0001427271-14-000005.txt : 20141114
0001427271-14-000005.hdr.sgml : 20141114
20141114155228
ACCESSION NUMBER: 0001427271-14-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141114
DATE AS OF CHANGE: 20141114
EFFECTIVENESS DATE: 20141114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Investors Capital Advisory Services
CENTRAL INDEX KEY: 0001427271
IRS NUMBER: 043161577
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0308
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12993
FILM NUMBER: 141223727
BUSINESS ADDRESS:
STREET 1: 6 KIMBALL LANE
CITY: LYNNFIELD
STATE: MA
ZIP: 01940
BUSINESS PHONE: 800-949-1422
MAIL ADDRESS:
STREET 1: 6 KIMBALL LANE
CITY: LYNNFIELD
STATE: MA
ZIP: 01940
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001427271
XXXXXXXX
09-30-2014
09-30-2014
Investors Capital Advisory Services
6 KIMBALL LANE
LYNNFIELD
MA
01940
13F HOLDINGS REPORT
028-12993
N
Chris Ginolfi
VP, Compliance
8009491422
Chris Ginolfi
Lynnfield
MA
11-14-2014
9
1008
509228
false
22
Time Capital
19
028-14868
Wellesley Investment Advisor
15
028-01317
Carret Asset Management
13
028-11180
Valueworks, LLC
12
Sentinel
11
028-11952
Dividend Growth Advisors
8
Fraser
3
028-06432
Cambridge Investments
1
028-11543
Advisors Capital Management
INFORMATION TABLE
2
13F_2014_Q3.xml
ICAS 13F-HR 9-30-2014
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ROYAL CARIBBEAN CRUISES LTD ISIN#LR0008862868COMV7780T10338570SHSOLE000570
ROYAL DUTCH SHELL PLC SPONSORED ADR REPSTG B SHS ISIN#US7802591070COM7802591073274142SHSOLE0004142
ROYAL GOLD INCCOM7802871083775819SHSOLE0005819
RPM INTL INCCOM7496851033367350SHSOLE0007350
RTI INTL METALS INC SR FXD RT NT CONV 1.625% 10/15/19 B/E DTD 04/17/13COM74973WAB32527000SHSOLE00027000
RTI INTL METALS INC SR FXD RT NT CONV 1.625% 10/15/19 B/E DTD 04/17/13COM74973WAB3666697000SHSOLE1900697000
RYDEX ETF TR GUGGENHEIM S&P 500 EQUAL WEIGHT ETFCOM78355W1065657456SHSOLE0007456
RYDEX ETF TR GUGGENHEIM S&P MIDCAP 400 PURE GROWTH ETFCOM78355W6012091709SHSOLE0001709
RYDEX ETF TR GUGGENHEIM S&P SMALLCAP 600 PURE VALUE ETFCOM78355W7002864883SHSOLE0004883
RYLAND GROUP INC GTD CONVERTIBLE FXD RT 0.250% 06/01/19 B/E DTD 05/20/13COM783764AS21011000SHSOLE00011000
RYLAND GROUP INC GTD CONVERTIBLE FXD RT 0.250% 06/01/19 B/E DTD 05/20/13COM783764AS2490536000SHSOLE1900536000
SALIX PHARMACEUTICALS LTD SR NT CONV 1.500% 03/15/19 B/E DTD 03/16/12COM795435AE6125000SHSOLE0005000
SALIX PHARMACEUTICALS LTD SR NT CONV 1.500% 03/15/19 B/E DTD 03/16/12COM795435AE6268111000SHSOLE1900111000
SANDISK CORP FIXED RT SR NT CONV 1.500% 08/15/17 B/E DTD 08/25/10COM80004CAD311560000SHSOLE190060000
SANDISK CORP FIXED RT SR NT CONV 1.500% 08/15/17 B/E DTD 08/25/10COM80004CAD374000SHSOLE0004000
SANDISK CORPCOM80004C10119200SHSOLE1100200
SANDISK CORPCOM80004C1012943003SHSOLE0003003
SANDRIDGE ENERGY INC COMCOM80007P3079823040SHSOLE00023040
SCHLUMBERGER LTD COM ISIN#AN8068571086COM8068571084124058SHSOLE0004058
SCORPIO TANKERS INC SHS ISIN#MHY7542C1066COMY7542C1069511547SHSOLE10011547
SEADRILL LIMTED SHS ISIN#BMG7945E1057COMG7945E10530611472SHSOLE10011472
SEADRILL LIMTED SHS ISIN#BMG7945E1057COMG7945E10588132958SHSOLE00032958
SEAWORLD ENTMT INC COMCOM81282V10020410650SHSOLE10010650
SELECT SECTOR SPDR TR CONSUMER DISCRETIONARY TRANSN TO 06/24/02COM81369Y4072914370SHSOLE0004370
SELECT SECTOR SPDR TR CONSUMER STAPLESCOM81369Y308156434685SHSOLE00034685
SELECT SECTOR SPDR TR ENERGYCOM81369Y506117412962SHSOLE00012962
SELECT SECTOR SPDR TR FINANCIALCOM81369Y60580834907SHSOLE00034907
SELECT SECTOR SPDR TR HEALTH CARECOM81369Y209173427137SHSOLE00027137
SELECT SECTOR SPDR TR INDLCOM81369Y70481315302SHSOLE00015302
SELECT SECTOR SPDR TR TECHNOLOGYCOM81369Y803128332174SHSOLE00032174
SELECT SECTOR SPDR TR UTILSCOM81369Y88667816109SHSOLE00016109
SENIOR HSG PPTYS TR SH BEN INTCOM81721M10921210153SHSOLE00010153
SENIOR HSG PPTYS TR SH BEN INTCOM81721M10947722804SHSOLE10022804
SEQUENOM INC COM NEWCOM81733740515853400SHSOLE00053400
SHERWIN WILLIAMS COCOM8243481067763546SHSOLE11003546
SHERWIN WILLIAMS COCOM824348106945SHSOLE00045
SHIP FINANCE INTL LTD SHS ISIN#BMG810751062COMG8107510632219049SHSOLE10019049
SHIP FINANCE INTL LTD SHS ISIN#BMG810751062COMG8107510674444017SHSOLE00044017
SILVER WHEATON CORP COM ISIN#CA8283361076COM82833610772636469SHSOLE00036469
SILVERCORP METALS INC COM ISIN#CA82835P1036COM82835P1035031818SHSOLE00031818
SIMON PPTY GROUP INC NEW COMCOM8288061093151918SHSOLE0001918
SIRIUS XM HLDGS INC COMCOM82968B10311031677SHSOLE00031677
SIX FLAGS ENTMT CORP NEW COMCOM83001A10214430SHSOLE000430
SIX FLAGS ENTMT CORP NEW COMCOM83001A10256716498SHSOLE10016498
SOUTHERN CO COMCOM842587107113926107SHSOLE00026107
SOUTHERN COPPER CORP DEL COMCOM84265V10533311233SHSOLE00011233
SOUTHWEST AIRLS CO COMCOM84474110852615601SHSOLE00015601
SPDR DOW JONES INDL AVERAGE ETF TR UNIT SER 1COM78467X1099135373SHSOLE0005373
SPDR GOLD TR GOLD SHSCOM78463V10710589110SHSOLE0009110
SPDR S&P 500 ETF TR TR UNITCOM78462F10319100SHSOLE800100
SPDR S&P 500 ETF TR TR UNITCOM78462F103434122035SHSOLE00022035
SPDR S&P MIDCAP 400 ETF TR UNIT SER 1 STANDARD & POORS DEP RCPTCOM78467Y10720568249SHSOLE0008249
SPDR S&P MIDCAP 400 ETF TR UNIT SER 1 STANDARD & POORS DEP RCPTCOM78467Y107835SHSOLE80035
SPDR SER TR BARCLAYS CONV SECS ETFCOM78464A35974014915SHSOLE00014915
SPDR SER TR BARCLAYS HIGH YIELD BD ETFCOM78464A417184946039SHSOLE00046039
SPDR SER TR DOW JONES REIT ETFCOM78464A6073063846SHSOLE0003846
SPDR SER TR RUSSELL 3000 ETFCOM78464A8055153489SHSOLE0003489
SPDR SER TR S&P DIVID ETFCOM78464A763159821333SHSOLE00021333
SPDR SER TR S&P PHARMACEUTICALS ETFCOM78464A7224564302SHSOLE0004302
SPDR SER TR S&P TRANSN ETFCOM78464A5323683953SHSOLE0003953
SPDR SER TR SHORT TERM HIGH YIELD BD FD ETFCOM78468R40812424SHSOLE000424
SPDR SER TR SHORT TERM HIGH YIELD BD FD ETFCOM78468R4082137139SHSOLE1007139
SPECTRA ENERGY CORP COMCOM84756010939210000SHSOLE00010000
SPIRIT RLTY CAP INC NEW COMCOM84860W10268162131SHSOLE00062131
SPIRIT RLTY CAP INC NEW SR FXD RT NT CONV 2.875% 05/15/19 B/E DTD 05/20/14COM84860WAA03032000SHSOLE00032000
SPIRIT RLTY CAP INC NEW SR FXD RT NT CONV 2.875% 05/15/19 B/E DTD 05/20/14COM84860WAA0535555000SHSOLE1900555000
STARBUCKS CORP COMCOM855244109575SHSOLE80075
STARBUCKS CORP COMCOM85524410985111278SHSOLE00011278
STATE STR CORP COMCOM8574771031051432SHSOLE1001432
STATE STR CORP COMCOM85747710397513254SHSOLE00013254
STEMCELLS INC COM NEWCOM85857R2046552000SHSOLE00052000
STERLITE INDS INDIA LTD NTS ISIN#US859737AB48 4.000% 10/30/14 B/E DTD 10/29/09 CLBCOM859737AB42425000SHSOLE00025000
STILLWATER MNG CO SR NT CONV 1.750% 10/15/32 B/E DTD 10/17/12 CLB PUTCOM86074QAL63528000SHSOLE190028000
STILLWATER MNG CO SR NT CONV 1.750% 10/15/32 B/E DTD 10/17/12 CLB PUTCOM86074QAL654000SHSOLE0004000
STONE ENERGY CORP SR NT CONV 1.750% 03/01/17 B/E DTD 03/06/12COM861642AN6109104000SHSOLE1900104000
STONECASTLE FINL CORP COMCOM86178010436714600SHSOLE00014600
STONEMOR PARTNERS L P COM UNITSCOM86183Q1001204685SHSOLE0004685
STONEMOR PARTNERS L P COM UNITSCOM86183Q1001525925SHSOLE1005925
SUNCOR ENERGY INC NEW COM ISIN#CA8672241079COM8672241072597180SHSOLE11007180
SUNCOR ENERGY INC NEW COM ISIN#CA8672241079COM86722410732887SHSOLE000887
SUNOCO LOGISTICS PARTNERS LP COM UNITSCOM86764L1081913970SHSOLE22003970
SUNOCO LOGISTICS PARTNERS LP COM UNITSCOM86764L1084599517SHSOLE0009517
SUNOCO LOGISTICS PARTNERS LP COM UNITSCOM86764L1085006103748SHSOLE1100103748
SYMANTEC CORPCOM87150310831113240SHSOLE00013240
SYSCO CORP COMCOM8718291073188388SHSOLE1008388
SYSCO CORP COMCOM87182910734905SHSOLE300905
SYSCO CORP COMCOM87182910738310115SHSOLE00010115
TAKE-TWO INTERACTIVE SOFTWARE INC FIXED RT CONVERTIBLE SR NT 1.000% 07/01/18 B/E DTD 06/18/13COM874054AD17460000SHSOLE190060000
TAL INTL GROUP INC COMCOM87408310862215094SHSOLE00015094
TARGA RES PARTNERS LP COM UNIT LTD PARTNERSHIP INTCOM87611X1051371900SHSOLE22001900
TARGA RES PARTNERS LP COM UNIT LTD PARTNERSHIP INTCOM87611X105751040SHSOLE0001040
TARGET CORP COMCOM87612E1062273623SHSOLE0003623
TARGET CORP COMCOM87612E10631510SHSOLE300510
TASEKO MINES LTDCOM8765111063018000SHSOLE00018000
TEEKAY OFFSHORE PARTNERS L P. PARTNERSHIP UNITS ISIN#MHY8565J1010COMY8565J10149014611SHSOLE10014611
TEEKAY OFFSHORE PARTNERS L P. PARTNERSHIP UNITS ISIN#MHY8565J1010COMY8565J101631892SHSOLE0001892
TEEKAY OFFSHORE PARTNERS L P. PARTNERSHIP UNITS ISIN#MHY8565J1010COMY8565J101782340SHSOLE11002340
TEEKAY TANKERS LTD CL A ISIN#MHY8565N1022COMY8565N1025314241SHSOLE00014241
TEKLA HEALTHCARE OPPORTUNITIES FD SHS BEN INTCOM87910510455629500SHSOLE00029500
TELEFLEX INC SR SUB NT CONV 3.875% 08/01/17 B/E DTD 08/09/10COM879369AA44627000SHSOLE190027000
TESLA MTRS INC COMCOM88160R1013631497SHSOLE0001497
TESLA MTRS INC FIXED RT SR NT CONV 0.250% 03/01/19 B/E DTD 03/05/14COM88160RAB7466491000SHSOLE1900491000
TESLA MTRS INC FIXED RT SR NT CONV 0.250% 03/01/19 B/E DTD 03/05/14COM88160RAB7910000SHSOLE00010000
TESORO LOGISTICS LP COM UNIT LTD PARTNERSHIP INTCOM88160T10712175SHSOLE000175
TESORO LOGISTICS LP COM UNIT LTD PARTNERSHIP INTCOM88160T1071922720SHSOLE11002720
TESORO LOGISTICS LP COM UNIT LTD PARTNERSHIP INTCOM88160T107841195SHSOLE22001195
TEVA PHARMACEUTICAL INDUSTRIES LTD ADR ISIN#US8816242098COM8816242095319888SHSOLE0009888
TEXAS INSTRUMENTS INCCOM8825081042495230SHSOLE0005230
TEXAS PACIFIC LAND TRUST SUB SHARES CERTIFICATES OF PROP INTERESTCOM8826101083842000SHSOLE0002000
TEXTRON INC COMCOM8832031012687454SHSOLE0007454
TIFFANY & COMPANYCOM886547108101910582SHSOLE110010582
TIFFANY & COMPANYCOM88654710822235SHSOLE000235
TIME WARNER CABLE INC COMCOM88732J2073332327SHSOLE0002327
TIME WARNER INC NEW COM NEWCOM8873173035076753SHSOLE0006753
TITAN MACHY INC GTD FXD RT CONV 3.750% 05/01/19 B/E DTD 04/24/12 CLBCOM88830RAB7467611000SHSOLE1900611000
TJX COMPANIES INC (NEW)COM872540109110018602SHSOLE110018602
TJX COMPANIES INC (NEW)COM8725401091372326SHSOLE0002326
TORCHLIGHT ENERGY RES INC COMCOM89102U10318150500SHSOLE00050500
TOTAL S A SPONSORED ADRCOM89151E1094426861SHSOLE0006861
TRIANGLE CAP CORP COMCOM8958481092017939SHSOLE0007939
TTM TECHNOLOGIES INC SR NT CONV 1.750% 12/15/20 B/E DTD 12/20/13COM87305RAD13537000SHSOLE00037000
TTM TECHNOLOGIES INC SR NT CONV 1.750% 12/15/20 B/E DTD 12/20/13COM87305RAD1633652000SHSOLE1900652000
TWITTER INC COMCOM90184L1024929540SHSOLE0009540
TWO HBRS INVT CORP COMCOM90187B10113013534SHSOLE00013534
UBS AG LONDON BRH CALLABLE EXCH SEC LKD COM STK GOOGLE ISIN#US90270KAW99 0.000% 02/15/21 B/E DTD 02/19/14 CLBCOM90270KAW92122000SHSOLE00022000
UBS AG LONDON BRH CALLABLE EXCH SEC LKD COM STK GOOGLE ISIN#US90270KAW99 0.000% 02/15/21 B/E DTD 02/19/14 CLBCOM90270KAW9550561000SHSOLE1900561000
UBS AG SHS NEW ISIN#CH0024899483COMH8923133840723440SHSOLE00023440
UNILEVER NV NEW YORK SHS NEWCOM90478470974718839SHSOLE00018839
UNION PACIFIC CORP COMCOM907818108145913463SHSOLE00013463
UNITED DEV FDG IV COMCOM9101871032035102685SHSOLE000102685
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UNITED RENTALS INC COMCOM9113631091381249SHSOLE0001249
UNITED RENTALS INC COMCOM91136310964581SHSOLE1200581
UNITED STS NAT GAS FD LP UNIT PAR $0 001COM91231820131114068SHSOLE00014068
UNITED TECHNOLOGIES CORP COMCOM91301710917170SHSOLE1200170
UNITED TECHNOLOGIES CORP COMCOM913017109550SHSOLE10050
UNITED TECHNOLOGIES CORP COMCOM9130171096035713SHSOLE11005713
UNITED TECHNOLOGIES CORP COMCOM9130171098888416SHSOLE0008416
UNITEDHEALTH GROUP INC COMCOM91324P1022022344SHSOLE0002344
UNITEDHEALTH GROUP INC COMCOM91324P10233390SHSOLE300390
UNWIRED PLANET INC NEW COMCOM91531F10313874400SHSOLE00074400
US BANCORP DEL COMCOM9029733042516012SHSOLE0006012
V F CORP COMCOM9182041083254922SHSOLE0004922
V F CORP COMCOM91820410884512807SHSOLE110012807
VALE S A ADR ISIN#US91912E1055COM91912E10515914458SHSOLE00014458
VALERO ENERGY CORP NEW COMCOM91913Y1001112404SHSOLE0002404
VALERO ENERGY CORP NEW COMCOM91913Y1001603466SHSOLE1003466
VALERO ENERGY CORP NEW COMCOM91913Y1009195SHSOLE1200195
VALSPAR CORPCOM92035510411145SHSOLE000145
VALSPAR CORPCOM9203551047869960SHSOLE11009960
VANGUARD BD INDEX FD INC TOTAL BD MARKET ETFCOM9219378358059831SHSOLE0009831
VANGUARD INDEX FDS MID-CAP GROWTH INDEX VIPER SHSCOM9229085385025221SHSOLE0005221
VANGUARD INDEX FDS MID-CAP VALUE INDEX VIPER SHSCOM9229085126157248SHSOLE0007248
VANGUARD INDEX FDS S&P 500 ETF SHS NEWCOM9229083636193433SHSOLE0003433
VANGUARD INDEX FDS VANGUARD GROWTH ETFCOM922908736233623446SHSOLE00023446
VANGUARD INDEX FDS VANGUARD LARGE-CAP ETFCOM9229086372222465SHSOLE0002465
VANGUARD INDEX FDS VANGUARD MID-CAP ETFCOM9229086298126926SHSOLE0006926
VANGUARD INDEX FDS VANGUARD REIT ETFCOM9229085532643679SHSOLE0003679
VANGUARD INDEX FDS VANGUARD SMALL-CAP ETFCOM922908751184016638SHSOLE00016638
VANGUARD INDEX FDS VANGUARD SMALL-CAP GROWTH ETFCOM922908595150012466SHSOLE00012466
VANGUARD INDEX FDS VANGUARD SMALL-CAP VALUE ETFCOM9229086118898919SHSOLE0008919
VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETFCOM922908769445343984SHSOLE00043984
VANGUARD INDEX FDS VANGUARD VALUE ETFCOM922908744162420011SHSOLE00020011
VANGUARD INTL EQUITY INDEX FD INC FTSE ALL WORLD EX US INDEX FD ETFS SHSCOM922042775011SHSOLE110011
VANGUARD INTL EQUITY INDEX FD INC FTSE ALL WORLD EX US INDEX FD ETFS SHSCOM922042775380877337SHSOLE00077337
VANGUARD INTL EQUITY INDEX FDS FTSE EMERGING MKTS ETFCOM922042858100023989SHSOLE00023989
VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETFCOM9220428743766820SHSOLE0006820
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VANGUARD NAT RES LLC COM UNIT REPSTG LTD LIABLITY CO INTSCOM92205F10665623922SHSOLE00023922
VANGUARD SCOTTSDALE FDS VANGUARD SHORT-TERM CORPORATE BD INDEX FDCOM92206C409687SHSOLE110087
VANGUARD SCOTTSDALE FDS VANGUARD SHORT-TERM CORPORATE BD INDEX FDCOM92206C40990411322SHSOLE00011322
VANGUARD SPECIALIZED PORTFOLIOS DIVIDEND APPRECIATION INDEX FD ETFCOM921908844285137051SHSOLE00037051
VANGUARD STAR FD VANGUARD TOTAL INTL STOCK INDEX FD ETF SHSCOM9219097682524941SHSOLE0004941
VANGUARD WHITEHALL FDS HIGH DIVIDEND YIELD ETF SHSCOM921946406103715616SHSOLE00015616
VANGUARD WORLD FD VANGUARD MEGA CAP ETFCOM921910873454467280SHSOLE00067280
VANGUARD WORLD FD VANGUARD MEGA CAP ETFCOM9219108737109SHSOLE1100109
VANGUARD WORLD FDS VANGUARD CONSUMER DISCRETIONARY ETFCOM92204A1082952719SHSOLE0002719
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VECTOR GROUP LTD COMCOM92240M10830613820SHSOLE00013820
VERINT SYS INC SR NT CONV 1.500% 06/01/21 B/E DTD 06/18/14COM92343XAA82725000SHSOLE00025000
VERINT SYS INC SR NT CONV 1.500% 06/01/21 B/E DTD 06/18/14COM92343XAA8454419000SHSOLE1900419000
VERIZON COMMUNICATIONS INC COMCOM92343V1042164336SHSOLE1004336
VERIZON COMMUNICATIONS INC COMCOM92343V104366973401SHSOLE00073401
VERSO PAPER CORP COMCOM92531L1086420000SHSOLE00020000
VIACOM INC NEW CL BCOM92553P2011311703SHSOLE0001703
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VISA INC COM CL ACOM92826C839248211634SHSOLE00011634
VODAFONE GROUP PLC NEW SPONSORED ADR NO PARCOM92857W30833510205SHSOLE00010205
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WELLPOINT INC COMCOM94973V1072371983SHSOLE1001983
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WELLS FARGO & CO NEW COMCOM949746101125824258SHSOLE00024258
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WILLIAMS COS INC COMCOM9694571005279530SHSOLE0009530
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WILLIAMS PARTNERS L P COM UNIT LTD PARTNERSHIP INTCOM96950F104581100SHSOLE13001100
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WISDOMTREE TR EMERGING MKTS EQUITY INCOME FD EQUITYCOM97717W3154629685SHSOLE0009685
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XEROX CORPORATIONCOM98412110321116023SHSOLE10016023
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XEROX CORPORATIONCOM984121103564250SHSOLE13004250
XEROX CORPORATIONCOM984121103836327SHSOLE0006327
YAHOO INC COMCOM9843321063528657SHSOLE0008657
ZIX CORP COMCOM98974P1005817150SHSOLE00017150