0001085146-16-003877.txt : 20160526 0001085146-16-003877.hdr.sgml : 20160526 20160525192331 ACCESSION NUMBER: 0001085146-16-003877 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160526 DATE AS OF CHANGE: 20160525 EFFECTIVENESS DATE: 20160526 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-04541 FILM NUMBER: 161675922 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/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0000908195 XXXXXXXX 03-31-2016 03-31-2016 true 1 RESTATEMENT 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 05-23-2016 0 273 894992 false
INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1011137768278SHSOLE 0068278A MARK PRECIOUS METALS INCCOM00181T1073777189800SHSOLE 00189800ABB LTDSPONSORED ADR00037520472837500SHSOLE 0037500ABBOTT LABSCOM0028241003187600SHSOLE 007600ABERDEEN ASIA PACIFIC INCOMCOM00300910717234300PRNSOLE 0034300ABERDEEN JAPAN EQUITY FD INCCOM00306J10930841950PRNSOLE 0041950AGILYSYS INCCOM00847J1051214118860SHSOLE 00118860AGRIUM INCCOM008916108728282481SHSOLE 0082481AIR LEASE CORPCL A00912X30294129300SHSOLE 0029300ALCOA INCCOM013817101115991210722SHSOLE 001210722ALLEGHENY TECHNOLOGIES INCCOM01741R10253032534SHSOLE 0032534ALPHABET INCCAP STK CL C02079K107264355SHSOLE 00355ALTRIA GROUP INCCOM02209S1034627370SHSOLE 007370AMERICAN AIRLS GROUP INCCOM02376R1023328102SHSOLE 008102AMERICAN EAGLE OUTFITTERS NECOM02553E1069620577091SHSOLE 00577091AMERICAN FINL GROUP INC OHIOCOM0259321043174500SHSOLE 004500AMETEK INC NEWCOM0311001003296574SHSOLE 006574AMGEN INCCOM03116210017237114970SHSOLE 00114970ANTERO RES CORPCOM03674X10649119750SHSOLE 0019750ANTHEM INCCOM0367521034933550SHSOLE 003550AON PLCSHS CL AG0408V102302929000SHSOLE 0029000APPLE INCCOM037833100855278463SHSOLE 0078463ARALEZ PHARMACEUTICALS INCCOM03852X1005916487SHSOLE 0016487ARTS WAY MFG INCCOM0431681035217775SHSOLE 0017775ASTRO-MED INC NEWCOM04638F10813910004SHSOLE 0010004AT&T INCCOM00206R102104326621SHSOLE 0026621ATLANTIC AMERN CORPCOM04820910018742050SHSOLE 0042050AUTOMATIC DATA PROCESSING INCOM0530151035055628SHSOLE 005628AVERY DENNISON CORPCOM05361110922537312534SHSOLE 00312534AVX CORP NEWCOM002444107107785666SHSOLE 0085666BAKER HUGHES INCCOM0572241072916645SHSOLE 006645BANK AMER CORPCOM060505104105077697SHSOLE 0077697BANK NEW YORK MELLON CORPCOM0640581003479432SHSOLE 009432BAR HBR BANKSHARESCOM06684910053916212SHSOLE 0016212BAXALTA INCCOM07177M103152537740SHSOLE 0037740BED BATH & BEYOND INCCOM075896100411482880SHSOLE 0082880BERKSHIRE HATHAWAY INC DELCL A084670108725734SHSOLE 0034BERKSHIRE HATHAWAY INC DELCL B NEW0846707021149981046SHSOLE 0081046BIG LOTS INCCOM089302103168937300SHSOLE 0037300BLACKROCK CAPITAL INVESTMENTCOM09253310832534500SHSOLE 0034500BLACKROCK ENHANCED EQT DIV TCOM09251A10421428385PRNSOLE 0028385BLACKROCK FLOAT RATE OME STRCOM09255X100109984100PRNSOLE 0084100BLACKROCK MUNIHLDGS NY QLTYCOM09255C10617711800PRNSOLE 0011800BLACKROCK MUNIYIELD NY QLTYCOM09255E10225118000PRNSOLE 0018000BP PLCSPONSORED ADR0556221043738123859SHSOLE 00123859BRISTOL MYERS SQUIBB COCOM11012210887913755SHSOLE 0013755BUCKLE INCCOM1184401068074238395SHSOLE 00238395CABOT OIL & GAS CORPCOM12709710315202669417SHSOLE 00669417CARNIVAL CORPPAIRED CTF143658300155429450SHSOLE 0029450CASTLE A M & COCOM1484111014215500SHSOLE 0015500CHEVRON CORP NEWCOM166764100544457062SHSOLE 0057062CHICAGO BRIDGE & IRON CO N VCOM1672501095639154115SHSOLE 00154115CHICOS FAS INCCOM1686151023615272424SHSOLE 00272424CISCO SYS INCCOM17275R10223478824650SHSOLE 00824650CITIGROUP INCCOM NEW17296742482219685SHSOLE 0019685COCA COLA COCOM19121610077516713SHSOLE 0016713COEUR MNG INCCOM NEW19210850445480700SHSOLE 0080700COHEN & STEERS INFRASTRUCTURCOM19248A10926113200PRNSOLE 0013200COMMERCIAL METALS COCOM20172310389252550SHSOLE 0052550CONOCOPHILLIPSCOM20825C10458414510SHSOLE 0014510CONSOL ENERGY INCCOM20854P10934430500SHSOLE 0030500CONSOLIDATED EDISON INCCOM209115104272335540SHSOLE 0035540CORE LABORATORIES N VCOMN22717107693361680SHSOLE 0061680CORNING INCCOM219350105366711755411SHSOLE 001755411CVS HEALTH CORPCOM126650100157215150SHSOLE 0015150CYCLACEL PHARMACEUTICALS INCCOM NEW23254L306717500SHSOLE 0017500D R HORTON INCCOM23331A10935511740SHSOLE 0011740DARLING INGREDIENTS INCCOM2372661012077157734SHSOLE 00157734DEUTSCHE MULTI-MKT INCOME TRSHS25160E10256371000PRNSOLE 0071000DICKS SPORTING GOODS INCCOM253393102339572625SHSOLE 0072625DISCOVERY COMMUNICATNS NEWCOM SER C25470F30236413482SHSOLE 0013482DISNEY WALT COCOM DISNEY254687106111011178SHSOLE 0011178DREYFUS HIGH YIELD STRATEGIESH BEN INT26200S1014815275PRNSOLE 0015275DSW INCCL A23334L102222380419SHSOLE 0080419DU PONT E I DE NEMOURS & COCOM26353410916143254936SHSOLE 00254936EATON VANCE FLTING RATE INCCOM27827910436227500PRNSOLE 0027500EATON VANCE LTD DUR INCOME FCOM27828H10550338200PRNSOLE 0038200EATON VANCE SR FLTNG RTE TRCOM27828Q10518814650PRNSOLE 0014650EMERSON ELEC COCOM291011104220840610SHSOLE 0040610ENERPLUS CORPCOM29276610210727110SHSOLE 0027110EQUUS TOTAL RETURN INCCOM2947661002817735SHSOLE 0017735ERA GROUP INCCOM26885G10915316300SHSOLE 0016300EVERSOURCE ENERGYCOM30040W1083355748SHSOLE 005748EXAMWORKS GROUP INCCOM30066A10555718856SHSOLE 0018856EXELON CORPCOM30161N1012737600SHSOLE 007600EXPRESS SCRIPTS HLDG COCOM30219G10897914255SHSOLE 0014255EXXON MOBIL CORPCOM30231G10227787332417SHSOLE 00332417FACEBOOK INCCL A30303M1021086295200SHSOLE 0095200FIRST TR SR FLG RTE INCM FDCOM33733U10820716100PRNSOLE 0016100FIRSTENERGY CORPCOM337932107198955300SHSOLE 0055300FLEXTRONICS INTL LTDORDY2573F1025972495222SHSOLE 00495222FORD MTR CO DELCOM PAR $0.0134537086029021510SHSOLE 0021510FREEPORT-MCMORAN INCCL B35671D85792389310SHSOLE 0089310FREIGHTCAR AMER INCCOM3570231007774498951SHSOLE 00498951FREQUENCY ELECTRS INCCOM35801010611211191SHSOLE 0011191FRIEDMAN INDS INCCOM358435105956176420SHSOLE 00176420GENERAL ELECTRIC COCOM369604103458801443224SHSOLE 001443224GENERAL MLS INCCOM37033410481412850SHSOLE 0012850GENERAL MTRS COCOM37045V1006653211665SHSOLE 00211665GENTEX CORPCOM3719011093784241175SHSOLE 00241175GETTY RLTY CORP NEWCOM37429710994847811SHSOLE 0047811GILEAD SCIENCES INCCOM3755581033864200SHSOLE 004200GLADSTONE LD CORPCOM37654910117817700SHSOLE 0017700GLAXOSMITHKLINE PLCSPONSORED ADR37733W1053368274SHSOLE 008274GOLDFIELD CORPCOM381370105182107212SHSOLE 00107212GOVERNMENT PPTYS INCOME TRCOM SHS BEN INT38376A10391851450SHSOLE 0051450HALLIBURTON COCOM406216101232965206SHSOLE 0065206HARDINGE INCCOM41232430380464500SHSOLE 0064500HARRIS & HARRIS GROUP INCCOM41383310414688500SHSOLE 0088500HEALTHCARE SVCS GRP INCCOM42190610884122850SHSOLE 0022850HOME DEPOT INCCOM437076102226216950SHSOLE 0016950HOSPITALITY PPTYS TRCOM SH BEN INT44106M1022288600SHSOLE 008600HSBC HLDGS PLCADR A 1/40PF A40428060432112525SHSOLE 0012525II VI INCCOM9021041086710309076SHSOLE 00309076ILLINOIS TOOL WKS INCCOM45230810911887116039SHSOLE 00116039IMMUCELL CORPCOM PAR $0.1045252530628942191SHSOLE 0042191INTEL CORPCOM458140100352251088884SHSOLE 001088884INTELLIGENT SYS CORP NEWCOM45816D10027178742SHSOLE 0078742INTERCONTINENTAL EXCHANGE INCOM45866F1042591100SHSOLE 001100INTERNATIONAL BUSINESS MACHSCOM459200101271117899SHSOLE 0017899INVESCO TR INVT GRADE MUNSCOM46131M10646032900PRNSOLE 0032900INVESCO TR INVT GRADE NY MUNCOM46131T10138425000PRNSOLE 0025000ISHARES SILVER TRUSTISHARES46428Q10917612000SHSOLE 0012000ISHARES TRCORE US AGGBD ET4642872263703341SHSOLE 003341ISHARES TRLATN AMER 40 ETF46428739061324380SHSOLE 0024380ISHARES TRCORE S&P SCP ETF4642878043513122SHSOLE 003122ITT CORP NEWCOM NEW45091120151513969SHSOLE 0013969J & J SNACK FOODS CORPCOM466032109163615105SHSOLE 0015105JACOBS ENGR GROUP INC DELCOM4698141079486217815SHSOLE 00217815JETBLUE AIRWAYS CORPCOM47714310121210050SHSOLE 0010050JOHNSON & JOHNSONCOM478160104517147789SHSOLE 0047789JOHNSON CTLS INCCOM47836610720917536749SHSOLE 00536749JOY GLOBAL INCCOM48116510842326300SHSOLE 0026300JPMORGAN CHASE & COCOM46625H10013748232149SHSOLE 00232149KELLOGG COCOM4878361082202880SHSOLE 002880KELLY SVCS INCCL A4881522086221325366SHSOLE 00325366KENNAMETAL INCCOM4891701008476376858SHSOLE 00376858KERYX BIOPHARMACEUTICALS INCCOM49251510125755100SHSOLE 0055100KIMBERLY CLARK CORPCOM4943681034713500SHSOLE 003500KNOWLES CORPCOM49926D10925219100SHSOLE 0019100KOHLS CORPCOM50025510410494225136SHSOLE 00225136KONINKLIJKE PHILIPS N VNY REG SH NEW50047230330410654SHSOLE 0010654L-3 COMMUNICATIONS HLDGS INCCOM5024241044153500SHSOLE 003500LEGG MASON INCCOM5249011053129000SHSOLE 009000LEUCADIA NATL CORPCOM52728810441825830SHSOLE 0025830LEXINGTON REALTY TRUSTCOM52904310128132640SHSOLE 0032640LIBERTY BROADBAND CORPCOM SER C5303073055419343SHSOLE 009343LIBERTY MEDIA CORP DELAWARECL A531229102251265024SHSOLE 0065024LIBERTY MEDIA CORP DELAWARECOM SER C5312293007387193936SHSOLE 00193936LILLY ELI & COCOM532457108401555755SHSOLE 0055755LKQ CORPCOM50188920833510500SHSOLE 0010500M & T BK CORPCOM55261F104565150910SHSOLE 0050910MANHATTAN BRIDGE CAPITAL INCCOM56280310616638175SHSOLE 0038175MEDICAL PPTYS TRUST INCCOM58463J30458945400SHSOLE 0045400MEDTRONIC PLCSHSG5960L10399913325SHSOLE 0013325MERCER INTL INCCOM58805610124025400SHSOLE 0025400MERCK & CO INC NEWCOM58933Y105110820938SHSOLE 0020938METLIFE INCCOM59156R10812175277083SHSOLE 00277083MFC BANCORP LTDCOM55278T1056934850SHSOLE 0034850MFS INTER INCOME TRSH BEN INT55273C107686148810PRNSOLE 00148810MICROSOFT CORPCOM59491810414227257588SHSOLE 00257588MIDDLEBURG FINANCIAL CORPCOM5960941022865132633SHSOLE 00132633MITCHAM INDS INCCOM6065011047123300SHSOLE 0023300MONMOUTH REAL ESTATE INVT COCL A6097201071404118050SHSOLE 00118050MORGAN STANLEYCOM NEW61744644825310100SHSOLE 0010100MORGAN STANLEY EMER MKTS DEBCOM61744H10510912450PRNSOLE 0012450MOSAIC CO NEWCOM61945C1035724212012SHSOLE 00212012NATIONAL WESTN LIFE GROUP INCL A6385171021087547154SHSOLE 0047154NEUSTAR INCCL A64126X201217588400SHSOLE 0088400NEW MEDIA INVT GROUP INCCOM64704V10617810700SHSOLE 0010700NORTHERN TR CORPCOM6658591042283500SHSOLE 003500NORWEGIAN CRUISE LINE HLDGSSHSG667211043045500SHSOLE 005500NOVARTIS A GSPONSORED ADR66987V109130017952SHSOLE 0017952NOW INCCOM67011P1002747155030SHSOLE 00155030NUCOR CORPCOM670346105199242116SHSOLE 0042116NUVEEN CR STRATEGIES INCM FDCOM SHS67073D10210513300PRNSOLE 0013300NUVEEN MUN VALUE FD INCCOM67092810021020000PRNSOLE 0020000NUVEEN PFD INCOME OPPRTNY FDCOM67073B1069410000PRNSOLE 0010000NUVEEN QUALITY PFD INC FD 3COM67072W10112814950PRNSOLE 0014950NUVEEN QUALITY PFD INCOME FDCOM67071S10111113400PRNSOLE 0013400NUVEEN QUALITY PFD INCOME FDCOM67072C1059310300PRNSOLE 0010300OLD REP INTL CORPCOM68022310445524900SHSOLE 0024900OMEGA PROTEIN CORPCOM68210P10783049000SHSOLE 0049000OPHTHOTECH CORPCOM68374510357013475SHSOLE 0013475OPKO HEALTH INCCOM68375N1031348129700SHSOLE 00129700ORBCOMM INCCOM68555P10033533100SHSOLE 0033100PANDORA MEDIA INCCOM69835410715717500SHSOLE 0017500PDC ENERGY INCCOM69327R10163010600SHSOLE 0010600PEPSICO INCCOM7134481086976800SHSOLE 006800PFIZER INCCOM7170811033451116427SHSOLE 00116427PHILIP MORRIS INTL INCCOM7181721093873948SHSOLE 003948PHILLIPS 66COM7185461042342700SHSOLE 002700PIMCO INCOME STRATEGY FUNDCOM72201H10842944900PRNSOLE 0044900PIMCO INCOME STRATEGY FUND ICOM72201J10432637300PRNSOLE 0037300POTASH CORP SASK INCCOM73755L1074207247186SHSOLE 00247186POWERSHARES QQQ TRUSTUNIT SER 173935A1042762532SHSOLE 002532PROCTER & GAMBLE COCOM7427181092783377SHSOLE 003377PROSPECT CAPITAL CORPORATIONCOM74348T1021448199200SHSOLE 00199200PUBLIC SVC ENTERPRISE GROUPCOM74457310691419392SHSOLE 0019392PUTNAM PREMIER INCOME TRSH BEN INT746853100645136100PRNSOLE 00136100QUALCOMM INCCOM747525103172533724SHSOLE 0033724QUEST DIAGNOSTICS INCCOM74834L10077410830SHSOLE 0010830RAMCO-GERSHENSON PPTYS TRCOM SH BEN INT75145220225214000SHSOLE 0014000RAND CAP CORPCOM752185108619136300SHSOLE 00136300REGENERON PHARMACEUTICALSCOM75886F10712033337SHSOLE 003337RESEARCH FRONTIERS INCCOM760911107935204950SHSOLE 00204950ROCKWELL COLLINS INCCOM77434110114087152766SHSOLE 00152766ROFIN SINAR TECHNOLOGIES INCCOM7750431022096500SHSOLE 006500ROYAL DUTCH SHELL PLCSPONS ADR A7802592064238728SHSOLE 008728RTI SURGICAL INCCOM74975N10516040000SHSOLE 0040000SALISBURY BANCORP INCCOM7952261093179975SHSOLE 009975SANDERSON FARMS INCCOM800013104681575570SHSOLE 0075570SANDISK CORPCOM80004C101403252996SHSOLE 0052996SANOFISPONSORED ADR80105N1052746830SHSOLE 006830SCHEIN HENRY INCCOM80640710213818000SHSOLE 008000SCHMITT INDS INC ORECOM NEW8068702004820000SHSOLE 0020000SCHNITZER STL INDSCL A8068821066959377360SHSOLE 00377360SEABOARD CORPCOM8115431071186395SHSOLE 00395SEACOR HOLDINGS INCCOM811904101132324300SHSOLE 0024300SENECA FOODS CORP NEWCL A817070501134138600SHSOLE 0038600SIMPSON MANUFACTURING CO INCCOM82907310566117305SHSOLE 0017305SKULLCANDY INCCOM83083J1043610000SHSOLE 0010000SOLAZYME INCCOM83415T101525258800SHSOLE 00258800SONOCO PRODS COCOM83549510216112331720SHSOLE 00331720SPDR S&P 500 ETF TRTR UNIT78462F1033541724SHSOLE 001724SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y1078223130SHSOLE 003130SPDR SERIES TRUSTS&P BIOTECH78464A87060411700SHSOLE 0011700SPROTT FOCUS TR INCCOM85208J10942870280PRNSOLE 0070280STARBUCKS CORPCOM8552441092634400SHSOLE 004400STEMCELLS INCCOM NEW85857R204310000SHSOLE 0010000STRYKER CORPCOM863667101702865506SHSOLE 0065506SUPERIOR INDS INTL INCCOM8681681052974134710SHSOLE 00134710SWISS HELVETIA FD INCCOM87087510125424931PRNSOLE 0024931SYMANTEC CORPCOM871503108126468790SHSOLE 0068790SYNCHRONY FINLCOM87165B10372025125SHSOLE 0025125SYNGENTA AGSPONSORED ADR87160A1006627990SHSOLE 007990SYSTEMAX INCCOM8718511013217366804SHSOLE 00366804TAL INTL GROUP INCCOM87408310849031750SHSOLE 0031750TARGET CORPCOM87612E10688910800SHSOLE 0010800TEJON RANCH COCOM8790801097129346590SHSOLE 00346590TEMPLETON GLOBAL INCOME FDCOM88019810640862575PRNSOLE 0062575TERADYNE INCCOM8807701022604120595SHSOLE 00120595TESORO CORPCOM8816091018009300SHSOLE 009300TEVA PHARMACEUTICAL INDS LTDADR881624209331061865SHSOLE 0061865TEXAS INSTRS INCCOM88250810421480374091SHSOLE 00374091THERMO FISHER SCIENTIFIC INCCOM883556102998670528SHSOLE 0070528TICC CAPITAL CORPCOM87244T1098217000SHSOLE 0017000TIME WARNER CABLE INCCOM88732J20710265016SHSOLE 005016TIME WARNER INCCOM NEW887317303144819955SHSOLE 0019955TRI POINTE GROUP INCCOM87265H1098439716350SHSOLE 00716350TRINITY INDS INCCOM89652210970538500SHSOLE 0038500UNILEVER PLCSPON ADR NEW90476770467514950SHSOLE 0014950UNION PAC CORPCOM9078181082793501SHSOLE 003501UNITED PARCEL SERVICE INCCL B9113121063933725SHSOLE 003725UNITED TECHNOLOGIES CORPCOM9130171092432425SHSOLE 002425UNITEDHEALTH GROUP INCCOM91324P10217224133626SHSOLE 00133626VALERO ENERGY CORP NEWCOM91913Y10091114200SHSOLE 0014200VALMONT INDS INCCOM920253101911173569SHSOLE 0073569VANGUARD INDEX FDSGROWTH ETF922908736167115700SHSOLE 0015700VERIZON COMMUNICATIONS INCCOM92343V10412951239478SHSOLE 00239478VISHAY INTERTECHNOLOGY INCCOM92829810854544600SHSOLE 0044600VISHAY PRECISION GROUP INCCOM92835K1038688620120SHSOLE 00620120VODAFONE GROUP PLC NEWSPNSR ADR NO PAR92857W30819283601648SHSOLE 00601648VORNADO RLTY TRSH BEN INT929042109135314327SHSOLE 0014327VOYA PRIME RATE TRSH BEN INT92913A1005010000PRNSOLE 0010000WALGREENS BOOTS ALLIANCE INCCOM9314271084215000SHSOLE 005000WALKER & DUNLOP INCCOM93148P10210915449716SHSOLE 00449716WENDYS COCOM95058W10010596973005SHSOLE 00973005WESTERN ASSET GLB PTNRS INCOCOM95766G10815819700PRNSOLE 0019700WESTERN ASST MN PRT FD INCCOM95766P10824914945PRNSOLE 0014945WORLD FUEL SVCS CORPCOM9814751067021144516SHSOLE 00144516WP GLIMCHER INCOM92939N1022300242335SHSOLE 00242335XYLEM INCCOM98419M100104725588SHSOLE 0025588