Sheaff Brock Investment Advisors LLC's Q1 2021 13F: 42 new positions, 26 exits

Form 13F-HR for the quarter ended Mar 31, 2021 · filed May 11, 2021 · 489 reported positions · accession 0001606587-21-000667 · Amended

View the filing on SEC.gov

What changed this quarter

Activity Security Weight before Weight now Change Shares Shares %
Reduced REGIONS FINANCIAL CORP NEW (RF) 0.8% 0.1% −0.7 pts −399K sh −90%
Increased CORNING INC (GLW) 0.2% 0.9% +0.7 pts +153K sh +359%
Increased JOHNSON & JOHNSON (JNJ) 0.7% 1.4% +0.7 pts +40,032 sh +97%
Increased DOW INC (DOW) 0.1% 0.7% +0.6 pts +91,961 sh +856%
New HUBBELL INC (HUBB) — 0.6% +0.6 pts +30,928 sh new
Reduced DELTA AIR LINES INC DEL (DAL) 0.6% 0.0% −0.5 pts −117K sh −93%
Increased COMCAST CORP NEW (CMCSA) 0.2% 0.7% +0.5 pts +95,082 sh +277%
Reduced TYSON FOODS INC (TSN) 0.5% 0.1% −0.5 pts −66,542 sh −90%
Reduced BOEING CO (BA) 0.9% 0.5% −0.3 pts −17,358 sh −48%
Reduced AMGEN INC (AMGN) 0.8% 0.4% −0.4 pts −17,002 sh −51%
Reduced JPMORGAN CHASE & CO (JPM) 1.5% 1.3% −0.2 pts −26,574 sh −25%
Reduced FORD MTR CO DEL (F) 0.6% 0.5% −0.1 pts −188K sh −33%
Reduced DISCOVER FINL SVCS (DFS) 0.8% 0.6% −0.2 pts −23,601 sh −28%
Reduced INNOVATIVE INDL PPTYS INC (IIPR) 1.0% 0.7% −0.3 pts −11,118 sh −23%
Increased APPLIED MATLS INC (AMAT) 0.0% 0.2% +0.2 pts +13,829 sh +389%
Reduced SQUARE INC (XYZ) 0.3% 0.1% −0.2 pts −7,983 sh −71%
Reduced AMAZON COM INC (AMZN) 5.3% 4.7% −0.6 pts −504 sh −3%
Reduced MASTERCARD INCORPORATED (MA) 0.5% 0.3% −0.2 pts −4,346 sh −35%
New CROCS INC (CROX) — 0.1% +0.1 pts +17,276 sh new
Reduced D R HORTON INC (DHI) 0.2% 0.1% −0.1 pts −15,107 sh −71%
Increased NVIDIA CORPORATION (NVDA) 1.1% 1.3% +0.1 pts +2,480 sh +13%
New ATKORE INC (ATKR) — 0.1% +0.1 pts +18,376 sh new
Increased DEERE & CO (DE) 0.1% 0.3% +0.2 pts +3,425 sh +118%
New MARINEMAX INC (HZO) — 0.1% +0.1 pts +25,360 sh new
Increased LAM RESEARCH CORP (LRCX) 0.1% 0.2% +0.1 pts +2,094 sh +164%
Exited STORE CAP CORP (STOR) 0.1% — −0.1 pts −35,005 sh −100%
Reduced AMETEK INC (AME) 0.4% 0.3% −0.1 pts −9,456 sh −33%
New EATON CORP PLC (ETN) — 0.1% +0.1 pts +8,664 sh new
Reduced GOLDMAN SACHS GROUP INC (GS) 0.7% 0.7% 0.0 pts −3,586 sh −16%
Exited TRANSUNION (TRU) 0.1% — −0.1 pts −11,058 sh −100%
Reduced TESLA INC (TSLA) 0.9% 0.7% −0.2 pts −1,682 sh −15%
New HILLENBRAND INC (HI) — 0.1% +0.1 pts +23,490 sh new
Increased ALIBABA GROUP HLDG LTD (BABA) 0.3% 0.4% +0.1 pts +4,935 sh +44%
New PTC INC (PTC) — 0.1% +0.1 pts +7,921 sh new
New MERIDIAN BIOSCIENCE INC (VIVO) — 0.1% +0.1 pts +41,454 sh new
Exited BOOZ ALLEN HAMILTON HLDG COR (BAH) 0.1% — −0.1 pts −12,020 sh −100%
Reduced PARKER-HANNIFIN CORP (PH) 0.7% 0.7% 0.0 pts −3,354 sh −14%
Reduced S&P GLOBAL INC (SPGI) 0.1% 0.0% −0.1 pts −2,969 sh −73%
Exited GODADDY INC (GDDY) 0.1% — −0.1 pts −11,611 sh −100%
Reduced DISNEY WALT CO (DIS) 1.6% 1.5% −0.1 pts −5,308 sh −7%
Reduced DOLLAR GEN CORP NEW (DG) 0.1% 0.0% −0.1 pts −4,818 sh −76%
Exited ARK ETF TR (ARKG) 0.1% — −0.1 pts −10,085 sh −100%
New TECHTARGET INC (TTGT) — 0.1% +0.1 pts +12,776 sh new
New VICI PPTYS INC (VICI) — 0.1% +0.1 pts +31,159 sh new
Reduced VISA INC (V) 0.5% 0.4% −0.1 pts −4,093 sh −19%
Reduced ABBVIE INC (ABBV) 1.0% 0.9% −0.1 pts −7,799 sh −9%
Increased WALMART INC (WMT) 1.1% 1.1% 0.0 pts +5,775 sh +8%
New FASTENAL CO (FAST) — 0.1% +0.1 pts +15,000 sh new
Increased CISCO SYS INC (CSCO) 1.4% 1.7% +0.2 pts +14,171 sh +5%
New PALANTIR TECHNOLOGIES INC (PLTR) — 0.1% +0.1 pts +28,204 sh new

The 50 largest of 400 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 — 31.6% of the equity book

Changes in the top 10 this quarter: JNJ entered · QCOM left

# Security Weight before Weight now
1 APPLE INC (AAPL) 17.9% 16.0%
2 AMAZON COM INC (AMZN) 5.3% 4.7%
3 CISCO SYS INC (CSCO) 1.4% 1.7%
4 DISNEY WALT CO (DIS) 1.6% 1.5%
5 JOHNSON & JOHNSON (JNJ) 0.7% 1.4% Entered the top 10
6 MICROSOFT CORP (MSFT) 1.4% 1.4%
7 HOME DEPOT INC (HD) 1.2% 1.3%
8 JPMORGAN CHASE & CO (JPM) 1.5% 1.3%
9 NVIDIA CORPORATION (NVDA) 1.1% 1.3%
10 WALMART INC (WMT) 1.1% 1.1%
— QUALCOMM INC (QCOM) 1.3% 1.1% 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
Increased SPDR S&P 500 ETF TR (SPY) Put 763K 830K $329M
Exited VISA INC (V) Call 4,500 0 $0
Exited NETFLIX INC (NFLX) Call 1,000 0 $0
Exited TAKE-TWO INTERACTIVE SOFTWAR (TTWO) Call 2,500 0 $0
New INVESCO QQQ TR (QQQ) Call 0 1,000 $319K
New INVESCO QQQ TR (QQQ) Put 0 1,000 $319K
New ADVANCED MICRO DEVICES INC (AMD) Call 0 4,000 $315K
Reduced TAIWAN SEMICONDUCTOR MFG LTD (TSM) Call 5,500 2,500 $295K
New NVIDIA CORPORATION (NVDA) Put 0 500 $267K
New CITIGROUP INC (C) Call 0 3,000 $219K
Increased BRISTOL-MYERS SQUIBB CO (BMY) Call 4,000 4,500 $284K
Reduced NIO INC (NIO) Call 8,500 8,000 $312K