Managing Director

0001085146-17-001625.txt : 20170803 0001085146-17-001625.hdr.sgml : 20170803 20170803090123 ACCESSION NUMBER: 0001085146-17-001625 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170803 DATE AS OF CHANGE: 20170803 EFFECTIVENESS DATE: 20170803 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: 171003271 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 06-30-2017 06-30-2017 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 08-02-2017 0 268 936270 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 180 DEGREE CAP CORPCOM68235B109168103500SHSOLE 001035003M COCOM88579Y1011011248569SHSOLE 0048569A MARK PRECIOUS METALS INCCOM00181T1073535215750SHSOLE 00215750ABB LTDSPONSORED ADR00037520492537140SHSOLE 0037140ABBOTT LABSCOM0028241003507200SHSOLE 007200ABERDEEN ASIA PACIFIC INCOMCOM00300910716432800SHSOLE 0032800ABERDEEN GLOBAL INCOME FD INCOM00301310913115200SHSOLE 0015200ABERDEEN JAPAN EQUITY FD INCCOM00306J10930936300SHSOLE 0036300ADIENT PLCORD SHSG0084W101283343333SHSOLE 0043333AGILYSYS INCCOM00847J1051122110885SHSOLE 00110885AGRIUM INCCOM008916108703877775SHSOLE 0077775AIR LEASE CORPCL A00912X302122132675SHSOLE 0032675ALIMERA SCIENCES INCCOM0162591031410000SHSOLE 0010000ALLERGAN PLCSHSG0177J10837677154993SHSOLE 00154993ALLERGAN PLCPFD CONV SER AG0177J116215248SHSOLE 00248ALPHABET INCCAP STK CL C02079K107329362SHSOLE 00362ALPHABET INCCAP STK CL A02079K305248266SHSOLE 00266ALTRIA GROUP INCCOM02209S1032793750SHSOLE 003750AMAZON COM INCCOM023135106292302SHSOLE 00302AMERICAN AIRLS GROUP INCCOM02376R1022595147SHSOLE 005147AMERICAN EAGLE OUTFITTERS NECOM02553E1065411449073SHSOLE 00449073AMERICAN FINL GROUP INC OHIOCOM0259321043974000SHSOLE 004000AMETEK INC NEWCOM0311001003165224SHSOLE 005224AMGEN INCCOM03116210017411101091SHSOLE 00101091ANTERO RES CORPCOM03674X10659527550SHSOLE 0027550ANTHEM INCCOM0367521033101650SHSOLE 001650APPLE INCCOM0378331001096076099SHSOLE 0076099ARALEZ PHARMACEUTICALS INCCOM03852X1002417987SHSOLE 0017987ARCONIC INCCOM03965L1008293366120SHSOLE 00366120ARTS WAY MFG INCCOM0431681035217775SHSOLE 0017775ASTRONOVA INCCOM04638F10812910004SHSOLE 0010004AT&T INCCOM00206R10255714762SHSOLE 0014762ATLANTIC AMERN CORPCOM04820910013536050SHSOLE 0036050AUTOMATIC DATA PROCESSING INCOM0530151035365228SHSOLE 005228AVERY DENNISON CORPCOM05361110926666301759SHSOLE 00301759AVX CORP NEWCOM00244410768541925SHSOLE 0041925BANK AMER CORPCOM060505104188177522SHSOLE 0077522BANK NEW YORK MELLON CORPCOM0640581003887600SHSOLE 007600BAR HBR BANKSHARESCOM06684910070122760SHSOLE 0022760BED BATH & BEYOND INCCOM0758961002829275SHSOLE 009275BERKSHIRE HATHAWAY INC DELCL A084670108815032SHSOLE 0032BERKSHIRE HATHAWAY INC DELCL B NEW0846707021384681748SHSOLE 0081748BIG LOTS INCCOM089302103128426575SHSOLE 0026575BLACKROCK CAPITAL INVESTMENTCOM09253310838651500SHSOLE 0051500BLACKROCK ENHANCED EQT DIV TCOM09251A10425028385SHSOLE 0028385BLACKROCK FLOAT RATE OME STRCOM09255X100101071750SHSOLE 0071750BLACKROCK MUNIHLDGS NY QLTYCOM09255C10634124500SHSOLE 0024500BLACKROCK MUNIYIELD NY QLTYCOM09255E10239030000SHSOLE 0030000BORGWARNER INCCOM09972410663915085SHSOLE 0015085BP PLCSPONSORED ADR055622104210660787SHSOLE 0060787BRISTOL MYERS SQUIBB COCOM11012210832462582592SHSOLE 00582592BUCKLE INCCOM1184401063622203482SHSOLE 00203482CABOT OIL & GAS CORPCOM12709710317829710872SHSOLE 00710872CALPINE CORPCOM NEW1313473045275389900SHSOLE 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TRSHS25160E10251658600SHSOLE 0058600DICKS SPORTING GOODS INCCOM2533931024504113081SHSOLE 00113081DISNEY WALT COCOM DISNEY254687106123811653SHSOLE 0011653DOW CHEM COCOM2605431032393792SHSOLE 003792DSW INCCL A23334L102146982988SHSOLE 0082988DU PONT E I DE NEMOURS & COCOM26353410911269139620SHSOLE 00139620EATON VANCE FLTING RATE INCCOM27827910435923700SHSOLE 0023700EATON VANCE LTD DUR INCOME FCOM27828H10539227800SHSOLE 0027800EATON VANCE MUNI INCOME TRUSSH BEN INT27826U10827321000SHSOLE 0021000EATON VANCE SR FLTNG RTE TRCOM27828Q10527318300SHSOLE 0018300EL PASO ENERGY CAP TR IPFD CV TR SECS2836782092004000SHSOLE 004000EMERSON ELEC COCOM291011104241540510SHSOLE 0040510EQUUS TOTAL RETURN INCCOM2947661004217735SHSOLE 0017735EXELON CORPCOM30161N1012908050SHSOLE 008050EXPRESS SCRIPTS HLDG COCOM30219G108156224474SHSOLE 0024474EXXON MOBIL CORPCOM30231G10223331289005SHSOLE 00289005FARMLAND PARTNERS INCCOM31154R1094762532620SHSOLE 00532620FIRST TR SR FLG RTE INCM FDCOM33733U10822817100SHSOLE 0017100FIRSTENERGY CORPCOM337932107130944900SHSOLE 0044900FORD MTR CO DELCOM PAR $0.0134537086022119708SHSOLE 0019708FREIGHTCAR AMER INCCOM3570231006586378713SHSOLE 00378713FREQUENCY ELECTRS INCCOM35801010613714391SHSOLE 0014391FRIEDMAN INDS INCCOM358435105867152720SHSOLE 00152720GATX CORPCOM3614481035919200SHSOLE 009200GENCOR INDS INCCOM36867810841325500SHSOLE 0025500GENERAL ELECTRIC COCOM369604103385991429048SHSOLE 001429048GENERAL MLS INCCOM37033410466512000SHSOLE 0012000GENERAL MTRS COCOM37045V1007491214466SHSOLE 00214466GENTEX CORPCOM3719011094438233935SHSOLE 00233935GETTY RLTY CORP NEWCOM37429710945217996SHSOLE 0017996GILEAD SCIENCES INCCOM3755581033474900SHSOLE 004900GLADSTONE LD CORPCOM37654910156048000SHSOLE 0048000GLAXOSMITHKLINE PLCSPONSORED ADR37733W1053137250SHSOLE 007250GOLDFIELD CORPCOM38137010540874245SHSOLE 0074245GOVERNMENT PPTYS INCOME TRCOM SHS BEN INT38376A10337120250SHSOLE 0020250HALLIBURTON COCOM4062161012515881SHSOLE 005881HANESBRANDS INCCOM4103451028961386930SHSOLE 00386930HARDINGE INCCOM41232430368655200SHSOLE 0055200HEALTHCARE SVCS GRP INCCOM42190610892519750SHSOLE 0019750HOME DEPOT INCCOM437076102253116500SHSOLE 0016500HONEYWELL INTL INCCOM4385161062311730SHSOLE 001730HOSPITALITY PPTYS TRCOM SH BEN INT44106M1022659100SHSOLE 009100HSBC HLDGS PLCADR A 1/40PF A40428060431712025SHSOLE 0012025II VI INCCOM90210410811715341535SHSOLE 00341535ILLINOIS TOOL WKS INCCOM4523081091059373948SHSOLE 0073948IMMUCELL CORPCOM PAR $0.1045252530632444191SHSOLE 0044191INTEL CORPCOM45814010030523904643SHSOLE 00904643INTELLIGENT SYS CORP NEWCOM45816D10027678742SHSOLE 0078742INTERNATIONAL BUSINESS MACHSCOM459200101294819161SHSOLE 0019161INVESCO TR INVT GRADE MUNSCOM46131M10638528700SHSOLE 0028700INVESCO TR INVT GRADE NY MUNCOM46131T10124417800SHSOLE 0017800ISHARES TRTIPS BD ETF4642871762822486SHSOLE 002486ISHARES TRCORE US AGGBD ET4642872263683365SHSOLE 003365ISHARES TRLATN AMER 40 ETF46428739071723685SHSOLE 0023685ISHARES TRRUS 1000 GRW ETF4642876142231870SHSOLE 001870ISHARES TRCORE S&P SCP ETF4642878044396264SHSOLE 006264ITT INCCOM45073V10853613342SHSOLE 0013342J & J SNACK FOODS CORPCOM466032109267820277SHSOLE 0020277JACOBS ENGR GROUP INC DELCOM469814107198436475SHSOLE 0036475JETBLUE AIRWAYS CORPCOM47714310122910050SHSOLE 0010050JOHNSON & JOHNSONCOM478160104530540099SHSOLE 0040099JOHNSON CTLS INTL PLCSHSG5150210523210535290SHSOLE 00535290JPMORGAN CHASE & COCOM46625H10020127220204SHSOLE 00220204KELLOGG COCOM4878361082393447SHSOLE 003447KELLY SVCS INCCL A4881522083404151635SHSOLE 00151635KENNAMETAL INCCOM48917010011958319568SHSOLE 00319568KENNEDY-WILSON HLDGS INCCOM4893981075613294660SHSOLE 00294660KERYX BIOPHARMACEUTICALS INCCOM49251510150970400SHSOLE 0070400KIMBERLY CLARK CORPCOM4943681033873000SHSOLE 003000KNOWLES CORPCOM49926D10925715200SHSOLE 0015200KOHLS CORPCOM5002551048170211270SHSOLE 00211270L3 TECHNOLOGIES INCCOM5024131074342600SHSOLE 002600LAZARD LTDSHS AG540501023968550SHSOLE 008550LEGG MASON INCCOM52490110538210000SHSOLE 0010000LEUCADIA NATL CORPCOM52728810466325330SHSOLE 0025330LEXINGTON REALTY TRUSTCOM52904310129229415SHSOLE 0029415LIBERTY BROADBAND CORPCOM SER A5303071072562989SHSOLE 002989LIBERTY BROADBAND CORPCOM SER C53030730594610911SHSOLE 0010911LIBERTY MEDIA CORP DELAWARECOM A SIRIUSXM531229409256961189SHSOLE 0061189LIBERTY MEDIA CORP DELAWARECOM C SIRIUSXM5312296077784186656SHSOLE 00186656LIBERTY MEDIA CORP DELAWARECOM SER C FRMLA531229854167345675SHSOLE 0045675LIBERTY MEDIA CORP DELAWARECOM SER A FRMLA53122987062417828SHSOLE 0017828LILLY ELI & COCOM532457108404549155SHSOLE 0049155LIVE NATION ENTERTAINMENT INCOM53803410982023526SHSOLE 0023526M & T BK CORPCOM55261F10410556513SHSOLE 006513MAGAL SECURITY SYS LTDORDM6786D1045611335SHSOLE 0011335MANHATTAN BRIDGE CAPITAL INCCOM56280310619632925SHSOLE 0032925MANITEX INTL INCCOM5634201081743249700SHSOLE 00249700MARTIN MARIETTA MATLS INCCOM5732841062341050SHSOLE 001050MEDICAL PPTYS TRUST INCCOM58463J3041372106600SHSOLE 00106600MEDTRONIC PLCSHSG5960L10391710331SHSOLE 0010331MERCER INTL INCCOM5880561012034176850SHSOLE 00176850MERCK & CO INCCOM58933Y105555505SHSOLE 00505METLIFE INCCOM59156R10818323333518SHSOLE 00333518MFS INTER INCOME TRSH BEN INT55273C107605140150SHSOLE 00140150MICROSOFT CORPCOM59491810414378208585SHSOLE 00208585MITCHAM INDS INCCOM6065011048221200SHSOLE 0021200MONMOUTH REAL ESTATE INVT COCL A609720107115076400SHSOLE 0076400MORGAN STANLEYCOM NEW6174464482505600SHSOLE 005600MORGAN STANLEY EMER MKTS DEBCOM61744H10512312450SHSOLE 0012450MOSAIC CO NEWCOM61945C1033969173862SHSOLE 00173862NATIONAL WESTN LIFE GROUP INCL A6385171021461245716SHSOLE 0045716NEUSTAR INCCL A64126X201120136000SHSOLE 0036000NEW MEDIA INVT GROUP INCCOM64704V106110081600SHSOLE 0081600NEW YORK CMNTY BANCORP INCCOM64944510326920500SHSOLE 0020500NORTHERN TR CORPCOM6658591043403500SHSOLE 003500NORWEGIAN CRUISE LINE HLDGSSHSG66721104122722600SHSOLE 0022600NOVARTIS A GSPONSORED ADR66987V109136816382SHSOLE 0016382NOW 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CORP SASK INCCOM73755L1073112190905SHSOLE 00190905POWERSHARES QQQ TRUSTUNIT SER 173935A1042581877SHSOLE 001877PROSPECT CAPITAL CORPORATIONCOM74348T1021387170800SHSOLE 00170800PUBLIC SVC ENTERPRISE GROUPCOM74457310673817166SHSOLE 0017166PUTNAM PREMIER INCOME TRSH BEN INT746853100813149800SHSOLE 00149800QUALCOMM INCCOM74752510315749285204SHSOLE 00285204QUEST DIAGNOSTICS INCCOM74834L10010589515SHSOLE 009515RAMCO-GERSHENSON PPTYS TRCOM SH BEN INT75145220241031800SHSOLE 0031800RAND CAP CORPCOM752185108450161300SHSOLE 00161300REALOGY HLDGS CORPCOM75605Y1066312194500SHSOLE 00194500RESEARCH FRONTIERS INCCOM760911107172132950SHSOLE 00132950ROCKWELL COLLINS INCCOM77434110115543147914SHSOLE 00147914ROYAL DUTCH SHELL PLCSPONS ADR A78025920676714419SHSOLE 0014419RTI SURGICAL INCCOM74975N10522538500SHSOLE 0038500SANDERSON FARMS INCCOM800013104579350090SHSOLE 0050090SANOFISPONSORED ADR80105N1053357000SHSOLE 007000SCHEIN HENRY INCCOM80640710211946525SHSOLE 006525SCHNITZER STL INDSCL A806882106236193700SHSOLE 0093700SEABOARD CORPCOM8115431071119280SHSOLE 00280SENECA FOODS CORP NEWCL A817070501111936050SHSOLE 0036050SIMPSON MANUFACTURING CO INCCOM82907310571616380SHSOLE 0016380SKYWORKS SOLUTIONS INCCOM83088M1022012100SHSOLE 002100SOCIEDAD QUIMICA MINERA DE CSPON ADR SER B8336351052156500SHSOLE 006500SONOCO PRODS COCOM83549510216278316568SHSOLE 00316568SPDR S&P 500 ETF TRTR UNIT78462F1035262176SHSOLE 002176SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10710003147SHSOLE 003147SPDR SERIES TRUSTS&P BIOTECH78464A8707499700SHSOLE 009700SPROTT FOCUS TR INCCOM85208J10938051550SHSOLE 0051550STRYKER CORPCOM863667101844760863SHSOLE 0060863SUPERIOR INDS INTL INCCOM8681681052629127910SHSOLE 00127910SWISS HELVETIA FD INCCOM87087510130423921SHSOLE 0023921SYMANTEC CORPCOM871503108208173657SHSOLE 0073657SYNCHRONY FINLCOM87165B103173258075SHSOLE 0058075TARGET CORPCOM87612E1064107850SHSOLE 007850TEJON RANCH COCOM8790801096658322595SHSOLE 00322595TEMPLETON GLOBAL INCOME FDCOM88019810633950400SHSOLE 0050400TERADYNE INCCOM880770102278892835SHSOLE 0092835TERRAVIA HLDGS INCCOM88105A10634144900SHSOLE 00144900TESORO CORPCOM8816091017688200SHSOLE 008200TEVA PHARMACEUTICAL INDS LTDSPONSORED ADR881624209183055101SHSOLE 0055101TEXAS INSTRS INCCOM88250810415790205247SHSOLE 00205247THERMO FISHER SCIENTIFIC INCCOM8835561021064861032SHSOLE 0061032TICC CAPITAL CORPCOM87244T10910817000SHSOLE 0017000TRI POINTE GROUP INCCOM87265H1099595727425SHSOLE 00727425TRINITY INDS INCCOM89652210962222200SHSOLE 0022200UNILEVER PLCSPON ADR NEW904767704285052655SHSOLE 0052655UNION PAC CORPCOM907818108125411515SHSOLE 0011515UNITED PARCEL SERVICE INCCL B9113121063833459SHSOLE 003459UNITED TECHNOLOGIES CORPCOM9130171093703033SHSOLE 003033UNITEDHEALTH GROUP INCCOM91324P102747740326SHSOLE 0040326UNIVERSAL STAINLESS & ALLOYCOM91383710027714197SHSOLE 0014197VALERO ENERGY CORP NEWCOM91913Y10092413700SHSOLE 0013700VALMONT INDS INCCOM920253101728548700SHSOLE 0048700VANGUARD INDEX FDSGROWTH ETF922908736199515700SHSOLE 0015700VERIZON COMMUNICATIONS INCCOM92343V10465014559SHSOLE 0014559VISHAY PRECISION GROUP INCCOM92835K10311229649100SHSOLE 00649100VODAFONE GROUP PLC NEWSPONSORED ADR92857W3089979347331SHSOLE 00347331VORNADO RLTY TRSH BEN INT929042109129813827SHSOLE 0013827VOYA PRIME RATE TRSH BEN INT92913A10030156000SHSOLE 0056000WALGREENS BOOTS ALLIANCE INCCOM9314271083995100SHSOLE 005100WALKER & DUNLOP INCCOM93148P10217508358540SHSOLE 00358540WASHINGTON PRIME GROUP NEWCOM93964W10877091975SHSOLE 0091975WELLTOWER INCCOM95040Q104274036600SHSOLE 0036600WENDYS COCOM95058W1007012452125SHSOLE 00452125WESTERN ASST MN PRT FD INCCOM95766P10823415037SHSOLE 0015037WESTERN DIGITAL CORPCOM9581021056537374SHSOLE 007374WILLIAMS SONOMA INCCOM9699041013647500SHSOLE 007500WORLD FUEL SVCS CORPCOM9814751065744149383SHSOLE 00149383XYLEM INCCOM98419M100134824323SHSOLE 0024323