Sheaff Brock Investment Advisors LLC's Q3 2020 13F: 41 new positions, 31 exits
Form 13F-HR for the quarter ended Sep 30, 2020 · filed Oct 30, 2020 · 457 reported positions · accession 0001606587-20-001151
What changed this quarter
| Activity | Security | Weight before | Weight now | Change | Shares | Shares % |
|---|---|---|---|---|---|---|
| Increased | AMAZON COM INC (AMZN) | 3.2% | 5.4% | +2.2 pts | +5,665 sh | +68% |
| New | PPG INDS INC (PPG) | — | 0.6% | +0.6 pts | +40,401 sh | new |
| Increased | LILLY ELI & CO (LLY) | 0.6% | 1.0% | +0.4 pts | +28,248 sh | +113% |
| Increased | WALMART INC (WMT) | 0.3% | 0.8% | +0.5 pts | +27,498 sh | +145% |
| Reduced | UNITEDHEALTH GROUP INC (UNH) | 0.8% | 0.4% | −0.5 pts | −10,865 sh | −54% |
| Increased | PROCTER AND GAMBLE CO (PG) | 0.8% | 1.2% | +0.4 pts | +22,271 sh | +45% |
| Increased | 3M CO (MMM) | 0.1% | 0.4% | +0.4 pts | +18,913 sh | +530% |
| Reduced | AMERICAN EXPRESS CO (AXP) | 0.5% | 0.2% | −0.4 pts | −27,348 sh | −67% |
| Increased | TESLA INC (TSLA) | 0.3% | 0.8% | +0.5 pts | +6,045 sh | +66% |
| Reduced | INTERNATIONAL BUSINESS MACHS (IBM) | 0.7% | 0.3% | −0.4 pts | −20,994 sh | −53% |
| Increased | WALGREENS BOOTS ALLIANCE INC (WBA) | 0.2% | 0.5% | +0.2 pts | +67,087 sh | +164% |
| Reduced | BRISTOL-MYERS SQUIBB CO (BMY) | 1.3% | 0.9% | −0.4 pts | −38,040 sh | −24% |
| Exited | BANCO BBVA ARGENTINA S A (BBAR) | 0.3% | — | −0.3 pts | −500K sh | −100% |
| Reduced | LOCKHEED MARTIN CORP (LMT) | 1.2% | 0.9% | −0.3 pts | −5,339 sh | −22% |
| Reduced | VERIZON COMMUNICATIONS INC (VZ) | 1.5% | 1.2% | −0.3 pts | −27,610 sh | −14% |
| Reduced | INNOVATIVE INDL PPTYS INC (IIPR) | 0.8% | 0.8% | 0.0 pts | −11,490 sh | −18% |
| Increased | LAM RESEARCH CORP (LRCX) | 0.2% | 0.3% | +0.2 pts | +4,200 sh | +125% |
| Exited | CDW CORP (CDW) | 0.1% | — | −0.1 pts | −7,839 sh | −100% |
| Exited | L3HARRIS TECHNOLOGIES INC (LHX) | 0.1% | — | −0.1 pts | −5,248 sh | −100% |
| Increased | TRACTOR SUPPLY CO (TSCO) | 0.0% | 0.2% | +0.1 pts | +6,530 sh | +273% |
| Increased | INVESCO QQQ TR (QQQ) | 0.8% | 0.9% | +0.1 pts | +3,294 sh | +14% |
| Reduced | GABELLI EQUITY TR INC (GAB) | 0.1% | 0.0% | −0.1 pts | −179K sh | −85% |
| Increased | APPLE INC (AAPL) | 15.5% | 17.5% | +2.0 pts | +7,822 sh | +1% |
| Exited | DOLLAR TREE INC (DLTR) | 0.1% | — | −0.1 pts | −8,250 sh | −100% |
| Exited | BALL CORP (BALL) | 0.1% | — | −0.1 pts | −10,800 sh | −100% |
| Reduced | HOME DEPOT INC (HD) | 1.6% | 1.4% | −0.1 pts | −2,948 sh | −7% |
| Exited | LENNAR CORP (LEN) | 0.1% | — | −0.1 pts | −11,400 sh | −100% |
| Exited | DELL TECHNOLOGIES INC (DELL) | 0.1% | — | −0.1 pts | −12,179 sh | −100% |
| New | FORMFACTOR INC (FORM) | — | 0.1% | +0.1 pts | +29,747 sh | new |
| Reduced | QUALCOMM INC (QCOM) | 1.0% | 1.1% | +0.1 pts | −6,085 sh | −7% |
| New | MID-AMER APT CMNTYS INC (MAA) | — | 0.1% | +0.1 pts | +6,055 sh | new |
| Exited | EQUITY RESIDENTIAL (EQR) | 0.1% | — | −0.1 pts | −9,999 sh | −100% |
| Reduced | TARGET CORP (TGT) | 0.8% | 0.8% | 0.0 pts | −4,073 sh | −9% |
| New | PULTE GROUP INC (PHM) | — | 0.1% | +0.1 pts | +13,611 sh | new |
| Exited | DEXCOM INC (DXCM) | 0.1% | — | −0.1 pts | −1,360 sh | −100% |
| Increased | BEST BUY INC (BBY) | 0.6% | 0.7% | +0.1 pts | +5,369 sh | +11% |
| Reduced | EBAY INC. (EBAY) | 0.1% | 0.0% | −0.1 pts | −11,100 sh | −64% |
| New | CROWDSTRIKE HLDGS INC (CRWD) | — | 0.1% | +0.1 pts | +4,001 sh | new |
| Exited | SAREPTA THERAPEUTICS INC (SRPT) | 0.1% | — | −0.1 pts | −3,000 sh | −100% |
| Reduced | MASTERCARD INCORPORATED (MA) | 0.8% | 0.8% | −0.1 pts | −1,436 sh | −7% |
| Increased | SHOPIFY INC (SHOP) | 0.2% | 0.2% | 0.0 pts | +461 sh | +33% |
| New | OLD REP INTL CORP (ORI) | — | 0.1% | +0.1 pts | +31,071 sh | new |
| Increased | ACTIVISION BLIZZARD INC (ATVI) | 0.0% | 0.1% | +0.1 pts | +5,600 sh | +124% |
| Increased | SPDR S&P 500 ETF TR (SPY) | 0.7% | 0.7% | 0.0 pts | +1,255 sh | +8% |
| Reduced | CISCO SYS INC (CSCO) | 2.2% | 1.6% | −0.6 pts | −10,557 sh | −3% |
| New | DRAFTKINGS INC (DKNGXXXX) | — | 0.1% | +0.1 pts | +7,050 sh | new |
| Reduced | GOLDMAN SACHS GROUP INC (GS) | 1.1% | 0.9% | −0.2 pts | −1,994 sh | −5% |
| Reduced | PIMCO ETF TR (MINT) | 0.6% | 0.5% | −0.1 pts | −3,851 sh | −9% |
| Reduced | DISNEY WALT CO (DIS) | 1.3% | 1.3% | −0.1 pts | −3,156 sh | −4% |
| Reduced | PAYPAL HLDGS INC (PYPL) | 0.4% | 0.3% | 0.0 pts | −1,744 sh | −11% |
The 50 largest of 394 changes, by size of the trade. Full holdings for this quarter.
Reported by the fund in its Form 13F filed with the SEC; holdings are as of the quarter-end report date and may have changed since. For informational purposes only — not investment advice or a recommendation to buy or sell any security. FilingExplorer is not affiliated with or endorsed by this fund. How this brief is compiled
Top 10 positions — 33.8% of the equity book
Changes in the top 10 this quarter: NVDA entered · PG entered · META entered · INTC left · JPM left · BMY left
| # | Security | Weight before | Weight now | |
|---|---|---|---|---|
| 1 | APPLE INC (AAPL) | 15.5% | 17.5% | |
| 2 | AMAZON COM INC (AMZN) | 3.2% | 5.4% | |
| 3 | CISCO SYS INC (CSCO) | 2.2% | 1.6% | |
| 4 | MICROSOFT CORP (MSFT) | 1.6% | 1.5% | |
| 5 | HOME DEPOT INC (HD) | 1.6% | 1.4% | |
| 6 | NVIDIA CORPORATION (NVDA) | 1.1% | 1.4% | Entered the top 10 |
| 7 | DISNEY WALT CO (DIS) | 1.3% | 1.3% | |
| 8 | PROCTER AND GAMBLE CO (PG) | 0.8% | 1.2% | Entered the top 10 |
| 9 | VERIZON COMMUNICATIONS INC (VZ) | 1.5% | 1.2% | |
| 10 | FACEBOOK INC (META) | 1.2% | 1.2% | Entered the top 10 |
| — | INTEL CORP (INTC) | 1.5% | 1.2% | Left the top 10 |
| — | JPMORGAN CHASE & CO (JPM) | 1.3% | 1.2% | Left the top 10 |
| — | BRISTOL-MYERS SQUIBB CO (BMY) | 1.3% | 0.9% | Left the top 10 |
Weights are each position's reported value as a share of the fund's reported equity positions (options and principal-amount holdings excluded).
Option positions (puts and calls)
Reported separately from the positions above. The value a 13F reports for an option is that of the underlying shares, not the option itself.
| Activity | Security | Type | Shares before | Shares now | Reported value |
|---|---|---|---|---|---|
| Reduced | SPDR S&P 500 ETF TR (SPY) | Put | 956K | 830K | $278M |
| New | APPLE INC (AAPL) | Call | 0 | 11,200 | $1.3M |
| Exited | NETFLIX INC (NFLX) | Call | 2,500 | 0 | $0 |
| Exited | INVESCO QQQ TR (QQQ) | Put | 2,900 | 0 | $0 |
| Exited | APPLE INC (AAPL) | Put | 1,500 | 0 | $0 |
| Exited | JOHNSON & JOHNSON (JNJ) | Call | 3,000 | 0 | $0 |
| Exited | SPDR GOLD TR (GLD) | Call | 2,200 | 0 | $0 |
| Exited | MICROSOFT CORP (MSFT) | Call | 1,200 | 0 | $0 |
| New | ABBOTT LABS (ABT) | Call | 0 | 2,000 | $218K |
| New | CLOROX CO DEL (CLX) | Put | 0 | 1,000 | $210K |
| Increased | GENERAL ELECTRIC CO (GE) | Call | 15,000 | 25,100 | $156K |