0001415889-17-000069.txt : 20170112 0001415889-17-000069.hdr.sgml : 20170112 20170111182736 ACCESSION NUMBER: 0001415889-17-000069 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170112 DATE AS OF CHANGE: 20170111 EFFECTIVENESS DATE: 20170112 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: 17523708 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 12-31-2016 12-31-2016 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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Convertible 45385LHC0 46201 50000 SH SOLE 50000 0 0 Convertible 45656TCG1 15296 15000 SH SOLE 15000 0 0 Equities G4766G101 15008 200 SH SOLE 200 0 0 Equities 45824V209 5520 600 SH SOLE 600 0 0 Equities 458140100 1139145 31407 SH SOLE 31407 0 0 Equities 45865V100 5078 90 SH SOLE 90 0 0 Equities 460690100 70 3 SH SOLE 3 0 0 Equities 459200101 33198 200 SH SOLE 200 0 0 Equities 460146103 79201 1493 SH SOLE 1493 0 0 Equities 46122T102 7290 300 SH SOLE 300 0 0 Equities 46123D205 9733 761 SH SOLE 761 0 0 Equities 46132E107 48454 4334 SH SOLE 4334 0 0 PFDs, REITs, 46131B100 337479 23115 SH SOLE 23115 0 0 Equities 46131M106 61557 4828 SH SOLE 4828 0 0 Convertible 464337AJ3 16707513 16410000 SH SOLE 0 0 0 Equities 462222100 5821054 121703 SH SOLE 121703 0 0 Equities 06738C786 6330 1000 SH SOLE 1000 0 0 Equities 44980X109 198210 2008 SH SOLE 2008 0 0 Convertible 46360TDV2 24183 25000 SH SOLE 25000 0 0 Convertible 463831KM8 10629 10000 SH SOLE 10000 0 0 Equities 464287200 62547 278 SH SOLE 278 0 0 Equities 464288208 18716 119 SH SOLE 119 0 0 Equities 464287234 2101 60 SH SOLE 60 0 0 Equities 464287630 1349 10 SH SOLE 10 0 0 Equities 46428Q109 19643 1300 SH SOLE 1300 0 0 Equities 46489V104 2900 5000 SH SOLE 5000 0 0 Equities 46620G107 9768 7130 SH SOLE 7130 0 0 Convertible 46613C2F1 11544 10000 SH SOLE 10000 0 0 Convertible 472319AK8 8260 8000 SH SOLE 8000 0 0 Convertible 473143DQ5 5209 5000 SH SOLE 5000 0 0 Equities 478160104 4579490 39749 SH SOLE 39749 0 0 Equities 478366107 172092 4178 SH SOLE 4178 0 0 Convertible 073902PN2 5010 5000 SH SOLE 5000 0 0 Equities 46625H100 615813 7137 SH SOLE 7137 0 0 Equities 48203R104 77009 2725 SH SOLE 2725 0 0 Convertible 48203RAG9 6534421 6315000 SH SOLE 6315000 0 0 Convertible 48203RAH7 506929 500000 SH SOLE 500000 0 0 Equities 48660Q102 2118 109 SH SOLE 109 0 0 Equities 493267405 40500 300 SH SOLE 300 0 0 Equities J32491102 1372 2 SH SOLE 2 0 0 Equities 494368103 1750601 15340 SH SOLE 15340 0 0 Convertible 494368AS2 118098 97000 SH SOLE 97000 0 0 Equities 49456B101 181005 8740 SH SOLE 8740 0 0 Equities 49456B119 0 57 SH SOLE 57 0 0 Convertible 494619BR9 10176 10000 SH SOLE 10000 0 0 Convertible 482480AC4 898376 880000 SH SOLE 880000 0 0 Equities 482480100 9048 115 SH SOLE 115 0 0 Convertible 498531FE7 11773 10000 SH SOLE 10000 0 0 Equities 500255104 1975 40 SH SOLE 40 0 0 Equities 500600101 14768 5200 SH SOLE 5200 0 0 Equities 500754106 302040 3459 SH SOLE 3459 0 0 Equities 501044101 621 18 SH SOLE 18 0 0 Equities 501797104 6057 92 SH SOLE 92 0 0 Convertible 532716AS6 9669869 8605000 SH SOLE 8605000 0 0 Convertible 532716AT4 2145506 1905000 SH SOLE 1905000 0 0 Equities 50540R409 40696 317 SH SOLE 317 0 0 Equities 50730N101 0 700000 SH SOLE 700000 0 0 Equities 513272104 12604 333 SH SOLE 333 0 0 Convertible 514045M34 22600 20000 SH SOLE 20000 0 0 Equities 517924304 0 2 SH SOLE 2 0 0 Equities 52171N103 8 2500 SH SOLE 2500 0 0 Equities 524660107 2135616 43691 SH SOLE 43691 0 0 PFDs, REITs, 05252E204 42 600 SH SOLE 600 0 0 Convertible 525ESCGU7 1100 20000 SH SOLE 20000 0 0 Equities 526107107 7659 50 SH SOLE 50 0 0 Convertible 530715AJ0 18105 17000 SH SOLE 17000 0 0 Equities 538034109 160 6 SH SOLE 6 0 0 Convertible 538034AJ8 4075316 3845000 SH SOLE 3845000 0 0 Equities 539830109 1040750 4164 SH SOLE 4164 0 0 Convertible 539830BF5 282230 280000 SH SOLE 280000 0 0 Convertible 544495WB6 56201 50000 SH SOLE 50000 0 0 Convertible 54811GZS2 11581 10000 SH SOLE 10000 0 0 Convertible 548661AH0 752358 575000 SH SOLE 575000 0 0 Equities 548661107 26528 373 SH SOLE 373 0 0 Equities 50218P107 2968 100 SH SOLE 100 0 0 Equities 55024U109 39 1 SH SOLE 1 0 0 Equities 55068R202 32220 600 SH SOLE 600 0 0 Equities N53745100 28651 334 SH SOLE 334 0 0 Convertible 55292PAB1 8203092 8088000 SH SOLE 8088000 0 0 Convertible 57582NSJ5 11076 10000 SH SOLE 10000 0 0 Convertible 576051BG0 10609 10000 SH SOLE 10000 0 0 Equities 55607X108 40850 500 SH SOLE 500 0 0 Convertible 55608BAA3 2264780 1960000 SH SOLE 1960000 0 0 Convertible 55608BAB1 2532196 2525000 SH SOLE 2525000 0 0 PFDs, REITs, 559080106 431394 5704 SH SOLE 5704 0 0 Equities G5785G107 40005 803 SH SOLE 803 0 0 Equities 563571108 1208 202 SH SOLE 202 0 0 Equities 563568104 3885 201 SH SOLE 201 0 0 Equities 56501R106 17820 1000 SH SOLE 1000 0 0 Equities 565849106 6924 400 SH SOLE 400 0 0 Equities 56585A102 268194 5327 SH SOLE 5327 0 0 Convertible 566795LB4 25712 25000 SH SOLE 25000 0 0 Convertible 567137F25 17074 15000 SH SOLE 15000 0 0 Convertible 56879EFJ3 25324 25000 SH SOLE 25000 0 0 Equities 57061R551 45866 1125 SH SOLE 1125 0 0 Equities G5876H105 2913 210 SH SOLE 210 0 0 Convertible 574192600 20478 20000 SH SOLE 20000 0 0 Equities 57636Q104 75373 730 SH SOLE 730 0 0 Equities 579780206 19599 210 SH SOLE 210 0 0 Equities 580135101 97541 801 SH SOLE 801 0 0 Convertible 58013MEX8 282766 280000 SH SOLE 280000 0 0 PFDs, REITs, 58463J304 99938 8125 SH SOLE 8125 0 0 Equities 585055106 90035 1264 SH SOLE 1264 0 0 PFDs, REITs, 586048100 3118 25000 SH SOLE 25000 0 0 Equities 58733R102 7807 50 SH SOLE 50 0 0 Equities 589331107 2317165 39361 SH SOLE 39361 0 0 Convertible 59001AAN2 185300 170000 SH SOLE 170000 0 0 Convertible 59001AAQ5 2297419 2115000 SH SOLE 2115000 0 0 Convertible 59001AAR3 7486000 7600000 SH SOLE 7600000 0 0 Convertible 59001AAT9 5338900 5260000 SH SOLE 5260000 0 0 Convertible 043353AH4 1529524 1510000 SH SOLE 1510000 0 0 PFDs, REITs, 59025D207 27124 1055 SH SOLE 1055 0 0 Convertible 590485VV7 50518 50000 SH SOLE 50000 0 0 Equities 590660106 2344 215 SH SOLE 215 0 0 Equities 59156R108 6575 122 SH SOLE 122 0 0 Equities 59318R103 0 5516 SH SOLE 5516 0 0 PFDs, REITs, 55303A105 290306 11470 SH SOLE 11470 0 0 Equities 552953101 2120821 73563 SH SOLE 73563 0 0 Convertible 594615BA3 11234 10000 SH SOLE 10000 0 0 Convertible 59333NQM8 5412 5000 SH SOLE 5000 0 0 Convertible 59333FKF6 36652 35000 SH SOLE 35000 0 0 Equities 59507Q106 0 3000 SH SOLE 3000 0 0 Equities 594918104 3631628 58443 SH SOLE 58443 0 0 Equities 596278101 38643 300 SH SOLE 300 0 0 Convertible 603827UN4 22313 20000 SH SOLE 20000 0 0 PFDs, REITs, 604675991 0 374 SH SOLE 374 0 0 Convertible 6069017U4 10504 10000 SH SOLE 10000 0 0 Convertible 60636WJH9 10767 10000 SH SOLE 10000 0 0 Equities 609207105 102535 2313 SH SOLE 2313 0 0 Equities 610236101 40040 700 SH SOLE 700 0 0 Equities 61166W101 135405 1287 SH SOLE 1287 0 0 Equities 615394202 45976 700 SH SOLE 700 0 0 Convertible 61747YDT9 25187 25000 SH SOLE 25000 0 0 Convertible 61760LFF7 11885 13000 SH SOLE 13000 0 0 Equities 61945A107 2930595 99918 SH SOLE 99918 0 0 Convertible 606432BT8 10226 10000 SH SOLE 10000 0 0 Equities 62472C102 0 400 SH SOLE 400 0 0 Convertible 605699JB4 26118 25000 SH SOLE 25000 0 0 Equities N59465109 763 20 SH SOLE 20 0 0 Equities 628703100 0 311 SH SOLE 311 0 0 Convertible 631103AE8 5174 5000 SH SOLE 5000 0 0 Equities 636180101 2832 50 SH SOLE 50 0 0 PFDs, REITs, 636220808 24810 1000 SH SOLE 1000 0 0 Equities Y62159101 3604 2120 SH SOLE 2120 0 0 Convertible 658196PP9 5974 5000 SH SOLE 5000 0 0 Convertible 658203X82 11779 10000 SH SOLE 10000 0 0 Convertible 65829QAR5 26293 25000 SH SOLE 25000 0 0 Equities 641069406 35870 500 SH SOLE 500 0 0 Equities 64110D104 10581 300 SH SOLE 300 0 0 Equities 64110L106 37635 304 SH SOLE 304 0 0 Equities 64704V106 11529 721 SH SOLE 721 0 0 PFDs, REITs, 64828T102 235800 15000 SH SOLE 15000 0 0 Equities 648691103 16310 1666 SH SOLE 1666 0 0 Equities 649445103 28638 1800 SH SOLE 1800 0 0 PFDs, REITs, 64944P307 692249 13895 SH SOLE 13895 0 0 PFDs, REITs, 649604808 22914 1000 SH SOLE 1000 0 0 Convertible 64966LS77 11675 10000 SH SOLE 10000 0 0 Equities 651639106 9369 275 SH SOLE 275 0 0 Equities 65333Q202 0 1 SH SOLE 1 0 0 Equities 65339F101 121849 1020 SH SOLE 1020 0 0 Equities 65370G109 559580 98000 SH SOLE 98000 0 0 Equities 654106103 570058 11215 SH SOLE 11215 0 0 Convertible 646136XS5 5212 5000 SH SOLE 5000 0 0 Equities 655044105 18649 490 SH SOLE 490 0 0 Equities 655663102 16808 150 SH SOLE 150 0 0 Equities 655664100 67102 1400 SH SOLE 1400 0 0 Equities 655844108 70557 653 SH SOLE 653 0 0 Equities 665859104 26715 300 SH SOLE 300 0 0 Convertible 666807BE1 134386 130000 SH SOLE 130000 0 0 Equities 66980B100 0 100 SH SOLE 100 0 0 Convertible 66988TBB8 25004 25000 SH SOLE 25000 0 0 Equities 67011P100 1535 75 SH SOLE 75 0 0 Convertible 67020YAF7 11248179 11165000 SH SOLE 0 0 0 Convertible 67020YAG5 4756920 4900000 SH SOLE 4900000 0 0 Equities 67090X107 9156 700 SH SOLE 700 0 0 Equities 67066V101 85826 6148 SH SOLE 6148 0 0 Equities 6706ER101 6894 542 SH SOLE 542 0 0 Equities 67066G104 80589 755 SH SOLE 755 0 0 Convertible 64990EUT2 11988 10000 SH SOLE 10000 0 0 Convertible 64990ADN2 11532 10000 SH SOLE 10000 0 0 Convertible 64972CCX9 9994 10000 SH SOLE 10000 0 0 Equities 674215108 6056 400 SH SOLE 400 0 0 Equities 674599015 4203 59 SH SOLE 59 0 0 Equities 67555N107 125 14 SH SOLE 14 0 0 Convertible 677659W34 22296 20000 SH SOLE 20000 0 0 Convertible 67766WVL3 11480 10000 SH SOLE 10000 0 0 Equities 67087W203 0 1 SH SOLE 1 0 0 PFDs, REITs, 681936100 103158 3300 SH SOLE 3300 0 0 Equities 682189105 15159 1188 SH SOLE 1188 0 0 Equities 68230M209 1 1250 SH SOLE 1250 0 0 PFDs, REITs, 68268N103 4559 106 SH SOLE 106 0 0 Equities 68375N103 18600 2000 SH SOLE 2000 0 0 Equities 68389X105 361939 9413 SH SOLE 9413 0 0 Convertible 68389XAS4 489850 470000 SH SOLE 470000 0 0 Equities 68556C108 0 100000 SH SOLE 100000 0 0 Convertible 70869VAD6 20413 20000 SH SOLE 20000 0 0 Convertible 708692BC1 14884 15000 SH SOLE 15000 0 0 Convertible 709224FX2 11527 10000 SH SOLE 10000 0 0 Equities 69404A104 1 1000 SH SOLE 1000 0 0 Convertible 880394AE1 5381 5000 SH SOLE 5000 0 0 Equities 697435105 18257 146 SH SOLE 146 0 0 Equities 697900108 10549 700 SH SOLE 700 0 0 Equities 698354107 1304 100 SH SOLE 100 0 0 Equities 698814100 1477 350 SH SOLE 350 0 0 Equities 701094104 42000 300 SH SOLE 300 0 0 Equities 70337F103 40 500 SH SOLE 500 0 0 Equities 704326107 690261 11338 SH SOLE 11338 0 0 Equities 70450Y103 5684 144 SH SOLE 144 0 0 Equities 704549104 965 193 SH SOLE 193 0 0 PFDs, REITs, 70931T103 130960 8000 SH SOLE 8000 0 0 Convertible 712851AJ3 37000 35000 SH SOLE 35000 0 0 Equities 713448108 3523101 33672 SH SOLE 33672 0 0 Convertible 713448BH0 1748 1667 SH SOLE 1667 0 0 Equities 71654V408 5055 500 SH SOLE 500 0 0 Equities 717081103 2991890 92115 SH SOLE 92115 0 0 Equities 718172109 567147 6199 SH SOLE 6199 0 0 Equities 718546104 1632285 18890 SH SOLE 18890 0 0 Convertible 718849BD3 11128 10000 SH SOLE 10000 0 0 Convertible 71884ARN1 25513 25000 SH SOLE 25000 0 0 Convertible 71883PJP3 11862 10000 SH SOLE 10000 0 0 Convertible 71883RJQ7 10857 10000 SH SOLE 10000 0 0 Convertible 71883RNK5 11712 10000 SH SOLE 10000 0 0 PFDs, REITs, 71943U104 18960 1000 SH SOLE 1000 0 0 Convertible 72177LAS8 51421 50000 SH SOLE 50000 0 0 Convertible 721876RH5 11378 10000 SH SOLE 10000 0 0 Equities 72201R205 36729 700 SH SOLE 700 0 0 Equities 72201H108 689333 65216 SH SOLE 65216 0 0 Equities 72201J104 679579 71610 SH SOLE 71610 0 0 Equities 72200W106 101683 8321 SH SOLE 8321 0 0 Equities 723484101 9199 118 SH SOLE 118 0 0 Equities 69343T107 772 25 SH SOLE 25 0 0 PFDs, REITs, 726503105 83437 2584 SH SOLE 2584 0 0 PFDs, REITs, 693475832 2834 120 SH SOLE 120 0 0 PFDs, REITs, 693475857 1351537 49525 SH SOLE 49525 0 0 Equities 693475105 3321196 28396 SH SOLE 28396 0 0 Equities 736508847 21665 500 SH SOLE 500 0 0 Equities 73755L107 38025 2102 SH SOLE 2102 0 0 Equities 73936B507 329 34 SH SOLE 34 0 0 Equities 73935A104 3554 30 SH SOLE 30 0 0 Equities 693506107 3790 40 SH SOLE 40 0 0 Convertible 745268LU4 9950 10000 SH SOLE 10000 0 0 Equities 74005P104 3516 30 SH SOLE 30 0 0 Equities 74112D101 10420 200 SH SOLE 200 0 0 Equities 742718109 2868577 34117 SH SOLE 34117 0 0 PFDs, REITs, 74340W103 192684 3650 SH SOLE 3650 0 0 Equities 74347R701 3808 200 SH SOLE 200 0 0 Equities 74347B201 40820 1000 SH SOLE 1000 0 0 Equities 74348A590 14180 1000 SH SOLE 1000 0 0 Equities 74347R883 15261 1010 SH SOLE 1010 0 0 Equities 74347W841 12836 400 SH SOLE 400 0 0 Equities 743713109 11297 220 SH SOLE 220 0 0 Equities 744320102 57767 555 SH SOLE 555 0 0 PFDs, REITs, 744320706 9896 400 SH SOLE 400 0 0 PFDs, REITs, G7293H114 5094 200 SH SOLE 200 0 0 PFDs, REITs, 69360J669 2654 114 SH SOLE 114 0 0 PFDs, REITs, 74460W776 27722 1225 SH SOLE 1225 0 0 Equities 747525103 11053837 169537 SH SOLE 169537 0 0 Convertible 747525AE3 1126357 1115000 SH SOLE 1115000 0 0 PFDs, REITs, 747545101 16198 1045 SH SOLE 1045 0 0 Equities 74834L100 1046 11 SH SOLE 11 0 0 Convertible 74838JAA9 11034170 11140000 SH SOLE 11140000 0 0 Equities 749121109 83655 1100 SH SOLE 1100 0 0 PFDs, REITs, 754907103 8379 315 SH SOLE 315 0 0 Equities 755111507 1774655 12498 SH SOLE 12498 0 0 Convertible 755111AF8 107312 80000 SH SOLE 80000 0 0 PFDs, REITs, 756109104 238542 4150 SH SOLE 4150 0 0 Equities 7591EP100 28720 2000 SH SOLE 2000 0 0 Convertible 75913TJE5 10999 10000 SH SOLE 10000 0 0 Equities 75915K101 450 200 SH SOLE 200 0 0 Convertible 75987LAS1 50130 50000 SH SOLE 50000 0 0 Equities 760759100 4241909 74354 SH SOLE 74354 0 0 Convertible 760759AH3 3943819 3670000 SH SOLE 3670000 0 0 Convertible 760761AB2 32615 30000 SH SOLE 30000 0 0 Equities 761152107 24820 400 SH SOLE 400 0 0 Equities 761283100 36226 1180 SH SOLE 1180 0 0 PFDs, REITs, 76131V202 15468 1009 SH SOLE 1009 0 0 Equities 761713106 280200 5000 SH SOLE 5000 0 0 Equities 74967R106 988 25 SH SOLE 25 0 0 Equities 771195104 2853 100 SH SOLE 100 0 0 Convertible 777543SS9 10669 10000 SH SOLE 10000 0 0 Equities 780259206 18163 334 SH SOLE 334 0 0 Convertible 780287AA6 52401 50000 SH SOLE 50000 0 0 Equities 780287108 25467 402 SH SOLE 402 0 0 Equities 749685103 1476557 27430 SH SOLE 27430 0 0 Convertible 749685AT0 173189 145000 SH SOLE 145000 0 0 Convertible 74973WAB3 10004192 9700000 SH SOLE 9700000 0 0 Convertible 84059QBX3 5207 5000 SH SOLE 5000 0 0 Convertible 786514BA6 28348 29000 SH SOLE 29000 0 0 Equities 79466L302 22866 334 SH SOLE 334 0 0 Convertible 79575DXA3 25977 25000 SH SOLE 25000 0 0 Convertible 79575EAS7 55456 50000 SH SOLE 50000 0 0 Convertible 798136TS6 62597 55000 SH SOLE 55000 0 0 Convertible 799022BY3 15447 15000 SH SOLE 15000 0 0 Equities 800677106 3965 1300 SH SOLE 1300 0 0 Equities 80105N105 40440 1000 SH SOLE 1000 0 0 Equities 80105N113 385 1014 SH SOLE 1014 0 0 Equities 803866300 1430 50 SH SOLE 50 0 0 Equities 80589M102 73280 1000 SH SOLE 1000 0 0 Equities 806857108 2811295 33488 SH SOLE 33488 0 0 Equities 808524201 1065 20 SH SOLE 20 0 0 Equities 808524409 962 20 SH SOLE 20 0 0 Equities 808524847 657 16 SH SOLE 16 0 0 Equities 808524607 1537 25 SH SOLE 25 0 0 Equities 811916105 12429 1525 SH SOLE 1525 0 0 PFDs, REITs, Y75638109 935360 102337 SH SOLE 102337 0 0 Equities 812578102 31662 600 SH SOLE 600 0 0 Equities 814785309 2548 392 SH SOLE 392 0 0 PFDs, REITs, 81618T100 2219616 88080 SH SOLE 88080 0 0 Equities 816851109 20128 200 SH SOLE 200 0 0 Convertible 817609AB6 5125 5000 SH SOLE 5000 0 0 Equities G81075106 88358 5950 SH SOLE 5950 0 0 Equities 82481R106 30157 177 SH SOLE 177 0 0 Equities 826197501 12242 100 SH SOLE 100 0 0 Equities 82735Q102 4182 244 SH SOLE 244 0 0 Equities 828336107 125715 6507 SH SOLE 6507 0 0 Equities 82966U103 1335 300 SH SOLE 300 0 0 Equities 830566105 11061 450 SH SOLE 450 0 0 Equities 83088M102 7466 100 SH SOLE 100 0 0 Equities 835495102 448852 8517 SH SOLE 8517 0 0 Equities 84473L105 109 11 SH SOLE 11 0 0 Equities 842587107 9838 200 SH SOLE 200 0 0 Equities 84265V105 12776 400 SH SOLE 400 0 0 Equities 844544809 0 124 SH SOLE 124 0 0 Equities 844741108 636806 12777 SH SOLE 12777 0 0 Equities 252787106 1975 10 SH SOLE 10 0 0 Equities 78462F103 126742 567 SH SOLE 567 0 0 Equities 78464A763 29347 343 SH SOLE 343 0 0 Equities 78464A698 41622 749 SH SOLE 749 0 0 Equities 847560109 19230 468 SH SOLE 468 0 0 Equities 84761T109 281 1000 SH SOLE 1000 0 0 Equities 84763A108 1054251 237980 SH SOLE 237980 0 0 Convertible 84763AAB4 7101879 7995000 SH SOLE 7995000 0 0 Equities 84920D102 0 50 SH SOLE 50 0 0 Equities 85207U105 15484 1839 SH SOLE 1839 0 0 Equities 85207D103 362 1000 SH SOLE 1000 0 0 Equities 85208M102 8022 424 SH SOLE 424 0 0 Equities 852234103 7565 555 SH SOLE 555 0 0 Equities 790849103 24057 300 SH SOLE 300 0 0 Convertible 791676BK4 5147 5000 SH SOLE 5000 0 0 PFDs, REITs, 85254J102 46547 1950 SH SOLE 1950 0 0 Equities 853666105 21288 400 SH SOLE 400 0 0 Equities 855244109 197596 3559 SH SOLE 3559 0 0 PFDs, REITs, 85571B105 493875 22500 SH SOLE 22500 0 0 Convertible 882722JS1 21343 20000 SH SOLE 20000 0 0 Equities 858912108 2619 34 SH SOLE 34 0 0 Equities 861012102 568 50 SH SOLE 50 0 0 Equities 863667101 53915 450 SH SOLE 450 0 0 Equities 865634109 73575 54500 SH SOLE 54500 0 0 Equities 867229106 6538 200 SH SOLE 200 0 0 PFDs, REITs, 86764L108 109387 4554 SH SOLE 4554 0 0 Equities 00210R106 0 153 SH SOLE 153 0 0 Convertible 87157BAA1 4920771 4705000 SH SOLE 4705000 0 0 Equities 87165B103 8052 222 SH SOLE 222 0 0 Equities 871829107 11295 204 SH SOLE 204 0 0 Equities 874039100 23000 800 SH SOLE 800 0 0 Equities 87612E110 799297 11066 SH SOLE 11066 0 0 Equities 876568502 13756 400 SH SOLE 400 0 0 Equities 81369Y803 24277 502 SH SOLE 502 0 0 Equities 878742204 68643 3427 SH SOLE 3427 0 0 PFDs, REITs, 872382106 1 7 SH SOLE 7 0 0 Equities 87929A102 40 3 SH SOLE 3 0 0 Equities 879382208 9090 988 SH SOLE 988 0 0 Convertible 880541MN4 10511 10000 SH SOLE 10000 0 0 PFDs, REITs, 881005201 10271 100 SH SOLE 100 0 0 Equities 88160R101 25215 118 SH SOLE 118 0 0 Convertible 88160RAB7 13805 15000 SH SOLE 15000 0 0 Equities 881609101 451143 5159 SH SOLE 5159 0 0 PFDs, REITs, 88160T107 127025 2500 SH SOLE 2500 0 0 Equities 882508104 65673 900 SH SOLE 900 0 0 Equities 882681109 1462154 30310 SH SOLE 30310 0 0 Convertible 364760AK4 11670400 11065000 SH SOLE 11065000 0 0 Equities 883556102 3951 28 SH SOLE 28 0 0 PFDs, REITs, 885218800 0 15 SH SOLE 15 0 0 Convertible 887315AM1 25828 20000 SH SOLE 20000 0 0 Equities 872540109 4883 65 SH SOLE 65 0 0 Convertible 880461FM5 4997 5000 SH SOLE 5000 0 0 Convertible 88947EAK6 3226163 2970000 SH SOLE 2970000 0 0 Convertible 88947EAP5 7873250 7700000 SH SOLE 7700000 0 0 Convertible 88947EAQ3 103875 100000 SH SOLE 100000 0 0 Equities 89151E113 30582 600 SH SOLE 600 0 0 Equities 89324A109 0 5 SH SOLE 5 0 0 Equities 89353D107 9030 200 SH SOLE 200 0 0 Equities 89417E113 12242 100 SH SOLE 100 0 0 Equities 74144T108 2634 35 SH SOLE 35 0 0 Convertible 898797CG8 11964 10000 SH SOLE 10000 0 0 Equities 90184L102 1223 75 SH SOLE 75 0 0 PFDs, REITs, 90187B101 516512 59233 SH SOLE 59233 0 0 Convertible 88283LJW7 11964 10000 SH SOLE 10000 0 0 Equities 902681105 86400 1875 SH SOLE 1875 0 0 Equities 904311107 5229 180 SH SOLE 180 0 0 Equities 904311206 4531 180 SH SOLE 180 0 0 Equities 904784709 20530 500 SH SOLE 500 0 0 Convertible 905572AD5 30116 25000 SH SOLE 25000 0 0 Equities 907818108 111456 1075 SH SOLE 1075 0 0 Equities 911312106 68325 596 SH SOLE 596 0 0 Equities 913017109 78559 717 SH SOLE 717 0 0 Equities 91324P102 20325 127 SH SOLE 127 0 0 Equities 913991006 0 1 SH SOLE 1 0 0 Convertible 914062EC4 30201 25000 SH SOLE 25000 0 0 Convertible 91412GDY8 16633 15000 SH SOLE 15000 0 0 Convertible 91480QDS6 21504 20000 SH SOLE 20000 0 0 Convertible 915137W90 26638 25000 SH SOLE 25000 0 0 Equities 91347P105 5630 100 SH SOLE 100 0 0 Equities 902973304 2747524 53485 SH SOLE 53485 0 0 PFDs, REITs, 902973817 353696 14030 SH SOLE 14030 0 0 Equities 90341L102 0 40 SH SOLE 40 0 0 Equities 90341K104 0 162 SH SOLE 162 0 0 Convertible 927781K45 21495 20000 SH SOLE 20000 0 0 Convertible 928172ZA6 22318 20000 SH SOLE 20000 0 0 Equities 91912E109 10287 1350 SH SOLE 1350 0 0 Equities 91911X104 871 60 SH SOLE 60 0 0 Equities 91913Y100 1081847 15835 SH SOLE 15835 0 0 Convertible 91913YAR1 6174620 5595000 SH SOLE 5595000 0 0 Equities 921166104 36125 2937 SH SOLE 2937 0 0 Equities 921908844 26747 314 SH SOLE 314 0 0 Equities 922908637 96064 938 SH SOLE 938 0 0 Equities 921910873 4199 55 SH SOLE 55 0 0 Equities 922908769 76934 667 SH SOLE 667 0 0 Equities 92210H105 1515839 25425 SH SOLE 25425 0 0 Convertible 92240MBC1 7362975 6410000 SH SOLE 6410000 0 0 PFDs, REITs, 92339V100 42300 5000 SH SOLE 5000 0 0 Convertible 92343XAA8 11076478 11825000 SH SOLE 0 0 0 Equities 92343V104 3382939 63375 SH SOLE 63375 0 0 Convertible 92343VBR4 143350 130000 SH SOLE 130000 0 0 Equities 923725105 33736 800 SH SOLE 800 0 0 Equities 92532F100 1473 20 SH SOLE 20 0 0 Equities 918204108 3201 60 SH SOLE 60 0 0 Equities 92553P201 25097 715 SH SOLE 715 0 0 Equities 925550105 57 7 SH SOLE 7 0 0 Equities 92660P300 0 6 SH SOLE 6 0 0 Equities 92826C839 85822 1100 SH SOLE 1100 0 0 Equities 92851M108 0 500 SH SOLE 500 0 0 Equities 92857W209 19544 800 SH SOLE 800 0 0 PFDs, REITs, 939ESC968 0 2500 SH SOLE 2500 0 0 Equities 92927K102 5308 50 SH SOLE 50 0 0 Equities 929740108 8302 100 SH SOLE 100 0 0 Equities 931427108 265411 3207 SH SOLE 3207 0 0 Equities 93148P102 18720 600 SH SOLE 600 0 0 Equities 931142103 174874 2530 SH SOLE 2530 0 0 Equities 254687106 183115 1757 SH SOLE 1757 0 0 Convertible 93974CGB0 21486 20000 SH SOLE 20000 0 0 Equities 94106L109 816032 11508 SH SOLE 11508 0 0 Convertible 94106LAG4 270763 205000 SH SOLE 205000 0 0 Convertible 942860MY0 15398 15000 SH SOLE 15000 0 0 Equities 94770V102 7436 150 SH SOLE 150 0 0 Convertible 94770VAF9 7771865 7610000 SH SOLE 7610000 0 0 Equities 948626106 2290 200 SH SOLE 200 0 0 Equities 949746101 6268802 113751 SH SOLE 113751 0 0 Convertible 949746NX5 10369 10000 SH SOLE 10000 0 0 PFDs, REITs, 949746465 1309472 48320 SH SOLE 48320 0 0 PFDs, REITs, 949746556 622292 24655 SH SOLE 24655 0 0 PFDs, REITs, 949746879 24976 945 SH SOLE 945 0 0 PFDs, REITs, 949746366 25080 1000 SH SOLE 1000 0 0 Convertible 94974BFR6 5068 5000 SH SOLE 5000 0 0 Convertible 950868LX5 25131 25000 SH SOLE 25000 0 0 Equities 955306105 193412 2280 SH SOLE 2280 0 0 Equities 957638109 43839 900 SH SOLE 900 0 0 Equities 95766J102 421033 59468 SH SOLE 59468 0 0 Equities 95768B107 285760 19000 SH SOLE 19000 0 0 PFDs, REITs, 95931Q205 23485 1100 SH SOLE 1100 0 0 Equities 96145D105 39601 780 SH SOLE 780 0 0 PFDs, REITs, 962166104 57773 1920 SH SOLE 1920 0 0 Convertible 963320AQ9 241093 240000 SH SOLE 240000 0 0 Equities 966244105 22240 400 SH SOLE 400 0 0 Convertible 97710B4W9 16943 15000 SH SOLE 15000 0 0 Equities D22359133 4301 100 SH SOLE 100 0 0 Convertible 97705MAJ4 22705 20000 SH SOLE 20000 0 0 Equities 97717W422 49490 2450 SH SOLE 2450 0 0 Equities 384802104 2033349 8755 SH SOLE 8755 0 0 Equities 98310W108 28639 375 SH SOLE 375 0 0 Convertible 98310WAH1 110147 110000 SH SOLE 110000 0 0 Equities 984121103 1453929 166544 SH SOLE 166544 0 0 Equities 983793100 6474 150 SH SOLE 150 0 0 Equities 984332106 3867 100 SH SOLE 100 0 0 Equities 98462Y100 1405 500 SH SOLE 500 0 0 Equities 985572114 1522 827 SH SOLE 827 0 0 Equities 98850P109 13060 500 SH SOLE 500 0 0 Equities 988498101 31665 500 SH SOLE 500 0 0 Equities 98954M101 3645 100 SH SOLE 100 0 0 Equities 98954M200 7294 200 SH SOLE 200 0 0 Equities 98956P102 33024 320 SH SOLE 320 0 0 Equities 98978V103 107060 2000 SH SOLE 2000 0 0 Equities 98978V103 107060 2000 SH SOLE 2000 0 0