0001415889-16-005764.txt : 20160509 0001415889-16-005764.hdr.sgml : 20160509 20160506174002 ACCESSION NUMBER: 0001415889-16-005764 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160509 DATE AS OF CHANGE: 20160506 EFFECTIVENESS DATE: 20160509 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: 161629387 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 03-31-2016 03-31-2016 SONORA INVESTMENT MANAGEMENT, LLC

2343 E BROADWAY BLVD, STE 116 TUCSON AZ 85719

13F HOLDINGS REPORT 028-17012 N SARA S. RAMOS 520-624-4554 SARA S. 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040688MM2 12008 10000 SH SOLE 10000 0 0 Convertible 043353AH4 1522843 1605000 SH SOLE 1605000 0 0 Convertible 049164BH8 4293068 5160000 SH SOLE 5160000 0 0 Equities 05157J108 355 520 SH SOLE 520 0 0 Convertible 052405AX5 27508 25000 SH SOLE 25000 0 0 Convertible 052414GU7 74632 70000 SH SOLE 70000 0 0 Convertible 052430KT1 18216 15000 SH SOLE 15000 0 0 Convertible 052476Q35 12390 10000 SH SOLE 10000 0 0 Convertible 053773AT4 1652413 1630000 SH SOLE 1630000 0 0 Convertible 054314DX4 5800 5000 SH SOLE 5000 0 0 Convertible 054319DW5 25217 25000 SH SOLE 25000 0 0 Equities 05508R106 16830 500 SH SOLE 500 0 0 Equities 05534B760 82836 1800 SH SOLE 1800 0 0 Convertible 05541TAD3 12233 12000 SH SOLE 12000 0 0 Equities 05945F103 6196 101 SH SOLE 101 0 0 Convertible 06051GEC9 7829 7000 SH SOLE 7000 0 0 Convertible 06051GEM7 7977 7000 SH SOLE 7000 0 0 Convertible 06051GFH7 3032 3000 SH SOLE 3000 0 0 Convertible 066614AN8 20958 20000 SH SOLE 20000 0 0 Equities 06738C786 5590 1000 SH SOLE 1000 0 0 Convertible 06741JV30 17199 18000 SH SOLE 18000 0 0 Equities 07177M103 49572 1200 SH SOLE 1200 0 0 Convertible 080680GD7 26709 25000 SH SOLE 25000 0 0 Convertible 082887NB2 18037 15000 SH SOLE 15000 0 0 Convertible 090473LB3 25232 25000 SH SOLE 25000 0 0 Equities 09061G101 60899 675 SH SOLE 675 0 0 Convertible 09061GAF8 7047311 5620000 SH SOLE 5620000 0 0 Equities 09062X103 5127 18 SH SOLE 18 0 0 Convertible 09062XAE3 3176 3000 SH SOLE 3000 0 0 Equities 09248X100 23110 1000 SH SOLE 1000 0 0 PFDs, REITs, 09253U108 645776 22827 SH SOLE 22827 0 0 Equities 10552T107 13420 1000 SH SOLE 1000 0 0 Equities 11040Y104 3 945 SH SOLE 945 0 0 Convertible 11133BAB8 3664409 3232000 SH SOLE 3202000 0 30000 Convertible 114894RP5 11886 10000 SH SOLE 10000 0 0 Equities 12507E209 1 200 SH SOLE 200 0 0 Convertible 12543DAR1 3038 3000 SH SOLE 3000 0 0 Equities 12572Q105 4685 50 SH SOLE 50 0 0 Equities 12634H101 3356 400 SH SOLE 400 0 0 Equities 12646R105 25786 680 SH SOLE 640 0 40 Equities 12663P107 387309 30401 SH SOLE 30401 0 0 Convertible 126650BJ8 260011 215000 SH SOLE 215000 0 0 PFDs, REITs, 12673A108 406000 50000 SH SOLE 50000 0 0 Convertible 12673PAC9 16389 15000 SH SOLE 15000 0 0 Equities 12709P103 6136 148 SH SOLE 148 0 0 Equities 12811L107 11392 1600 SH SOLE 1600 0 0 Equities 12811R104 824 90 SH SOLE 90 0 0 Convertible 128533ED4 37794 35000 SH SOLE 35000 0 0 Equities 13057Q107 60 28 SH SOLE 28 0 0 Convertible 130685TZ3 57476 50000 SH SOLE 50000 0 0 Convertible 13177LEH2 56430 50000 SH SOLE 50000 0 0 Equities 13321L108 75964 5875 SH SOLE 5875 0 0 Equities 13645T100 32820 227 SH SOLE 227 0 0 Equities 13780R109 287000 35000 SH SOLE 35000 0 0 Convertible 14040HAN5 8138 8000 SH SOLE 8000 0 0 Equities 14068E117 170 2000 SH SOLE 2000 0 0 Equities 14149Y108 19947 231 SH SOLE 231 0 0 Convertible 14912L4D0 9073 8000 SH SOLE 8000 0 0 Equities 15135U109 9262 622 SH SOLE 622 0 0 Convertible 155048AY7 10800 10000 SH SOLE 10000 0 0 Convertible 155839CN1 26552 25000 SH SOLE 25000 0 0 Convertible 156700AR7 2042 2000 SH SOLE 2000 0 0 Equities 15670R107 50316 1400 SH SOLE 1400 0 0 Convertible 15670RAC1 9153159 9945000 SH SOLE 9875000 0 70000 Convertible 16115QAC4 1576998 1720000 SH SOLE 1700000 0 20000 Equities 16387P103 29241 2000 SH SOLE 2000 0 0 Convertible 163893AD2 1995 2000 SH SOLE 2000 0 0 Convertible 167723CV5 53291 50000 SH SOLE 50000 0 0 Equities 16934Q208 370392 26400 SH SOLE 26400 0 0 Equities 16941M109 23196 400 SH SOLE 400 0 0 Equities 17243V102 71080 2000 SH SOLE 2000 0 0 Equities 17275R102 466926 16540 SH SOLE 16540 0 0 Convertible 17275RAE2 1832 1667 SH SOLE 1667 0 0 Convertible 172967EH0 3160 3000 SH SOLE 3000 0 0 Convertible 172967HD6 16752 16000 SH SOLE 16000 0 0 Convertible 180847V28 5031 5000 SH SOLE 5000 0 0 Convertible 180848GA5 26745 25000 SH SOLE 25000 0 0 Convertible 181059KQ8 35176 35000 SH SOLE 35000 0 0 Convertible 181108UK5 37410 35000 SH SOLE 35000 0 0 Convertible 184496AL1 2035 2000 SH SOLE 2000 0 0 Convertible 191800CY5 37781 35000 SH SOLE 35000 0 0 PFDs, REITs, 19625X102 48820 2000 SH SOLE 2000 0 0 Equities 20030N101 7320 120 SH SOLE 120 0 0 Equities 20605P101 45280 400 SH SOLE 400 0 0 Equities 20825C104 1956741 42290 SH SOLE 41990 0 300 Equities 21036P108 94104 600 SH SOLE 600 0 0 Equities 21077F100 30 10 SH SOLE 10 0 0 Convertible 21226PKD9 27785 25000 SH SOLE 25000 0 0 Convertible 21925YAB9 12157362 12265000 SH SOLE 12260000 0 5000 Convertible 219350BB0 30130 30000 SH SOLE 30000 0 0 PFDs, REITs, 22002T108 52720 2000 SH SOLE 2000 0 0 Convertible 2201125R3 17990 15000 SH SOLE 15000 0 0 PFDs, REITs, 22025Y407 61440 2000 SH SOLE 2000 0 0 Equities 22160K105 1799570 11878 SH SOLE 11878 0 0 Equities 22208A101 0 2000 SH SOLE 2000 0 0 Equities 22410J106 741 5 SH SOLE 5 0 0 Equities 22544F103 206100 90000 SH SOLE 90000 0 0 PFDs, REITs, 22758A105 24120 1000 SH SOLE 1000 0 0 Equities 23129V109 128128 1300 SH SOLE 1300 0 0 Equities 23131C107 89010 1178 SH SOLE 1178 0 0 Convertible 235416Z56 29113 25000 SH SOLE 25000 0 0 Convertible 235825AB2 3105 3000 SH SOLE 3000 0 0 Convertible 235825AE6 1930 2000 SH SOLE 2000 0 0 Convertible 240685GS0 26613 25000 SH SOLE 25000 0 0 Convertible 242595SQ0 26033 25000 SH SOLE 25000 0 0 Convertible 249908AA2 6370282 5715000 SH SOLE 5670000 0 45000 Convertible 25179MAV5 2066 2000 SH SOLE 2000 0 0 Equities 25243Q205 21994 200 SH SOLE 200 0 0 Equities 25375L206 33 100 SH SOLE 100 0 0 Equities 25389M877 7444 400 SH SOLE 400 0 0 PFDs, REITs, 25537M100 7839 1065 SH SOLE 1065 0 0 Equities 2553E1180 690 45 SH SOLE 45 0 0 Equities 25659T107 552 13 SH SOLE 13 0 0 Equities 25746U109 1334 19 SH SOLE 19 0 0 Convertible 257867AT8 38570 38000 SH SOLE 38000 0 0 Convertible 258887CQ9 22228 20000 SH SOLE 20000 0 0 Convertible 260003AC2 58072 45000 SH SOLE 45000 0 0 Convertible 262061NX8 11785 10000 SH SOLE 10000 0 0 Equities 26441C105 11514 150 SH SOLE 150 0 0 PFDs, REITs, 26613Q106 20320 500 SH SOLE 500 0 0 Equities 26817R108 2012 123 SH SOLE 123 0 0 Equities 26841Y103 11 300 SH SOLE 300 0 0 Convertible 268648AQ5 4679 5000 SH SOLE 5000 0 0 Equities 26874R108 15900 500 SH SOLE 500 0 0 Equities 27032F200 0 44 SH SOLE 44 0 0 Convertible 278062AC8 6010 6000 SH SOLE 6000 0 0 Equities 27828N102 4414 420 SH SOLE 420 0 0 Equities 27829M103 97143 8035 SH SOLE 8035 0 0 Convertible 27875TAA9 2932623 2994000 SH SOLE 2994000 0 0 Equities 28226B104 21120 3000 SH SOLE 3000 0 0 Convertible 283365GK4 52943 50000 SH SOLE 50000 0 0 Equities 29082A107 11995 500 SH SOLE 500 0 0 PFDs, REITs, 29250R106 10875 500 SH SOLE 500 0 0 Convertible 29270CG74 28600 25000 SH SOLE 25000 0 0 Convertible 29270CWA9 10921 10000 SH SOLE 10000 0 0 PFDs, REITs, 29273R109 27320 770 SH SOLE 770 0 0 PFDs, REITs, 29273V100 22620 2000 SH SOLE 2000 0 0 PFDs, REITs, 29274D604 136907 26430 SH SOLE 25830 0 600 Convertible 29404KAA4 7553164 8435000 SH SOLE 8415000 0 20000 Convertible 299398BK2 34680 30000 SH SOLE 30000 0 0 Equities 30063P105 20748 2800 SH SOLE 2800 0 0 Equities 30161Q104 16310 3500 SH SOLE 3500 0 0 Convertible 30212PAB1 7774 7000 SH SOLE 7000 0 0 Convertible 30212PAH8 7722 7000 SH SOLE 7000 0 0 Convertible 30219GAM0 2118 2000 SH SOLE 2000 0 0 PFDs, REITs, 30225T102 63310 732 SH SOLE 732 0 0 Equities 30231G102 2866911 32828 SH SOLE 32828 0 0 Equities 30303M102 132891 1207 SH SOLE 1207 0 0 Equities 30304R407 43908 1841 SH SOLE 1841 0 0 Convertible 307000AA7 3128 3000 SH SOLE 3000 0 0 Equities 3073E1080 5033 55 SH SOLE 55 0 0 Convertible 311315UC7 27707 25000 SH SOLE 25000 0 0 Equities 31428X106 58112 351 SH SOLE 351 0 0 Equities 31678A103 1792 327 SH SOLE 327 0 0 Equities 31816Q101 1589 88 SH SOLE 88 0 0 Convertible 320517AB1 3000 3000 SH SOLE 3000 0 0 Equities 33734X119 106550 2333 SH SOLE 2333 0 0 Equities 33736Q104 890 23 SH SOLE 23 0 0 Convertible 34061MAS5 25502 25000 SH SOLE 25000 0 0 Equities 34385P108 4950 500 SH SOLE 500 0 0 Convertible 345277AE7 66174 50000 SH SOLE 50000 0 0 Convertible 345397VM2 15520 13000 SH SOLE 13000 0 0 Equities 35671D857 3405 300 SH SOLE 300 0 0 Convertible 358240FC8 48945 40000 SH SOLE 40000 0 0 Equities 35906A108 27750 5000 SH SOLE 5000 0 0 Equities 35952H106 329 50 SH SOLE 50 0 0 Convertible 362320BA0 55564 45000 SH SOLE 45000 0 0 Convertible 36238GAD4 28200 25000 SH SOLE 25000 0 0 Equities 36249M106 11795 1666 SH SOLE 1666 0 0 Convertible 364760AK4 8654538 8140000 SH SOLE 8140000 0 0 Convertible 369300AL2 20175 35000 SH SOLE 35000 0 0 Convertible 369604BC6 16009 15000 SH SOLE 15000 0 0 Convertible 36962G5H3 20236 20000 SH SOLE 20000 0 0 Convertible 36966R4C7 21735 19000 SH SOLE 19000 0 0 Equities 37045V118 1264 57 SH SOLE 57 0 0 Equities 37045V126 803 57 SH SOLE 57 0 0 Convertible 37045XAB2 15155 14000 SH SOLE 14000 0 0 PFDs, REITs, 370ESC121 0 400 SH SOLE 400 0 0 PFDs, REITs, 370ESC9S6 0 15000 SH SOLE 15000 0 0 PFDs, REITs, 370ESCBW4 0 15000 SH SOLE 15000 0 0 Convertible 375306AU1 10155 10000 SH SOLE 10000 0 0 Convertible 375558AU7 3348 3000 SH SOLE 3000 0 0 Equities 38045R107 2082 304 SH SOLE 304 0 0 Equities 38079K101 0 4000 SH SOLE 4000 0 0 Convertible 38141E2V0 21357 20000 SH SOLE 20000 0 0 Convertible 38141E5H8 35627 35000 SH SOLE 35000 0 0 Convertible 38141ED48 26751 25000 SH SOLE 25000 0 0 Equities 38141G104 431545 2614 SH SOLE 2614 0 0 Convertible 38143VAA7 57073 50000 SH SOLE 50000 0 0 Convertible 382512BQ3 26117 25000 SH SOLE 25000 0 0 Equities 38268T103 1026 80 SH SOLE 80 0 0 PFDs, REITs, 38376A103 837949 45915 SH SOLE 45915 0 0 Convertible 391577RK1 10829 10000 SH SOLE 10000 0 0 Convertible 392274ZX7 27415 25000 SH SOLE 25000 0 0 Equities 39303X109 0 1000 SH SOLE 1000 0 0 Equities 40204A107 0 100 SH SOLE 100 0 0 PFDs, REITs, 40414L109 208311 6125 SH SOLE 6125 0 0 Equities 40434H104 10185 3500 SH SOLE 3500 0 0 Equities 40449J103 3322 200 SH SOLE 200 0 0 Convertible 40588E310 18815 15000 SH SOLE 15000 0 0 Equities 40650V100 337 11 SH SOLE 11 0 0 PFDs, REITs, 41068X100 19930 1000 SH SOLE 1000 0 0 Convertible 414005QD3 17993 15000 SH SOLE 15000 0 0 PFDs, REITs, 41902R103 238950 15000 SH SOLE 15000 0 0 Convertible 419792DA1 5035 5000 SH SOLE 5000 0 0 PFDs, REITs, 42217K700 9156 350 SH SOLE 350 0 0 Equities 42727E115 11 50 SH SOLE 50 0 0 Convertible 428040BJ7 8020 8000 SH SOLE 8000 0 0 Convertible 428236BQ5 26161 25000 SH SOLE 25000 0 0 Convertible 428236BV4 15933 15000 SH SOLE 15000 0 0 Convertible 432342CR2 10046 10000 SH SOLE 10000 0 0 Convertible 432841NM2 32228 30000 SH SOLE 30000 0 0 Convertible 436440AC5 10292334 7559000 SH SOLE 7549000 0 10000 Convertible 43799AHW5 9747 10000 SH SOLE 10000 0 0 PFDs, REITs, 44106M102 765590 29221 SH SOLE 29221 0 0 Convertible 448055AF0 7783 7000 SH SOLE 7000 0 0 Equities 44980X109 64846 658 SH SOLE 658 0 0 Convertible 451102AX5 1978 2000 SH SOLE 2000 0 0 Convertible 452152NF4 35105 35000 SH SOLE 35000 0 0 Convertible 45385LHC0 49795 50000 SH SOLE 50000 0 0 Convertible 455057XG9 11144 10000 SH SOLE 10000 0 0 Convertible 458140AJ9 4266 4000 SH SOLE 4000 0 0 Equities 45865V100 4327 18 SH SOLE 18 0 0 Convertible 459200GJ4 1773 1666 SH SOLE 1666 0 0 Equities 46123D205 6217 761 SH SOLE 761 0 0 Convertible 46123DAB2 659050 700000 SH SOLE 700000 0 0 PFDs, REITs, 46131B100 292174 23115 SH SOLE 23115 0 0 Equities 46131M106 68944 4828 SH SOLE 4828 0 0 Equities 46132E107 54825 4334 SH SOLE 4334 0 0 Convertible 46256QCT1 36017 35000 SH SOLE 35000 0 0 Convertible 46360TDV2 25026 25000 SH SOLE 25000 0 0 Convertible 463831KM8 10992 10000 SH SOLE 10000 0 0 Equities 46428Q109 21021 1300 SH SOLE 1300 0 0 Equities 46429B663 13607 172 SH SOLE 172 0 0 Equities 46429B697 10868 247 SH SOLE 247 0 0 Equities 46432F339 5450 82 SH SOLE 82 0 0 Convertible 464337AJ3 12793894 13485000 SH SOLE 13450000 0 35000 Equities 46434V621 11029 410 SH SOLE 410 0 0 Equities 46489V104 5700 5000 SH SOLE 5000 0 0 Convertible 46603AAW1 50426 50000 SH SOLE 50000 0 0 Convertible 46613C2F1 12228 10000 SH SOLE 10000 0 0 Equities 46625H100 371538 5842 SH SOLE 5842 0 0 Convertible 46625HJE1 2058 2000 SH SOLE 2000 0 0 Equities 47077R109 90 40 SH SOLE 40 0 0 Convertible 472319AK8 8263 8000 SH SOLE 8000 0 0 Convertible 473143DQ5 5366 5000 SH SOLE 5000 0 0 Equities 48203R104 64147 2725 SH SOLE 2725 0 0 Convertible 48203RAG9 4679270 4620000 SH SOLE 4620000 0 0 Convertible 482480AC4 1003661 985000 SH SOLE 985000 0 0 Equities 48660Q102 1866 109 SH SOLE 109 0 0 Convertible 494368AS2 101490 77000 SH SOLE 77000 0 0 Equities 49456B101 152863 8740 SH SOLE 8740 0 0 Equities 49456B119 2 57 SH SOLE 57 0 0 Convertible 494619BR9 10350 10000 SH SOLE 10000 0 0 Convertible 498531FE7 12408 10000 SH SOLE 10000 0 0 Equities 50540R409 2127 17 SH SOLE 17 0 0 Equities 50730N101 0 700000 SH SOLE 700000 0 0 Convertible 5178405M2 27189 25000 SH SOLE 25000 0 0 Equities 52171N103 13 2500 SH SOLE 2500 0 0 PFDs, REITs, 5252E2040 78 600 SH SOLE 600 0 0 PFDs, REITs, 525ESC711 0 20092 SH SOLE 20092 0 0 Convertible 525ESCGU7 1365 20000 SH SOLE 20000 0 0 Convertible 526057BS2 3060 3000 SH SOLE 3000 0 0 Convertible 529772AE5 2844865 2675000 SH SOLE 2675000 0 0 Equities 53190A205 0 66 SH SOLE 66 0 0 Convertible 532716AM9 776344 735000 SH SOLE 735000 0 0 Convertible 532716AS6 8707138 7555000 SH SOLE 7555000 0 0 Equities 53578A108 10241 85 SH SOLE 85 0 0 Convertible 538034AJ8 3674969 3745000 SH SOLE 3730000 0 15000 Convertible 544495WB6 58368 50000 SH SOLE 50000 0 0 Equities 54755T100 9439 46000 SH SOLE 46000 0 0 Convertible 548661AH0 193863 145000 SH SOLE 145000 0 0 Equities 55024U109 25 1 SH SOLE 1 0 0 Equities 55068R202 21384 400 SH SOLE 400 0 0 Convertible 55262CAD2 2108 2000 SH SOLE 2000 0 0 Convertible 55292PAB1 6966315 7213000 SH SOLE 7213000 0 0 Convertible 55608BAA3 2303872 2050000 SH SOLE 2050000 0 0 Equities 55973B110 0 200 SH SOLE 200 0 0 Equities 56585A102 219349 5327 SH SOLE 5327 0 0 Convertible 56585AAG7 1893 2000 SH SOLE 2000 0 0 Convertible 566795LB4 26244 25000 SH SOLE 25000 0 0 Convertible 566897TH7 25151 25000 SH SOLE 25000 0 0 Convertible 567137F25 17864 15000 SH SOLE 15000 0 0 Convertible 567150DX2 26876 25000 SH SOLE 25000 0 0 Convertible 567438PR1 25206 25000 SH SOLE 25000 0 0 Convertible 567527QY5 25955 25000 SH SOLE 25000 0 0 Convertible 56879EFJ3 25914 25000 SH SOLE 25000 0 0 Equities 57060U100 449 20 SH SOLE 20 0 0 Equities 57060U134 18682 575 SH SOLE 575 0 0 Equities 57060U605 4855 100 SH SOLE 100 0 0 Equities 57061R551 45000 1125 SH SOLE 1125 0 0 Convertible 57582NSJ5 11559 10000 SH SOLE 10000 0 0 Convertible 576051BG0 10957 10000 SH SOLE 10000 0 0 Equities 57636Q104 61097 630 SH SOLE 630 0 0 Equities 57686G105 3046 80 SH SOLE 80 0 0 Convertible 58013MEE0 10755 10000 SH SOLE 10000 0 0 Convertible 58405UAD4 7681 7000 SH SOLE 7000 0 0 PFDs, REITs, 58463J304 69907 5300 SH SOLE 5300 0 0 Convertible 587200AK2 21236 20000 SH SOLE 20000 0 0 Equities 58733R102 6230 50 SH SOLE 50 0 0 Convertible 59001AAN2 64500 60000 SH SOLE 60000 0 0 Convertible 59001AAR3 7636224 7680000 SH SOLE 7680000 0 0 Convertible 59001AAT9 5351350 5240000 SH SOLE 5240000 0 0 PFDs, REITs, 59025D207 27768 1055 SH SOLE 1055 0 0 Convertible 590485VV7 51353 50000 SH SOLE 50000 0 0 Convertible 590545UC1 36656 35000 SH SOLE 35000 0 0 Convertible 59151KAG3 2880 3000 SH SOLE 3000 0 0 Equities 59156R108 4624 100 SH SOLE 100 0 0 Convertible 592646RR6 25472 25000 SH SOLE 25000 0 0 Convertible 59333FKF6 37700 35000 SH SOLE 35000 0 0 Convertible 59334DBT0 25480 25000 SH SOLE 25000 0 0 Convertible 594615BA3 11801 10000 SH SOLE 10000 0 0 Convertible 594918BJ2 3151 3000 SH SOLE 3000 0 0 Convertible 604059AE5 829092 620000 SH SOLE 620000 0 0 Convertible 604129SZ0 56284 55000 SH SOLE 55000 0 0 Equities 60461S104 0 1215 SH SOLE 1215 0 0 Convertible 60534QRG8 25488 25000 SH SOLE 25000 0 0 Convertible 605699JB4 26802 25000 SH SOLE 25000 0 0 Convertible 60636WJH9 11154 10000 SH SOLE 10000 0 0 Convertible 606432BT8 10337 10000 SH SOLE 10000 0 0 Convertible 6069017U4 10543 10000 SH SOLE 10000 0 0 Convertible 607114T47 25844 25000 SH SOLE 25000 0 0 Equities 60855R100 32740 500 SH SOLE 500 0 0 Equities 61022P100 1609951 69275 SH SOLE 69275 0 0 Equities 61166W101 83449 887 SH SOLE 887 0 0 Convertible 61747YDT9 20616 20000 SH SOLE 20000 0 0 Convertible 61760LFF7 12589 13000 SH SOLE 13000 0 0 Equities 61945A107 1121641 39662 SH SOLE 39562 0 100 Equities 62010U101 179 15 SH SOLE 15 0 0 Equities 62472C102 0 400 SH SOLE 400 0 0 Convertible 62719TBJ6 30357 30000 SH SOLE 30000 0 0 Convertible 63968AD77 26057 25000 SH SOLE 25000 0 0 Equities 64110D104 7356 300 SH SOLE 300 0 0 Equities 64110L106 15063 161 SH SOLE 161 0 0 Convertible 646136XS5 5207 5000 SH SOLE 5000 0 0 Equities 64704V106 11349 721 SH SOLE 721 0 0 PFDs, REITs, 64828T102 180750 15000 SH SOLE 15000 0 0 PFDs, REITs, 64944P307 376931 7495 SH SOLE 7495 0 0 Convertible 64966LS77 12362 10000 SH SOLE 10000 0 0 Convertible 64990ADN2 12153 10000 SH SOLE 10000 0 0 Convertible 64990EUT2 12659 10000 SH SOLE 10000 0 0 Equities 65333Q202 0 1 SH SOLE 1 0 0 Equities 65339F101 188303 1645 SH SOLE 1645 0 0 Equities 65370G109 503720 98000 SH SOLE 98000 0 0 Equities 65473P105 11165 500 SH SOLE 500 0 0 Convertible 655275GN9 61355 60000 SH SOLE 60000 0 0 Equities 65704X109 4 1 SH SOLE 1 0 0 Convertible 658196PP9 6321 5000 SH SOLE 5000 0 0 Convertible 658203X82 12480 10000 SH SOLE 10000 0 0 Convertible 662839AK5 25089 25000 SH SOLE 25000 0 0 Equities 66987V109 7650 100 SH SOLE 100 0 0 Convertible 66988TBB8 25014 25000 SH SOLE 25000 0 0 Equities 67011P100 1331 75 SH SOLE 75 0 0 Equities 67020Y100 13908 777 SH SOLE 777 0 0 Convertible 67020YAF7 10630338 10680000 SH SOLE 10630000 0 50000 Equities 67066G104 37215 1021 SH SOLE 1021 0 0 Equities 67066V101 93450 6148 SH SOLE 6148 0 0 Equities 67087W203 0 1 SH SOLE 1 0 0 Equities 67090X107 9338 700 SH SOLE 700 0 0 Convertible 672211BM0 5102 5000 SH SOLE 5000 0 0 Equities 67555N107 74 14 SH SOLE 14 0 0 Convertible 67766WVL3 12079 10000 SH SOLE 10000 0 0 Equities 68230M209 0 1250 SH SOLE 1250 0 0 Equities 68235C107 268 50 SH SOLE 50 0 0 PFDs, REITs, 68268N103 22271 624 SH SOLE 624 0 0 Equities 68375N103 22240 2000 SH SOLE 2000 0 0 Equities 68389X105 380504 9331 SH SOLE 9331 0 0 Equities 68556C108 0 100000 SH SOLE 100000 0 0 Convertible 686507DN1 27578 25000 SH SOLE 25000 0 0 Convertible 688225AG6 3090 3000 SH SOLE 3000 0 0 Equities 68827R108 4298 700 SH SOLE 700 0 0 Equities 69343T107 585 25 SH SOLE 25 0 0 Convertible 69352JAN7 1540 2000 SH SOLE 2000 0 0 PFDs, REITs, 69360J669 2908 114 SH SOLE 114 0 0 Equities 69404A104 1 1000 SH SOLE 1000 0 0 Equities 70337F103 43 500 SH SOLE 500 0 0 Equities 70450Y103 5734 144 SH SOLE 144 0 0 Convertible 704549AF1 440 4000 SH SOLE 4000 0 0 Convertible 709224FX2 12268 10000 SH SOLE 10000 0 0 PFDs, REITs, 70931T103 106640 8000 SH SOLE 8000 0 0 Convertible 712851AJ3 38258 35000 SH SOLE 35000 0 0 Convertible 713448BH0 1801 1667 SH SOLE 1667 0 0 Equities 71654V408 10395 1500 SH SOLE 1500 0 0 Convertible 717081DB6 129956 115000 SH SOLE 115000 0 0 Equities 71715W106 0 630 SH SOLE 630 0 0 Convertible 717813GG8 30360 30000 SH SOLE 30000 0 0 Convertible 71883MEZ3 37584 35000 SH SOLE 35000 0 0 Convertible 71883PJP3 12515 10000 SH SOLE 10000 0 0 Convertible 71883RJQ7 11328 10000 SH SOLE 10000 0 0 Convertible 71883RNK5 12403 10000 SH SOLE 10000 0 0 Convertible 718849BD3 11604 10000 SH SOLE 10000 0 0 Convertible 71884ARN1 26286 25000 SH SOLE 25000 0 0 PFDs, REITs, 71943U104 63910 3500 SH SOLE 3500 0 0 Convertible 720611VJ8 26349 25000 SH SOLE 25000 0 0 Convertible 72177LAS8 52890 50000 SH SOLE 50000 0 0 Convertible 721815EQ7 50368 50000 SH SOLE 50000 0 0 Convertible 721876RH5 11896 10000 SH SOLE 10000 0 0 Equities 72201H108 660759 66676 SH SOLE 66676 0 0 Equities 72201J104 640451 71880 SH SOLE 71880 0 0 Equities 72201R205 36519 700 SH SOLE 700 0 0 Convertible 733174AJ5 1973 2000 SH SOLE 2000 0 0 Equities 73755L107 1815 102 SH SOLE 102 0 0 PFDs, REITs, 73935A104 114974 1055 SH SOLE 1055 0 0 Equities 73935X302 46797 3190 SH SOLE 3190 0 0 Equities 73935X716 1216 83 SH SOLE 83 0 0 Equities 73936B507 281 34 SH SOLE 34 0 0 Equities 74005P104 3576 30 SH SOLE 30 0 0 Equities 74112D101 11336 200 SH SOLE 200 0 0 Equities 74144T108 2694 35 SH SOLE 35 0 0 PFDs, REITs, 74340W103 187739 4100 SH SOLE 4100 0 0 Equities 74347B201 202301 5300 SH SOLE 5300 0 0 Equities 74347R503 2011 100 SH SOLE 100 0 0 Equities 74347R701 4304 200 SH SOLE 200 0 0 Equities 74347R883 184 10 SH SOLE 10 0 0 Equities 74347W841 15844 400 SH SOLE 400 0 0 Equities 74347X641 3672 200 SH SOLE 200 0 0 Equities 74348T102 2587 339 SH SOLE 339 0 0 Convertible 74348TAJ1 1783 2000 SH SOLE 2000 0 0 PFDs, REITs, 74460D109 517 2 SH SOLE 2 0 0 Convertible 747525AE3 31093 30000 SH SOLE 30000 0 0 Equities 74762E110 6885 300 SH SOLE 300 0 0 Equities 74834L100 849 11 SH SOLE 11 0 0 Convertible 74838JAA9 7506548 7870000 SH SOLE 7870000 0 0 Equities 74967R106 56798 2271 SH SOLE 2254 0 17 Convertible 749685AT0 172647 145000 SH SOLE 145000 0 0 Convertible 74973WAB3 11066870 10065000 SH SOLE 10040000 0 25000 Convertible 750236AS0 3000 3000 SH SOLE 3000 0 0 Equities 75382F106 43039 8245 SH SOLE 8245 0 0 Convertible 755111AF8 61817 45000 SH SOLE 45000 0 0 Convertible 757674KM7 10269 10000 SH SOLE 10000 0 0 Convertible 75902JAG4 36804 35000 SH SOLE 35000 0 0 Convertible 75913TJE5 11509 10000 SH SOLE 10000 0 0 Equities 75915K101 1256 200 SH SOLE 200 0 0 Convertible 75987LAS1 50202 50000 SH SOLE 50000 0 0 Convertible 760759AH3 4142642 3800000 SH SOLE 3800000 0 0 Convertible 760761AB2 32998 30000 SH SOLE 30000 0 0 Convertible 76120WAA2 15743 17000 SH SOLE 17000 0 0 Convertible 777543SS9 11017 10000 SH SOLE 10000 0 0 Convertible 780097AZ4 3072 3000 SH SOLE 3000 0 0 Convertible 780287AA6 10106520 10155000 SH SOLE 10140000 0 15000 Equities 78355W106 63744 798 SH SOLE 798 0 0 Equities 78355W403 138 2 SH SOLE 2 0 0 Equities 78355W841 77354 511 SH SOLE 511 0 0 Equities 78462F103 131842 632 SH SOLE 632 0 0 Equities 78464A417 16412 470 SH SOLE 470 0 0 Equities 78464A763 81578 1010 SH SOLE 1010 0 0 Equities 78467Y107 43832 164 SH SOLE 164 0 0 Equities 78468R408 4306 163 SH SOLE 163 0 0 Convertible 786514BA6 28239 29000 SH SOLE 29000 0 0 Convertible 791676BK4 5266 5000 SH SOLE 5000 0 0 Equities 79466L302 25554 334 SH SOLE 334 0 0 Convertible 79575DXA3 26765 25000 SH SOLE 25000 0 0 Convertible 79575EAS7 123987 100000 SH SOLE 100000 0 0 Convertible 7962533W0 18464 15000 SH SOLE 15000 0 0 Convertible 798136TS6 62684 55000 SH SOLE 55000 0 0 Convertible 799022BY3 15846 15000 SH SOLE 15000 0 0 PFDs, REITs, 80007A102 3312 1200 SH SOLE 1200 0 0 Equities 80105N105 62048 1400 SH SOLE 1400 0 0 Equities 80105N113 292 2248 SH SOLE 2248 0 0 Equities 80589M102 66890 1000 SH SOLE 1000 0 0 Equities 81369Y209 31500 440 SH SOLE 440 0 0 Equities 81369Y407 7955 100 SH SOLE 100 0 0 Equities 81369Y605 81757 3479 SH SOLE 3479 0 0 Equities 81369Y704 4211 75 SH SOLE 75 0 0 Equities 81369Y803 34847 802 SH SOLE 802 0 0 PFDs, REITs, 81618T100 2057308 89565 SH SOLE 88565 0 1000 Convertible 817609AB6 5025 5000 SH SOLE 5000 0 0 Equities 82735Q102 3536 244 SH SOLE 244 0 0 Convertible 828807BW6 15234 15000 SH SOLE 15000 0 0 Equities 82966U103 1191 300 SH SOLE 300 0 0 Convertible 83368WXV8 14665 15000 SH SOLE 15000 0 0 Convertible 837151JH3 11637 10000 SH SOLE 10000 0 0 Convertible 84059QBX3 5381 5000 SH SOLE 5000 0 0 Equities 84265V105 11596 400 SH SOLE 400 0 0 Equities 84473L105 69 11 SH SOLE 11 0 0 Equities 84761T109 555 1000 SH SOLE 1000 0 0 Equities 84763A108 2045266 267355 SH SOLE 265920 0 1435 Convertible 84763AAB4 7547261 8050000 SH SOLE 7980000 0 70000 Equities 85207D103 390 1000 SH SOLE 1000 0 0 Equities 85207U105 6988 1839 SH SOLE 1839 0 0 PFDs, REITs, 85254J102 39507 1950 SH SOLE 1950 0 0 PFDs, REITs, 85571B105 631150 32753 SH SOLE 32753 0 0 Convertible 85590AAN4 138763 120000 SH SOLE 120000 0 0 Convertible 86074QAL6 4197664 3760000 SH SOLE 3760000 0 0 Convertible 864486AG0 2070 2000 SH SOLE 2000 0 0 PFDs, REITs, 86764L108 129607 4554 SH SOLE 4554 0 0 Convertible 87157BAA1 4886208 5030000 SH SOLE 4975000 0 55000 Convertible 87161CAG0 3060 3000 SH SOLE 3000 0 0 Convertible 875124FA2 10192 10000 SH SOLE 10000 0 0 Equities 87612E110 981205 11879 SH SOLE 11879 0 0 Equities 87929A102 35 3 SH SOLE 3 0 0 Convertible 880394AE1 4831 5000 SH SOLE 5000 0 0 Convertible 880541MN4 10852 10000 SH SOLE 10000 0 0 Convertible 881609AZ4 2000 2000 SH SOLE 2000 0 0 Equities 88160R101 28707 114 SH SOLE 114 0 0 Convertible 88160RAB7 14340 15000 SH SOLE 15000 0 0 Convertible 882508AR5 10011 10000 SH SOLE 10000 0 0 Convertible 88283LJW7 12656 10000 SH SOLE 10000 0 0 Equities 88360H101 0 4900 SH SOLE 4900 0 0 Equities 88554D205 367 20 SH SOLE 20 0 0 Equities 88579Y101 1979616 11757 SH SOLE 11757 0 0 Convertible 887315AM1 26498 20000 SH SOLE 20000 0 0 Convertible 88880TND4 25119 25000 SH SOLE 25000 0 0 Convertible 88880TNE2 35166 35000 SH SOLE 35000 0 0 Convertible 88947EAP5 8159938 7865000 SH SOLE 7865000 0 0 Equities 89151E113 44253 900 SH SOLE 900 0 0 Equities 89324A109 0 5 SH SOLE 5 0 0 Equities 89353D107 8012 200 SH SOLE 200 0 0 Equities 89417E113 1434 13 SH SOLE 13 0 0 Equities 89579K109 21656 530 SH SOLE 530 0 0 Convertible 896522AF6 8652 8000 SH SOLE 8000 0 0 Convertible 8987963X3 25162 25000 SH SOLE 25000 0 0 Convertible 898797CG8 12731 10000 SH SOLE 10000 0 0 Equities 90184L102 1282 75 SH SOLE 75 0 0 PFDs, REITs, 90187B101 466222 59772 SH SOLE 59772 0 0 Equities 90341K104 0 162 SH SOLE 162 0 0 Equities 90341L102 0 40 SH SOLE 40 0 0 Convertible 905572AD5 30625 25000 SH SOLE 25000 0 0 Convertible 911365BB9 3026 3000 SH SOLE 3000 0 0 Convertible 912810DX3 22842 22000 SH SOLE 22000 0 0 Convertible 912810EF1 64813 50000 SH SOLE 50000 0 0 Convertible 912810EP9 32483 24000 SH SOLE 24000 0 0 Convertible 912810EZ7 24751 17000 SH SOLE 17000 0 0 Convertible 912828KQ2 24455 23000 SH SOLE 23000 0 0 Convertible 912828M56 4123 4000 SH SOLE 4000 0 0 Equities 91324P102 6957 52 SH SOLE 52 0 0 Equities 91347P105 18045 300 SH SOLE 300 0 0 PFDs, REITs, 91359E109 31411 571 SH SOLE 571 0 0 Convertible 914062EC4 31972 25000 SH SOLE 25000 0 0 Convertible 91480QDS6 22087 20000 SH SOLE 20000 0 0 Convertible 914845MJ8 25662 25000 SH SOLE 25000 0 0 Convertible 915137W90 27582 25000 SH SOLE 25000 0 0 Equities 91911X104 2110 60 SH SOLE 60 0 0 Equities 91912E109 11962 2350 SH SOLE 2350 0 0 Equities 91913Y100 1059556 17153 SH SOLE 17153 0 0 Convertible 91913YAR1 4914629 4400000 SH SOLE 4400000 0 0 Equities 92204A207 11216 84 SH SOLE 84 0 0 Equities 92210H105 1581320 28946 SH SOLE 28946 0 0 Convertible 92240MBC1 6514228 6130000 SH SOLE 6110000 0 20000 PFDs, REITs, 92339V100 44300 5000 SH SOLE 5000 0 0 Equities 92343V104 4463295 87929 SH SOLE 87929 0 0 Convertible 92343VBR4 148233 130000 SH SOLE 130000 0 0 Convertible 92343XAA8 8741356 9650000 SH SOLE 9635000 0 15000 Equities 92346J108 640 200 SH SOLE 200 0 0 Equities 9249E1040 13172 975 SH SOLE 975 0 0 Equities 92532F100 1713 20 SH SOLE 20 0 0 Equities 92826C839 85954 1100 SH SOLE 1100 0 0 Equities 92851M108 0 500 SH SOLE 500 0 0 Equities 92927K102 5607 50 SH SOLE 50 0 0 PFDs, REITs, 92936U109 96314 1560 SH SOLE 1560 0 0 Equities 93148P102 13344 600 SH SOLE 600 0 0 Convertible 937416BB0 20919 20000 SH SOLE 20000 0 0 Convertible 93974CGB0 22289 20000 SH SOLE 20000 0 0 Equities 94106L109 648476 11508 SH SOLE 11508 0 0 Convertible 94106LAG4 94296 70000 SH SOLE 70000 0 0 Equities 94770V102 9474 150 SH SOLE 150 0 0 Convertible 94770VAF9 9200787 8005000 SH SOLE 8005000 0 0 Convertible 949746NX5 10677 10000 SH SOLE 10000 0 0 Convertible 95081QAK0 2020 2000 SH SOLE 2000 0 0 Convertible 950868LX5 25820 25000 SH SOLE 25000 0 0 Equities 95766J102 404977 59468 SH SOLE 59468 0 0 Equities 95768B107 268660 19000 SH SOLE 19000 0 0 Convertible 958254AA2 2030 2000 SH SOLE 2000 0 0 PFDs, REITs, 95931Q205 7398 300 SH SOLE 300 0 0 Equities 96145D105 30997 780 SH SOLE 780 0 0 Convertible 963320AQ9 252579 250000 SH SOLE 250000 0 0 Equities 97717W422 47971 2450 SH SOLE 2450 0 0 Equities 97717W604 20934 300 SH SOLE 300 0 0 Equities 98310W108 35144 462 SH SOLE 462 0 0 Convertible 98310WAH1 111204 110000 SH SOLE 110000 0 0 Equities 98462Y100 2105 500 SH SOLE 500 0 0 Convertible 985204GU4 27182 25000 SH SOLE 25000 0 0 Equities 98954M101 2558 100 SH SOLE 100 0 0 Equities 98954M200 4972 200 SH SOLE 200 0 0 Equities 98956P102 36691 320 SH SOLE 320 0 0 Convertible 989701BH9 2000 2000 SH SOLE 2000 0 0 Equities 98973P101 19296 2400 SH SOLE 2400 0 0 Equities 98978V103 94640 2000 SH SOLE 2000 0 0 Equities D1668R123 2122 30 SH SOLE 30 0 0 Equities D22359133 3993 100 SH SOLE 100 0 0 Equities G0129K104 109950 5000 SH SOLE 5000 0 0 Equities G01767105 21360 500 SH SOLE 500 0 0 Equities G037AX101 10490 250 SH SOLE 250 0 0 Equities G0457F107 402 100 SH SOLE 100 0 0 Equities G1151C101 3309 29 SH SOLE 29 0 0 Equities G16962105 3083 52 SH SOLE 52 0 0 PFDs, REITs, G16962204 2440625 27500 SH SOLE 27500 0 0 Equities G39637106 850 1000 SH SOLE 1000 0 0 Equities G4617B105 24330 1500 SH SOLE 1500 0 0 Equities G4766G101 12806 200 SH SOLE 200 0 0 Equities G5785G107 51464 803 SH SOLE 803 0 0 Equities G5876H105 2090 210 SH SOLE 210 0 0 Equities G6518L108 1084 21 SH SOLE 21 0 0 Equities G66721104 4931 100 SH SOLE 100 0 0 Equities G81075106 86989 5950 SH SOLE 5950 0 0 Equities M2682V108 3926 100 SH SOLE 100 0 0 Equities N53745100 1324 15 SH SOLE 15 0 0 Equities N59465109 900 20 SH SOLE 20 0 0 Equities N6596X109 29169 350 SH SOLE 350 0 0 Equities Y2687W108 28095 1500 SH SOLE 1500 0 0 Equities Y26889116 0 5 SH SOLE 5 0 0 Equities Y62159101 4049 2120 SH SOLE 2120 0 0 Equities Y6366T112 20 4 SH SOLE 4 0 0 PFDs, REITs, Y75638109 4625602 266913 SH SOLE 264091 0 2822 PFDs, REITs, Y75638125 154547 6037 SH SOLE 6037 0 0