Managing Director

0001085146-20-001185.txt : 20200422 0001085146-20-001185.hdr.sgml : 20200422 20200422151120 ACCESSION NUMBER: 0001085146-20-001185 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200422 DATE AS OF CHANGE: 20200422 EFFECTIVENESS DATE: 20200422 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: 20807831 BUSINESS ADDRESS: STREET 1: 600 LEXINGTON AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-754-5111 MAIL ADDRESS: STREET 1: 600 LEXINGTON AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: SHUFRO ROSE EHRMAN DATE OF NAME CHANGE: 19930624 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000908195 XXXXXXXX 03-31-2020 03-31-2020 false SHUFRO ROSE & CO LLC

600 LEXINGTON AVENUE 15TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-04541 N Steven J. Glass Managing Director 212-754-5100 /s/ Steven J. Glass New York NY 04-22-2020 0 293 838519 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 180 DEGREE CAP CORP COM 68235B109 102 75006 SH SOLE 0 0 75006 3M CO COM 88579Y101 4778 35000 SH SOLE 0 0 35000 A MARK PRECIOUS METALS INC COM 00181T107 2565 208868 SH SOLE 0 0 208868 ABB LTD SPONSORED ADR 000375204 4038 233953 SH SOLE 0 0 233953 ABBOTT LABS COM 002824100 265 3360 SH SOLE 0 0 3360 ABERDEEN ASIA-PACIFIC INCOME COM 003009107 75 22245 SH SOLE 0 0 22245 ABERDEEN GLOBAL INCOME FD IN COM 003013109 173 31900 SH SOLE 0 0 31900 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 116 18625 SH SOLE 0 0 18625 ACACIA RESH CORP ACACIA TCH COM 003881307 49 22015 SH SOLE 0 0 22015 ADOBE INC COM 00724F101 321 1009 SH SOLE 0 0 1009 AIR LEASE CORP CL A 00912X302 772 34875 SH SOLE 0 0 34875 ALASKA AIR GROUP INC COM 011659109 618 21710 SH SOLE 0 0 21710 ALLEGHANY CORP DEL COM 017175100 14759 26720 SH SOLE 0 0 26720 ALLERGAN PLC SHS G0177J108 18733 105774 SH SOLE 0 0 105774 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 531 57300 SH SOLE 0 0 57300 ALPHABET INC CAP STK CL A 02079K305 508 437 SH SOLE 0 0 437 ALPHABET INC CAP STK CL C 02079K107 915 787 SH SOLE 0 0 787 AMAZON COM INC COM 023135106 5097 2614 SH SOLE 0 0 2614 AMERICAN EAGLE OUTFITTERS IN COM 02553E106 226 28400 SH SOLE 0 0 28400 AMERICAN EXPRESS CO COM 025816109 285 3333 SH SOLE 0 0 3333 AMERICAN FINL GROUP INC OHIO COM 025932104 210 3000 SH SOLE 0 0 3000 AMERICAN NATL INS CO COM 028591105 1044 12670 SH SOLE 0 0 12670 AMETEK INC COM 031100100 308 4274 SH SOLE 0 0 4274 AMGEN INC COM 031162100 16432 81054 SH SOLE 0 0 81054 ANTHEM INC COM 036752103 329 1450 SH SOLE 0 0 1450 ANTHEM INC COM 036752103 68 300 SH Call SOLE 0 0 300 AON PLC SHS CL A G0408V102 4126 25000 SH SOLE 0 0 25000 APOLLO SR FLOATING RATE FD I COM 037636107 528 45500 SH SOLE 0 0 45500 APPLE INC COM 037833100 965 3800 SH Put SOLE 0 0 3800 APPLE INC COM 037833100 15963 62774 SH SOLE 0 0 62774 ARES CAPITAL CORP COM 04010L103 7043 653343 SH SOLE 0 0 653343 ARTS WAY MFG INC COM 043168103 40 18784 SH SOLE 0 0 18784 AT&T INC COM 00206R102 387 13286 SH SOLE 0 0 13286 ATLANTIC AMERN CORP COM 048209100 76 35992 SH SOLE 0 0 35992 AUTOMATIC DATA PROCESSING IN COM 053015103 715 5228 SH SOLE 0 0 5228 AUTOMATIC DATA PROCESSING IN COM 053015103 410 3000 SH Put SOLE 0 0 3000 AUTOZONE INC COM 053332102 6654 7865 SH SOLE 0 0 7865 AVERY DENNISON CORP COM 053611109 22972 225500 SH SOLE 0 0 225500 BAR HBR BANKSHARES COM 066849100 283 16384 SH SOLE 0 0 16384 BECTON DICKINSON & CO COM 075887109 218 950 SH SOLE 0 0 950 BELLICUM PHARMACEUTICALS INC COM NEW 079481404 61 12941 SH SOLE 0 0 12941 BERKSHIRE HATHAWAY INC DEL CL A 084670108 7616 28 SH SOLE 0 0 28 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 22269 121802 SH SOLE 0 0 121802 BIG LOTS INC COM 089302103 293 20600 SH SOLE 0 0 20600 BIOGEN INC COM 09062X103 475 1500 SH SOLE 0 0 1500 BK OF AMERICA CORP COM 060505104 1257 59223 SH SOLE 0 0 59223 BLACKROCK CAP INVT CORP COM 092533108 45 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