Sheaff Brock Investment Advisors, LLC Closed Holding Positions

Sheaff Brock Investment Advisors, LLC

$1.08 Billion
Q1 2025

Stock	Closed Quarter	Shares Sold	Price Range	Trade History
VOT Vanguard Mid Cap Growth Index ETFs	Q4 2019 Filed on Jan 29, 2020	3,063	$144.1 - $159.03 $441K - $487K
MTOR Meritor, Inc. Consumer Cyclical	Q4 2019 Filed on Jan 29, 2020	41,113	$16.72 - $26.19 $687K - $1.08M
Bb&T Corp	Q4 2019 Filed on Jan 29, 2020	24,836	N/A
Celgene Corp	Q4 2019 Filed on Jan 29, 2020	31,267	N/A
AWK American Water Works Company, Inc. Utilities	Q4 2019 Filed on Jan 29, 2020	2,150	$115.38 - $125.78 $248K - $270K
HCA Hca Healthcare, Inc. Healthcare	Q4 2019 Filed on Jan 29, 2020	3,335	$115.09 - $149.26 $384K - $498K
Proshares Tr Ii	Q4 2019 Filed on Jan 29, 2020	20,000	N/A
Tc Pipelines LP	Q4 2019 Filed on Jan 29, 2020	5,000	N/A
Sandridge Mississippian Tr I	Q4 2019 Filed on Jan 29, 2020	42,000	N/A
Revolution Lighting Technolo	Q4 2019 Filed on Jan 29, 2020	35,236	N/A
USMV Ishares Msci Usa Min Vol Facto ETFs	Q4 2019 Filed on Jan 29, 2020	3,464	$62.68 - $65.67 $217K - $227K
Hcp Inc	Q4 2019 Filed on Jan 29, 2020	23,367	N/A
EPR Epr Properties Real Estate	Q4 2019 Filed on Jan 29, 2020	2,776	$67.95 - $79.51 $189K - $221K
CX Cemex Sab De Cv Basic Materials	Q4 2019 Filed on Jan 29, 2020	25,414	$3.52 - $4.19 $89.5K - $106K
CVI Cvr Energy Inc Energy	Q3 2019 Filed on Oct 28, 2019	4,075	$38.59 - $55.17 $157K - $225K
Allianzgi Conv Income Fd	Q3 2019 Filed on Oct 28, 2019	12,948	N/A
NOBL Proshares S&P 500 Dividend Ari ETFs	Q3 2019 Filed on Oct 28, 2019	2,901	$71.15 - $72.24 $206K - $210K
Ak Stl Hldg Corp	Q3 2019 Filed on Oct 28, 2019	16,400	N/A
Total Sys Svcs Inc	Q3 2019 Filed on Oct 28, 2019	9,195	N/A
Altaba Inc	Q3 2019 Filed on Oct 28, 2019	3,317	N/A
BERY Berry Global Group, Inc. Consumer Cyclical	Q3 2019 Filed on Oct 28, 2019	16,371	$38.21 - $55.19 $626K - $904K
Capstead Mtg Corp	Q3 2019 Filed on Oct 28, 2019	11,302	N/A
Buckeye Partners L P	Q3 2019 Filed on Oct 28, 2019	5,617	N/A
Transatlantic Petroleum LTD	Q3 2019 Filed on Oct 28, 2019	11,250	N/A
Intrexon Corp	Q3 2019 Filed on Oct 28, 2019	37,052	N/A
Carrizo Oil & Gas Inc	Q3 2019 Filed on Oct 28, 2019	10,150	N/A
HCC Warrior Met Coal, Inc. Basic Materials	Q3 2019 Filed on Oct 28, 2019	32,106	$18.95 - $26.69 $608K - $857K
Hospitality Pptys Tr	Q3 2019 Filed on Oct 28, 2019	203,974	N/A
Citigroup Global Mkts Hldgs	Q3 2019 Filed on Oct 28, 2019	10,000	N/A
Hexo Corp	Q3 2019 Filed on Oct 28, 2019	11,000	N/A
CE Celanese Corp Basic Materials	Q3 2019 Filed on Oct 28, 2019	7,880	$103.19 - $125.49 $813K - $989K
RWO Spdr Dow Jones Global Real Est ETFs	Q3 2019 Filed on Oct 28, 2019	7,097	$51.26 - $51.88 $364K - $368K
TOTL Ssga Active ETF Tr Spdr Doblel ETFs	Q3 2019 Filed on Oct 28, 2019	5,000	$48.94 - $49.38 $245K - $247K
SJNK Spdr Bloomberg Short Term High ETFs	Q3 2019 Filed on Oct 28, 2019	8,000	$26.99 - $27.14 $216K - $217K
Torchmark Corp	Q3 2019 Filed on Oct 28, 2019	57,558	N/A
BOND Pimco Active Bond Exchange Tra ETFs	Q3 2019 Filed on Oct 28, 2019	5,650	$107.77 - $108.9 $609K - $615K
EL Estee Lauder Companies Inc Consumer Defensive	Q3 2019 Filed on Oct 28, 2019	2,880	$174.56 - $207.03 $503K - $596K
MATW Matthews International Corp Industrials	Q3 2019 Filed on Oct 28, 2019	9,500	$29.06 - $37.28 $276K - $354K
TXT Textron Inc Industrials	Q3 2019 Filed on Oct 28, 2019	10,950	$42.77 - $54.03 $468K - $592K
Dean Foods CO New	Q3 2019 Filed on Oct 28, 2019	20,000	N/A
LYFT Lyft, Inc. Technology	Q2 2019 Filed on Jul 31, 2019	3,149	$48.15 - $74.45 $152K - $234K
FLOT Ishares Tr Fltg Rate Nt ETF ETFs	Q2 2019 Filed on Jul 31, 2019	4,000	N/A
KAR Kar Auction Services, Inc. Consumer Cyclical	Q2 2019 Filed on Jul 31, 2019	117,536	$19.7 - $25.0 $2.32M - $2.94M
AEO American Eagle Outfitters Inc Consumer Cyclical	Q2 2019 Filed on Jul 31, 2019	42,734	$16.6 - $24.12 $709K - $1.03M
TRQ.TO Turquoise Hill Resources Ltd. Basic Materials	Q2 2019 Filed on Jul 31, 2019	26,278	N/A
APYX Apyx Medical Corp Healthcare	Q2 2019 Filed on Jul 31, 2019	10,500	$3.64 - $6.95 $38.2K - $73K
Harris Corp Del	Q2 2019 Filed on Jul 31, 2019	4,670	N/A
Obsidian Energy LTD	Q2 2019 Filed on Jul 31, 2019	17,400	N/A
Blackstone Group L P	Q2 2019 Filed on Jul 31, 2019	14,784	N/A
BIV Vanguard Bd Index Fd Inc Inter ETFs	Q2 2019 Filed on Jul 31, 2019	2,435	N/A

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