007335BP PLCSPONSORED ADR055622104341197010SHSOLE 0097010BRISTOL MYERS SQUIBB COCOM11012210869112810SHSOLE 0012810BUCKLE INCCOM1184401064762198165SHSOLE 00198165CABOT OIL & GAS CORPCOM12709710316607643673SHSOLE 00643673CARNIVAL CORPUNIT 99/99/9999143658300131426916SHSOLE 0027116CBRE GROUP INCCL A12504L10936913200SHSOLE 0013200CEL SCI CORPCOM PAR $0.01150837508310000SHSOLE 0010000CHARTER COMMUNICATIONS INC NCL A16119P1085612077SHSOLE 002077CHEVRON CORP NEWCOM166764100356134600SHSOLE 0034600CHICAGO BRIDGE & IRON CO N VCOM1672501096867244991SHSOLE 00244991CHICOS FAS INCCOM1686151023114261674SHSOLE 00261674CISCO SYS INCCOM17275R10228510898803SHSOLE 00898803CITIGROUP INCCOM NEW17296742492719630SHSOLE 0019630COCA COLA COCOM19121610064215160SHSOLE 0015973COEUR MNG INCCOM NEW19210850458449400SHSOLE 0049400COHEN & STEERS INFRASTRUCTURCOM19248A10928413200PRNSOLE 0013200COMMERCIAL METALS COCOM20172310349530600SHSOLE 0030600CONOCOPHILLIPSCOM20825C10451611870SHSOLE 0011870CONSOL ENERGY INCCOM20854P10940321000SHSOLE 0021000CONSOLIDATED EDISON INCCOM209115104131317440SHSOLE 0019640CORE LABORATORIES N VCOMN22717107785969960SHSOLE 0069960CORNING INCCOM219350105409341730811SHSOLE 001730811CVS HEALTH CORPCOM126650100128814475SHSOLE 0014475D R HORTON INCCOM23331A10934411385SHSOLE 0011385DARLING INGREDIENTS INCCOM2372661012274168309SHSOLE 00168309DEUTSCHE MULTI-MKT INCOME TRSHS25160E10258168000PRNSOLE 0068000DICKS SPORTING GOODS INCCOM253393102400470585SHSOLE 0070585DISNEY WALT COCOM DISNEY254687106103811169SHSOLE 0011669DORIAN LPG LTDSHS USDY2106R1109616000SHSOLE 0016000DREYFUS HIGH YIELD STRATEGIESH BEN INT26200S1015215275PRNSOLE 0015275DSW INCCL A23334L102188491990SHSOLE 0091990DU PONT E I DE NEMOURS & COCOM26353410916237242441SHSOLE 00243641EATON VANCE FLTING RATE INCCOM27827910438927400PRNSOLE 0027400EATON VANCE LTD DUR INCOME FCOM27828H10548135100PRNSOLE 0035100EATON VANCE SR FLTNG RTE TRCOM27828Q10527619550PRNSOLE 0019550EMERSON ELEC COCOM291011104219640275SHSOLE 0040575ENERPLUS CORPCOM29276610214021810SHSOLE 0021810EQUUS TOTAL RETURN INCCOM2947661003317735SHSOLE 0017735ERA GROUP INCCOM26885G10913116300SHSOLE 0016300ERIN ENERGY CORPCOM2956251073615320SHSOLE 0015320EVERSOURCE ENERGYCOM30040W1082444500SHSOLE 004500EXELON CORPCOM30161N1012266800SHSOLE 006800EXPRESS SCRIPTS HLDG COCOM30219G108109815564SHSOLE 0015564EXXON MOBIL CORPCOM30231G10227160311176SHSOLE 00312404FARMLAND PARTNERS INCCOM31154R10953647900SHSOLE 0047900FIRST TR SR FLG RTE INCM FDCOM33733U10823417100PRNSOLE 0017100FIRSTENERGY CORPCOM337932107182955300SHSOLE 0055300FORD MTR CO DELCOM PAR $0.0134537086023819708SHSOLE 0019708FREEPORT-MCMORAN INCCL B35671D85737734750SHSOLE 0035210FREIGHTCAR AMER INCCOM3570231006164428661SHSOLE 00428661FREQUENCY ELECTRS INCCOM35801010612311691SHSOLE 0011691FRIEDMAN INDS INCCOM358435105932172720SHSOLE 00172720GATX CORPCOM3614481034199400SHSOLE 009400GENERAL ELECTRIC COCOM369604103422541426526SHSOLE 001427176GENERAL MLS INCCOM37033410480512600SHSOLE 0012600GENERAL MTRS COCOM37045V1006645209151SHSOLE 00209151GENTEX CORPCOM3719011094227240730SHSOLE 00240730GETTY RLTY CORP NEWCOM37429710974331057SHSOLE 0031057GILEAD SCIENCES INCCOM3755581033053855SHSOLE 004255GLADSTONE LD CORPCOM37654910133631700SHSOLE 0031700GLAXOSMITHKLINE PLCSPONSORED ADR37733W1053047040SHSOLE 007040GOLDFIELD CORPCOM381370105307113712SHSOLE 00113712GOVERNMENT PPTYS INCOME TRCOM SHS BEN INT38376A10348021200SHSOLE 0021200GREENHILL & CO INCCOM3952591044426187800SHSOLE 00187800HANESBRANDS INCCOM4103451027284288485SHSOLE 00288485HARDINGE INCCOM41232430364257700SHSOLE 0057700HARRIS & HARRIS GROUP INCCOM41383310412388500SHSOLE 0088500HEALTHCARE SVCS GRP INCCOM42190610884321300SHSOLE 0021300HOME DEPOT INCCOM437076102213616600SHSOLE 0016600HONEYWELL INTL INCCOM4385161062021730SHSOLE 001730HOSPITALITY PPTYS TRCOM SH BEN INT44106M1022538500SHSOLE 008500HSBC HLDGS PLCADR A 1/40PF A40428060432112525SHSOLE 0012525II VI INCCOM9021041089466389076SHSOLE 00389076ILLINOIS TOOL WKS INCCOM45230810912632105404SHSOLE 00105404IMMUCELL CORPCOM PAR $0.1045252530634244191SHSOLE 0044191INTEL CORPCOM458140100410661087854SHSOLE 001087854INTELLIGENT SYS CORP NEWCOM45816D10028778742SHSOLE 0078742INTERCONTINENTAL EXCHANGE INCOM45866F1042961100SHSOLE 001100INTERNATIONAL BUSINESS MACHSCOM459200101266116751SHSOLE 0017199INVESCO TR INVT GRADE MUNSCOM46131M10644731700PRNSOLE 0031700INVESCO TR INVT GRADE NY MUNCOM46131T10136924000PRNSOLE 0024000ISHARES TRCORE US AGGBD ET4642872263783365SHSOLE 003365ISHARES TRLATN AMER 40 ETF46428739065623380SHSOLE 0023380ISHARES TRCORE S&P SCP ETF4642878043893132SHSOLE 003132ITT INCCOM45073V10847913371SHSOLE 0013371JACOBS ENGR GROUP INC DELCOM4698141079974192845SHSOLE 00192845JETBLUE AIRWAYS CORPCOM47714310117310050SHSOLE 0010050JOHNSON & JOHNSONCOM478160104507842985SHSOLE 0044985JOHNSON CTLS INTL PLCSHSG5150210521319458185SHSOLE 00458185JOY GLOBAL INCCOM48116510838613900SHSOLE 0013900JPMORGAN CHASE & COCOM46625H10014938224323SHSOLE 00224323KELLOGG COCOM4878361082152780SHSOLE 002780KELLY SVCS INCCL A4881522083250169116SHSOLE 00169116KENNAMETAL INCCOM4891701009491327045SHSOLE 00327045KERYX BIOPHARMACEUTICALS INCCOM49251510138372200SHSOLE 0072200KIMBERLY CLARK CORPCOM4943681033783000SHSOLE 003000KNOWLES CORPCOM49926D10926819100SHSOLE 0019100KOHLS CORPCOM5002551049654220664SHSOLE 00220664KONINKLIJKE PHILIPS N VNY REG SH NEW5004723032378004SHSOLE 008004L-3 COMMUNICATIONS HLDGS INCCOM5024241043922600SHSOLE 002600LAZARD LTDSHS AG540501022657300SHSOLE 007300LEGG MASON INCCOM5249011052688000SHSOLE 008000LEXINGTON REALTY TRUSTCOM52904310134633549SHSOLE 0033549LIBERTY BROADBAND CORPCOM SER A5303071072113001SHSOLE 003001LIBERTY BROADBAND CORPCOM SER C5303073056268764SHSOLE 008764LIBERTY MEDIA CORP DELAWARECOM A SIRIUSXM531229409210461919SHSOLE 0061919LIBERTY MEDIA CORP DELAWARECOM C SIRIUSXM5312296076193185374SHSOLE 00185374LIBERTY MEDIA CORP DELAWARECOM C MEDIA GRP531229854129846126SHSOLE 0046126LIBERTY MEDIA CORP DELAWARECOM A MEDIA GRP53122987043915329SHSOLE 0015329LILLY ELI & COCOM532457108409351000SHSOLE 0051000LIVE NATION ENTERTAINMENT INCOM53803410964623526SHSOLE 0023526M & T BK CORPCOM55261F104579949948SHSOLE 0049948MANHATTAN BRIDGE CAPITAL INCCOM56280310622030675SHSOLE 0030675MCEWEN MNG INCCOM58039P1073710000SHSOLE 0010000MEDICAL PPTYS TRUST INCCOM58463J30457839100SHSOLE 0039100MEDTRONIC PLCSHSG5960L10389410353SHSOLE 0010353MERCER INTL INCCOM588056101998117850SHSOLE 00117850MERCK & CO INCCOM58933Y1055408654SHSOLE 0017603METLIFE INCCOM59156R10815209342318SHSOLE 00342318MFC BANCORP LTDCOM55278T1055325850SHSOLE 0025850MFS INTER INCOME TRSH BEN INT55273C107653144110PRNSOLE 00144110MICROSOFT CORPCOM59491810414376249591SHSOLE 00249791MIDDLEBURG FINANCIAL CORPCOM5960941022866101348SHSOLE 00101348MITCHAM INDS INCCOM6065011049227600SHSOLE 0027600MONMOUTH REAL ESTATE INVT COCL A609720107120584450SHSOLE 0084450MORGAN STANLEYCOM NEW6174464482768600SHSOLE 008600MORGAN STANLEY EMER MKTS DEBCOM61744H10512012450PRNSOLE 0012450MOSAIC CO NEWCOM61945C1035485224247SHSOLE 00224247NATIONAL WESTN LIFE GROUP INCL A6385171021029450122SHSOLE 0050122NEUSTAR INCCL A64126X2014398165400SHSOLE 00165400NEW MEDIA INVT GROUP INCCOM64704V106119076750SHSOLE 0076750NORTHERN TR CORPCOM6658591042383500SHSOLE 003500NORWEGIAN CRUISE LINE HLDGSSHSG66721104114630400SHSOLE 0030400NOVARTIS A GSPONSORED ADR66987V109127816182SHSOLE 0017022NOW INCCOM67011P1003138146415SHSOLE 00146415NUCOR CORPCOM670346105193139046SHSOLE 0039046NUVEEN CR STRATEGIES INCM FDCOM SHS67073D10213015300PRNSOLE 0015300NUVEEN MUN VALUE FD INCCOM67092810018017000PRNSOLE 0017000NUVEEN PFD INCOME OPPRTNY FDCOM67073B10611011000PRNSOLE 0011000NUVEEN PREFERRED SECURITIESCOM67072C10530131349PRNSOLE 0031349OMEGA PROTEIN CORPCOM68210P107101443400SHSOLE 0043400OPHTHOTECH CORPCOM68374510350610975SHSOLE 0010975OPKO HEALTH INCCOM68375N1031869176500SHSOLE 00176500ORBCOMM INCCOM68555P10046745600SHSOLE 0045600PANDORA MEDIA INCCOM69835410725117500SHSOLE 0017500PDC ENERGY INCCOM69327R1016579800SHSOLE 009800PERRIGO CO PLCSHSG978221035315745SHSOLE 005759PFIZER INCCOM7170811033918115675SHSOLE 00115675PHILLIPS 66COM7185461042423000SHSOLE 003000PIMCO INCOME STRATEGY FUNDCOM72201H10845642700PRNSOLE 0042700PIMCO INCOME STRATEGY FUND ICOM72201J10436238000PRNSOLE 0038000POTASH CORP SASK INCCOM73755L1073822234195SHSOLE 00234195POWERSHARES QQQ TRUSTUNIT SER 173935A1042341972SHSOLE 001972PROSPECT CAPITAL CORPORATIONCOM74348T1021507186100SHSOLE 00186100PUBLIC SVC ENTERPRISE GROUPCOM74457310676518266SHSOLE 0018266PUTNAM PREMIER INCOME TRSH BEN INT746853100778159100PRNSOLE 00159100QUALCOMM INCCOM747525103356852094SHSOLE 0052094QUEST DIAGNOSTICS INCCOM74834L1008119580SHSOLE 009580RAMCO-GERSHENSON PPTYS TRCOM SH BEN INT75145220225313500SHSOLE 0013500RAND CAP CORPCOM752185108543149300SHSOLE 00149300REALOGY HLDGS CORPCOM75605Y106180569800SHSOLE 0069800RESEARCH FRONTIERS INCCOM760911107504194550SHSOLE 00194550ROCKWELL COLLINS INCCOM77434110112717150779SHSOLE 00150779ROYAL DUTCH SHELL PLCSPONS ADR A78025920657411469SHSOLE 0011469RTI SURGICAL INCCOM74975N10512138500SHSOLE 0038500SALISBURY BANCORP INCCOM7952261093059875SHSOLE 009875SANDERSON FARMS INCCOM800013104701572820SHSOLE 0072820SANOFISPONSORED ADR80105N1052606800SHSOLE 006800SCHEIN HENRY INCCOM80640710211987350SHSOLE 007350SCHNITZER STL INDSCL A8068821065759275570SHSOLE 00275570SEABOARD CORPCOM8115431071331387SHSOLE 00387SEACOR HOLDINGS INCCOM811904101144624300SHSOLE 0024300SENECA FOODS CORP NEWCL A817070501118541950SHSOLE 0041950SIMPSON MANUFACTURING CO INCCOM82907310572016380SHSOLE 0016380SONOCO PRODS COCOM83549510217077323253SHSOLE 00323253SPDR S&P 500 ETF TRTR UNIT78462F1034472066SHSOLE 002066SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y1078693080SHSOLE 003080SPDR SERIES TRUSTS&P BIOTECH78464A87069610500SHSOLE 0010500SPROTT FOCUS TR INCCOM85208J10948169695PRNSOLE 0069695STRYKER CORPCOM863667101739963556SHSOLE 0063556SUPERIOR INDS INTL INCCOM8681681053721127605SHSOLE 00127605SWISS HELVETIA FD INCCOM87087510126324564PRNSOLE 0024564SYMANTEC CORPCOM871503108188575105SHSOLE 0075105SYNCHRONY FINLCOM87165B103142951025SHSOLE 0051025SYSTEMAX INCCOM87185110167585254SHSOLE 0085254TARGET CORPCOM87612E1066639650SHSOLE 009650TEJON RANCH COCOM8790801098038330490SHSOLE 00330990TEMPLETON GLOBAL INCOME FDCOM88019810640364575PRNSOLE 0064575TERADYNE INCCOM8807701022503115970SHSOLE 00115970TERRAVIA HLDGS INCCOM88105A106683248300SHSOLE 00248300TESORO CORPCOM8816091016768500SHSOLE 008500TEVA PHARMACEUTICAL INDS LTDADR881624209256955835SHSOLE 0059835TEXAS INSTRS INCCOM88250810414485206394SHSOLE 00206394THERMO FISHER SCIENTIFIC INCCOM883556102886955756SHSOLE 0062502TICC CAPITAL CORPCOM87244T10912822000SHSOLE 0022000TIME WARNER INCCOM NEW887317303158919955SHSOLE 0019955TRACTOR SUPPLY COCOM892356106390057900SHSOLE 0057900TRI POINTE GROUP INCCOM87265H1099438716050SHSOLE 00716050TRINITY INDS INCCOM89652210974230700SHSOLE 0030700UNILEVER PLCSPON ADR NEW90476770466113950SHSOLE 0013950UNION PAC CORPCOM907818108109311200SHSOLE 0011501UNITED PARCEL SERVICE INCCL B9113121063963625SHSOLE 003625UNITED TECHNOLOGIES CORPCOM9130171092972925SHSOLE 002925UNITEDHEALTH GROUP INCCOM91324P10217299123563SHSOLE 00123563VALERO ENERGY CORP NEWCOM91913Y10074214000SHSOLE 0014000VALMONT INDS INCCOM920253101945970289SHSOLE 0070289VERIZON COMMUNICATIONS INCCOM92343V104100719366SHSOLE 0019366VISHAY INTERTECHNOLOGY INCCOM92829810826318700SHSOLE 0018700VISHAY PRECISION GROUP INCCOM92835K1039395586095SHSOLE 00586095VODAFONE GROUP PLC NEWSPNSR ADR92857W30821207727498SHSOLE 00727498VOYA PRIME RATE TRSH BEN INT92913A10030658000PRNSOLE 0058000WALGREENS BOOTS ALLIANCE INCCOM9314271084115100SHSOLE 005100WALKER & DUNLOP INCCOM93148P10210808427866SHSOLE 00427866WASHINGTON PRIME GROUP NEWCOM93964W1082880232600SHSOLE 00232600WENDYS COCOM95058W10010282952055SHSOLE 00952055WESTERN ASSET GLB HI INCOMECOM95766B10918317929PRNSOLE 0017929WESTERN ASST MN PRT FD INCCOM95766P10823714037PRNSOLE 0014037WESTERN DIGITAL CORPCOM9581021053716346SHSOLE 007420WORLD FUEL SVCS CORPCOM9814751066234134766SHSOLE 00134766XYLEM INCCOM98419M100127924383SHSOLE 0024383