0001085146-15-000253.txt : 20150205
0001085146-15-000253.hdr.sgml : 20150205
20150205153126
ACCESSION NUMBER: 0001085146-15-000253
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150205
DATE AS OF CHANGE: 20150205
EFFECTIVENESS DATE: 20150205
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: 15580009
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
true
false
0000908195
XXXXXXXX
12-31-2014
12-31-2014
false
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
02-04-2015
0
264
983306
INFORMATION TABLE
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39200
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0
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ABBOTT LABS
COM
002824100
375
8350
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0
0
8350
ABBVIE INC
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00287Y109
5804
88700
SH
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0
0
88700
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
212
38200
SH
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0
0
38200
ABERDEEN JAPAN EQUITY FD INC
COM
00306J109
307
45450
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0
45450
AGILYSYS INC
COM
00847J105
1849
146885
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0
146885
AGRIUM INC
COM
008916108
8400
88591
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0
88591
AIR LEASE CORP
CL A
00912X302
754
22000
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SOLE
0
0
22000
ALCOA INC
COM
013817101
6368
403319
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0
0
403319
ALTERA CORP
COM
021441100
20076
543495
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0
0
543495
ALTRIA GROUP INC
COM
02209S103
243
4950
SH
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0
4950
AMERICAN AIRLS GROUP INC
COM
02376R102
561
10462
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10462
AMERICAN EAGLE OUTFITTERS NE
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02553E106
10934
787775
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COM
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8401
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025932104
273
4500
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AMERICAN SOFTWARE INC
CL A
029683109
131
14450
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COM
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4800
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AMGEN INC
COM
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ANTHEM INC
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684
5450
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AON PLC
SHS CL A
G0408V102
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29000
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APPLE INC
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72204
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ARTS WAY MFG INC
COM
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75
14575
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COM
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10004
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AT&T INC
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654
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AVX CORP NEW
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002444107
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101200
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7270
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80136
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COM
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CABOT OIL & GAS CORP
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CISCO SYS INC
COM
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CITIGROUP INC
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COHEN & STEERS INFRASTRUCTUR
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COMMERCIAL METALS CO
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CONSOLIDATED EDISON INC
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CROCS INC
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CVS HEALTH CORP
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CYCLACEL PHARMACEUTICALS INC
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D R HORTON INC
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DARLING INGREDIENTS INC
COM
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SHS
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DIAMOND OFFSHORE DRILLING IN
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DICKS SPORTING GOODS INC
COM
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DISNEY WALT CO
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DONEGAL GROUP INC
CL A
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205
12830
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12830
DOT HILL SYS CORP
COM
25848T109
291
66000
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DREAMWORKS ANIMATION SKG INC
CL A
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160200
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DREYFUS HIGH YIELD STRATEGIE
SH BEN INT
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DSW INC
CL A
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60150
SH
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DU PONT E I DE NEMOURS & CO
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EATON VANCE FLTING RATE INC
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COM
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558
39550
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39550
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
168
12300
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0
12300
ELLIS PERRY INTL INC
COM
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145125
SH
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145125
EMERSON ELEC CO
COM
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36985
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ENERPLUS CORP
COM
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34100
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34100
EQUUS TOTAL RETURN INC
COM
294766100
37
17735
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17735
EXAMWORKS GROUP INC
COM
30066A105
8723
209738
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EXELON CORP
COM
30161N101
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EXPRESS SCRIPTS HLDG CO
COM
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EXXON MOBIL CORP
COM
30231G102
30500
329916
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FIRST TR SR FLG RTE INCM FD
COM
33733U108
152
11700
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FIRSTENERGY CORP
COM
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ORD
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FORD MTR CO DEL
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CL B
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FREIGHTCAR AMER INC
COM
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FRIEDMAN INDS INC
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FUEL TECH INC
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GENERAL ELECTRIC CO
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GENERAL MLS INC
COM
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GENTEX CORP
COM
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GETTY RLTY CORP NEW
COM
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GILEAD SCIENCES INC
COM
375558103
471
5000
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GOLDFIELD CORP
COM
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GOODYEAR TIRE & RUBR CO
COM
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COM SHS BEN INT
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1473
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GSE SYS INC
COM
36227K106
20
13000
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13000
HALLIBURTON CO
COM
406216101
1294
32906
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HARDINGE INC
COM
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791
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HARRIS & HARRIS GROUP INC
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271
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HARSCO CORP
COM
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2335
123632
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HCC INS HLDGS INC
COM
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HEALTHCARE SVCS GRP INC
COM
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737
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HOME DEPOT INC
COM
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COM SH BEN INT
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HSBC HLDGS PLC
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II VI INC
COM
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JETBLUE AIRWAYS CORP
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JOHNSON CTLS INC
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665859104
235
3500
SH
SOLE
0
0
3500
NORWEGIAN CRUISE LINE HLDGS
SHS
G66721104
467
10000
SH
SOLE
0
0
10000
NOVARTIS A G
SPONSORED ADR
66987V109
1549
16725
SH
SOLE
0
0
16725
NOW INC
COM
67011P100
5333
207305
SH
SOLE
0
0
207305
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
134
15300
SH
SOLE
0
0
15300
NUVEEN MUN VALUE FD INC
COM
670928100
197
20500
SH
SOLE
0
0
20500
NUVEEN PFD INCOME OPPRTNY FD
COM
67073B106
95
10000
SH
SOLE
0
0
10000
NUVEEN QUALITY PFD INC FD 3
COM
67072W101
124
14950
SH
SOLE
0
0
14950
NUVEEN QUALITY PFD INCOME FD
COM
67071S101
107
13300
SH
SOLE
0
0
13300
OLD REP INTL CORP
COM
680223104
438
29975
SH
SOLE
0
0
29975
OMEGA PROTEIN CORP
COM
68210P107
1086
102800
SH
SOLE
0
0
102800
OPKO HEALTH INC
COM
68375N103
899
90000
SH
SOLE
0
0
90000
ORBOTECH LTD
ORD
M75253100
538
36400
SH
SOLE
0
0
36400
PANDORA MEDIA INC
COM
698354107
267
15000
SH
SOLE
0
0
15000
PDC ENERGY INC
COM
69327R101
569
13800
SH
SOLE
0
0
13800
PEPSICO INC
COM
713448108
674
7135
SH
SOLE
0
0
7135
PFIZER INC
COM
717081103
8489
272525
SH
SOLE
0
0
272525
PIMCO INCOME STRATEGY FUND
COM
72201H108
504
42900
SH
SOLE
0
0
42900
PIMCO INCOME STRATEGY FUND I
COM
72201J104
373
38100
SH
SOLE
0
0
38100
POTASH CORP SASK INC
COM
73755L107
4995
141440
SH
SOLE
0
0
141440
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
305
2963
SH
SOLE
0
0
2963
PROSPECT CAPITAL CORPORATION
COM
74348T102
1603
194100
SH
SOLE
0
0
194100
PUBLIC SVC ENTERPRISE GROUP
COM
744573106
959
23166
SH
SOLE
0
0
23166
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
665
126800
SH
SOLE
0
0
126800
QLOGIC CORP
COM
747277101
237
17800
SH
SOLE
0
0
17800
QUALCOMM INC
COM
747525103
2693
36239
SH
SOLE
0
0
36239
QUEST DIAGNOSTICS INC
COM
74834L100
9909
147775
SH
SOLE
0
0
147775
RAMCO-GERSHENSON PPTYS TR
COM SH BEN INT
751452202
393
21000
SH
SOLE
0
0
21000
RAND CAP CORP
COM
752185108
569
139300
SH
SOLE
0
0
139300
RESEARCH FRONTIERS INC
COM
760911107
1088
212600
SH
SOLE
0
0
212600
ROCKWELL COLLINS INC
COM
774341101
13300
157440
SH
SOLE
0
0
157440
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
671
10029
SH
SOLE
0
0
10029
RTI SURGICAL INC
COM
74975N105
332
64000
SH
SOLE
0
0
64000
SALISBURY BANCORP INC
COM
795226109
278
10175
SH
SOLE
0
0
10175
SANOFI
SPONSORED ADR
80105N105
314
6900
SH
SOLE
0
0
6900
SCHEIN HENRY INC
COM
806407102
1300
9550
SH
SOLE
0
0
9550
SCHLUMBERGER LTD
COM
806857108
279
3270
SH
SOLE
0
0
3270
SCHMITT INDS INC ORE
COM NEW
806870200
35
12000
SH
SOLE
0
0
12000
SCHNITZER STL INDS
CL A
806882106
11072
490800
SH
SOLE
0
0
490800
SEABOARD CORP
COM
811543107
1070
255
SH
SOLE
0
0
255
SENECA FOODS CORP NEW
CL A
817070501
1032
38200
SH
SOLE
0
0
38200
SIMPSON MANUFACTURING CO INC
COM
829073105
635
18355
SH
SOLE
0
0
18355
SOLAZYME INC
COM
83415T101
196
76300
SH
SOLE
0
0
76300
SONOCO PRODS CO
COM
835495102
25156
575658
SH
SOLE
0
0
575658
SPDR S&P 500 ETF TR
TR UNIT
78462F103
323
1574
SH
SOLE
0
0
1574
SPDR S&P 500 ETF TR
TR UNIT
78462F103
38
10000
SH
Put
SOLE
0
0
10000
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
833
3159
SH
SOLE
0
0
3159
SPDR SERIES TRUST
S&P BIOTECH
78464A870
727
3900
SH
SOLE
0
0
3900
STRYKER CORP
COM
863667101
8584
91000
SH
SOLE
0
0
91000
SUPERIOR INDS INTL INC
COM
868168105
2834
143245
SH
SOLE
0
0
143245
SUPPORT COM INC
COM
86858W101
116
55000
SH
SOLE
0
0
55000
SUTRON CORP
COM
869380105
245
49000
SH
SOLE
0
0
49000
SWISS HELVETIA FD INC
COM
870875101
319
28636
SH
SOLE
0
0
28636
SYNGENTA AG
SPONSORED ADR
87160A100
506
7890
SH
SOLE
0
0
7890
SYSTEMAX INC
COM
871851101
4904
363320
SH
SOLE
0
0
363320
TAL INTL GROUP INC
COM
874083108
1601
36750
SH
SOLE
0
0
36750
TARGET CORP
COM
87612E106
1310
17264
SH
SOLE
0
0
17264
TEJON RANCH CO
COM
879080109
6115
207600
SH
SOLE
0
0
207600
TEMPLETON DRAGON FD INC
COM
88018T101
240
10000
SH
SOLE
0
0
10000
TEMPLETON GLOBAL INCOME FD
COM
880198106
478
66575
SH
SOLE
0
0
66575
TERADYNE INC
COM
880770102
3095
156400
SH
SOLE
0
0
156400
TESORO CORP
COM
881609101
1345
18100
SH
SOLE
0
0
18100
TEVA PHARMACEUTICAL INDS LTD
ADR
881624209
3963
68925
SH
SOLE
0
0
68925
TEXAS INSTRS INC
COM
882508104
20752
388156
SH
SOLE
0
0
388156
THERMO FISHER SCIENTIFIC INC
COM
883556102
8282
66110
SH
SOLE
0
0
66110
TICC CAPITAL CORP
COM
87244T109
120
16000
SH
SOLE
0
0
16000
TIME WARNER CABLE INC
COM
88732J207
762
5016
SH
SOLE
0
0
5016
TIME WARNER INC
COM NEW
887317303
1704
19955
SH
SOLE
0
0
19955
TITAN MACHY INC
COM
88830R101
1653
118625
SH
SOLE
0
0
118625
TOWNSQUARE MEDIA INC
CL A
892231101
132
10000
SH
SOLE
0
0
10000
TRI POINTE HOMES INC
COM
87265H109
8809
577700
SH
SOLE
0
0
577700
TRINITY INDS INC
COM
896522109
736
26300
SH
SOLE
0
0
26300
UNILEVER PLC
SPON ADR NEW
904767704
582
14400
SH
SOLE
0
0
14400
UNION PAC CORP
COM
907818108
381
3200
SH
SOLE
0
0
3200
UNITED PARCEL SERVICE INC
CL B
911312106
436
3925
SH
SOLE
0
0
3925
UNITED TECHNOLOGIES CORP
COM
913017109
287
2500
SH
SOLE
0
0
2500
UNITEDHEALTH GROUP INC
COM
91324P102
15536
153685
SH
SOLE
0
0
153685
VALERO ENERGY CORP NEW
COM
91913Y100
702
14200
SH
SOLE
0
0
14200
VALMONT INDS INC
COM
920253101
8172
64350
SH
SOLE
0
0
64350
VERIZON COMMUNICATIONS INC
COM
92343V104
9451
202042
SH
SOLE
0
0
202042
VISHAY INTERTECHNOLOGY INC
COM
928298108
874
61800
SH
SOLE
0
0
61800
VISHAY PRECISION GROUP INC
COM
92835K103
11329
660235
SH
SOLE
0
0
660235
VODAFONE GROUP PLC NEW
SPNSR ADR NO PAR
92857W308
20707
606016
SH
SOLE
0
0
606016
WALGREENS BOOTS ALLIANCE INC
COM
931427108
381
5000
SH
SOLE
0
0
5000
WALKER & DUNLOP INC
COM
93148P102
8550
487465
SH
SOLE
0
0
487465
WENDYS CO
COM
95058W100
8998
996525
SH
SOLE
0
0
996525
WESTERN ASSET GLB PTNRS INCO
COM
95766G108
202
20700
SH
SOLE
0
0
20700
WESTERN ASST MN PRT FD INC
COM
95766P108
203
13709
SH
SOLE
0
0
13709
WORLD FUEL SVCS CORP
COM
981475106
8890
189450
SH
SOLE
0
0
189450
XYLEM INC
COM
98419M100
1051
27628
SH
SOLE
0
0
27628