Sigma Planning Corp
- SEC CIK
- 0001449126
- Latest filing
- Aug 7, 2026
Holdings in Q1 2021
Holdings as of Mar 31, 2021, filed May 6, 2021. Long positions only.
- Positions
- 1,301
- No 13F data for Q4 2020
- Portfolio value
- $3.11B
- No 13F data for Q4 2020
Livermore's 13F data starts with Q1 2021, so this quarter has no previous quarter to compare with and changes are not shown.
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| Blackstone Mtg Tr Inc09257WAB6 | NOTE 4.375% 5/0 | 15,000 | $15.0K | <0.1% | – | – | – |
| Companhia Paranaense Energ C20441B407 | SPON ADR PFD | 14,710 | $19.0K | <0.1% | – | – | – |
| RMTIRockwell Medical, Inc. | COM | 16,612 | $19.0K | <0.1% | – | – | History |
| LYGLloyds Banking Group plc | SPONSORED ADR | 10,364 | $24.0K | <0.1% | – | – | History |
| REEDReed's, Inc. | COM | 27,489 | $32.0K | <0.1% | – | – | History |
| Second Sight Med Prods Inc81362J126 | *W EXP 03/14/202 | 20,154 | $32.0K | <0.1% | – | – | – |
| LFWDLifeward Ltd. | SHS | 13,050 | $32.0K | <0.1% | – | – | History |
| Boqi Intl Med Inc099501108 | COM | 21,000 | $37.0K | <0.1% | – | – | – |
| SERSerina Therapeutics, Inc. | COM | 23,500 | $38.0K | <0.1% | – | – | History |
| SJTSan Juan Basin Royalty Trust | UNIT BEN INT | 10,390 | $41.0K | <0.1% | – | – | History |
| MIECohen & Steers MLP Income & Energy Opportunity Fund | COM SHS | 15,100 | $48.0K | <0.1% | – | – | History |
| Prospect Cap Corp74348TAR3 | NOTE 4.950% 7/1 | 48,000 | $49.0K | <0.1% | – | – | – |
| RIGTransocean Ltd. | REGISTERED SHS | 14,084 | $50.0K | <0.1% | – | – | History |
| Davidstea Inc238661102 | COM | 13,500 | $51.0K | <0.1% | – | – | – |
| GLGGLGHK Ltd | COM | 27,000 | $53.0K | <0.1% | – | – | History |
| EZPWEzcorp Inc | CL A NON VTG | 10,768 | $54.0K | <0.1% | – | – | History |
| TTITetra Technologies Inc | COM | 24,331 | $58.0K | <0.1% | – | – | History |
| XXII22nd Century Group, Inc. | COM | 17,550 | $58.0K | <0.1% | – | – | History |
| Voya Prime Rate Tr92913A100 | SH BEN INT | 12,884 | $60.0K | <0.1% | – | – | – |
| IAFAbrdn Australia Equity Fund, Inc. | COM | 10,436 | $61.0K | <0.1% | – | – | History |
| LVOLiveOne, Inc. | COM NEW | 14,000 | $61.0K | <0.1% | – | – | History |
| NSLNuveen Senior Income Fund | COM | 10,815 | $61.0K | <0.1% | – | – | History |
| CRBPCorbus Pharmaceuticals Holdings, Inc. | COM | 32,000 | $63.0K | <0.1% | – | – | History |
| VVRInvesco Senior Income Trust | COM | 15,404 | $65.0K | <0.1% | – | – | History |
| OPKOpko Health, Inc. | COM | 15,402 | $66.0K | <0.1% | – | – | History |
| ONCSOncosec Medical Inc | COM | 14,502 | $69.0K | <0.1% | – | – | History |
| Adamas Trust, Inc.649604501 | COM PAR $.02 | 16,006 | $72.0K | <0.1% | – | – | – |
| LQDALiquidia Corp | COM NEW | 28,390 | $76.0K | <0.1% | – | – | History |
| Remark Hldgs Inc75955K102 | COM | 33,500 | $76.0K | <0.1% | – | – | – |
| CEMIChembio Diagnostics, Inc. | COM NEW | 21,800 | $77.0K | <0.1% | – | – | History |
| NOKNokia Corp | SPONSORED ADR | 19,768 | $78.0K | <0.1% | – | – | History |
| Yamana Gold Inc98462Y100 | COM | 18,270 | $79.0K | <0.1% | – | – | – |
| AYTUAytu Biopharma, Inc | COM NEW | 10,722 | $81.0K | <0.1% | – | – | History |
| GABGabelli Equity Trust Inc | COM | 12,197 | $83.0K | <0.1% | – | – | History |
| Affimed N VN01045108 | COM | 10,823 | $86.0K | <0.1% | – | – | – |
| MMTAberdeen Multi-Market Income Fund | SH BEN INT | 13,610 | $88.0K | <0.1% | – | – | History |
| ABUSArbutus Biopharma Corp | COM | 26,290 | $88.0K | <0.1% | – | – | History |
| BBBLACKBERRY Ltd | COM | 10,480 | $88.0K | <0.1% | – | – | History |
| ARLPAlliance Resource Partners LP | Stock | 15,600 | $90.0K | <0.1% | – | – | History |
| KALAKALA BIO, Inc. | COM | 13,700 | $92.0K | <0.1% | – | – | History |
| EXGEaton Vance Tax-Managed Global Diversified Equity Income Fund | COM | 10,021 | $93.0K | <0.1% | – | – | History |
| ACTGAcacia Research Corp | ACACIA TCH COM | 14,700 | $98.0K | <0.1% | – | – | History |
| RWTRedwood Trust Inc | COM | 10,000 | $104.0K | <0.1% | – | – | History |
| NNDMNano Dimension Ltd. | SPONSORD ADS NEW | 12,182 | $105.0K | <0.1% | – | – | History |
| STEXStreamex Corp. | COM NEW | 24,422 | $105.0K | <0.1% | – | – | History |
| SOSSOS Ltd | SPNSORD ADS NEW | 21,100 | $105.0K | <0.1% | – | – | History |
| IGRCbre Global Real Estate Income Fund | COM | 13,963 | $109.0K | <0.1% | – | – | History |
| SQFTPresidio Property Trust, Inc. | COM CL A | 30,231 | $111.0K | <0.1% | – | – | History |
| VIXYProShares Trust II | VIX SH TRM FUTRS | 11,990 | $112.0K | <0.1% | – | – | History |
| KEPKorea Electric Power Corp | SPONSORED ADR | 11,000 | $113.0K | <0.1% | – | – | History |
| PAAPlains All American Pipeline LP | UNIT LTD PARTN | 12,574 | $114.0K | <0.1% | – | – | History |
| TUSKMammoth Energy Services, Inc. | COM | 21,500 | $114.0K | <0.1% | – | – | History |
| IVRInvesco Mortgage Capital Inc. | COM | 28,648 | $115.0K | <0.1% | – | – | History |
| OXSQOxford Square Capital Corp. | COM | 24,976 | $116.0K | <0.1% | – | – | History |
| SIRISirius XM Holdings Inc. | COM | 20,213 | $123.0K | <0.1% | – | – | History |
| SRNESorrento Therapeutics, Inc. | COM NEW | 15,380 | $127.0K | <0.1% | – | – | History |
| Two Harbors Investment Corp.90187B408 | COM NEW | 17,577 | $129.0K | <0.1% | – | – | – |
| EVGNEvogene Ltd. | SHS | 25,510 | $129.0K | <0.1% | – | – | History |
| JRONuveen Floating Rate Income Opportunity Fund | COM SHS | 13,782 | $131.0K | <0.1% | – | – | History |
| EIGREiger BioPharmaceuticals, Inc. | COM | 15,200 | $135.0K | <0.1% | – | – | History |
| GATOGatos Silver, Inc. | COM | 13,844 | $138.0K | <0.1% | – | – | History |
| Swedish Expt CR Corp870297801 | ROG TTL ETN 22 | 25,761 | $141.0K | <0.1% | – | – | – |
| GGNGAMCO Global Gold, Natural Resources & Income Trust | COM SH BEN INT | 40,874 | $142.0K | <0.1% | – | – | History |
| EGOEldorado Gold Corp | COM | 13,535 | $146.0K | <0.1% | – | – | History |
| RITMRithm Capital Corp. | REIT | 13,048 | $147.0K | <0.1% | – | – | History |
| Great Panther MNG Ltd39115V101 | COM | 191,279 | $147.0K | <0.1% | – | – | – |
| MUXMcEwen Inc. | COM | 141,193 | $147.0K | <0.1% | – | – | History |
| VHCVirnetX Holding Corp | COM | 26,359 | $147.0K | <0.1% | – | – | History |
| GFIGold Fields Ltd | SPONSORED ADR | 15,583 | $148.0K | <0.1% | – | – | History |
| BVNBuenaventura Mining Co Inc | SPONSORED ADR | 14,820 | $149.0K | <0.1% | – | – | History |
| HMYHarmony Gold Mining Co Ltd | ADR | 34,653 | $151.0K | <0.1% | – | – | History |
| MFAMfa Financial, Inc. | COM | 37,623 | $153.0K | <0.1% | – | – | History |
| VWTRVidler Water Resources, Inc. | COM | 17,500 | $156.0K | <0.1% | – | – | History |
| iShares Tr464288844 | US OIL EQ&SV ETF | 11,759 | $158.0K | <0.1% | – | – | – |
| Mag Silver Corp55903Q104 | COM | 10,682 | $160.0K | <0.1% | – | – | – |
| ABRArbor Realty Trust Inc | COM | 10,175 | $162.0K | <0.1% | – | – | History |
| EXKEndeavour Silver Corp | COM | 32,866 | $163.0K | <0.1% | – | – | History |
| AQMSAqua Metals, Inc. | COM | 40,500 | $164.0K | <0.1% | – | – | History |
| RFICohen & Steers Total Return Realty Fund Inc | COM | 11,292 | $165.0K | <0.1% | – | – | History |
| BGFVBig 5 Sporting Goods Corp | COM | 10,809 | $170.0K | <0.1% | – | – | History |
| ZOMDFZomedica Corp. | COM | 108,450 | $171.0K | <0.1% | – | – | History |
| CDECoeur Mining, Inc. | COM NEW | 19,037 | $172.0K | <0.1% | – | – | History |
| OGIOrganigram Global Inc. | COM | 49,638 | $172.0K | <0.1% | – | – | History |
| NADNuveen Quality Municipal Income Fund | COM | 11,408 | $173.0K | <0.1% | – | – | History |
| Eaton Vance 2021 Target TRM27829W101 | COM SHS BEN INT | 17,630 | $173.0K | <0.1% | – | – | – |
| BTGB2GOLD Corp | COM | 40,366 | $174.0K | <0.1% | – | – | History |
| SWBISmith & Wesson Brands, Inc. | COM | 10,019 | $175.0K | <0.1% | – | – | History |
| LITBLightInTheBox Holding Co., Ltd. | SPONSORED ADR | 64,100 | $176.0K | <0.1% | – | – | History |
| Tenneco Inc880349105 | CL A VTG COM STK | 16,421 | $176.0K | <0.1% | – | – | – |
| BCXBlackRock Resources & Commodities Strategy Trust | SHS | 19,997 | $177.0K | <0.1% | – | – | History |
| HPEHewlett Packard Enterprise Co | COM | 11,293 | $178.0K | <0.1% | – | – | History |
| VMOInvesco Municipal Opportunity Trust | COM | 13,829 | $182.0K | <0.1% | – | – | History |
| MITKMitek Systems Inc | COM NEW | 12,650 | $184.0K | <0.1% | – | – | History |
| HLHecla Mining Co | COM | 32,523 | $185.0K | <0.1% | – | – | History |
| Amplify ETF Tr032108847 | CEF HIGH INCOME | 11,125 | $186.0K | <0.1% | – | – | – |
| Prospect Cap Corp74348TAT9 | NOTE 6.375% 3/0 | 175,000 | $188.0K | <0.1% | – | – | – |
| TIGRUP Fintech Holding Ltd | SPONSORED ADS | 10,600 | $189.0K | <0.1% | – | – | History |
| SCPXScorpius Holdings, Inc. | COM | 26,057 | $190.0K | <0.1% | – | – | History |
| VTRSViatris Inc | Stock | 13,706 | $191.0K | <0.1% | – | – | History |
| FUVArcimoto Inc | COM | 14,415 | $191.0K | <0.1% | – | – | History |
Options (22)
Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.
| Security | Class | Puts | Calls |
|---|---|---|---|
| Invesco QQQ Trust Series I46090E103 | ETF | $3.45M | – |
| AMZNAmazon Com Inc | Stock | – | $2.79M |
| SPYSPDR S&P 500 ETF Trust | ETF | $912.0K | $674.0K |
| AVGOBroadcom Inc. | Stock | $1.16M | – |
| State Street SPDR Portfolio S&P 500 Value ETF78464A508 | ETF | – | $758.0K |
| AAPLApple Inc. | Stock | – | $757.0K |
| CRMSalesforce, Inc. | Stock | – | $657.0K |
| BABoeing Co | Stock | $204.0K | $433.0K |
| NKENIKE, Inc. | Stock | – | $558.0K |
| VEEVVeeva Systems Inc | Stock | – | $522.0K |
| GMGeneral Motors Co | COM | – | $425.0K |
| ETF Managers Tr26924G508 | ETFMG ALTR HRVST | – | $378.0K |
| GEGeneral Electric Co | COM | – | $376.0K |
| NIONIO Inc. | ADR | – | $351.0K |
| MSFTMicrosoft Corp | Stock | – | $330.0K |
| REGIRenewable Energy Group, Inc. | COM NEW | $330.0K | – |
| VMWVmware LLC | CL A COM | – | $301.0K |
| METAMeta Platforms, Inc. | Stock | – | $295.0K |
| Direxion Shares ETF Trust25460G609 | DAI ENE BUL ETF | – | $291.0K |
| DISWalt Disney Co | Stock | – | $221.0K |
| DRIDarden Restaurants Inc | COM | – | $213.0K |
| FIVEFive Below, Inc | COM | – | $210.0K |