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Sigma Planning Corp

SEC CIK
0001449126
最新申報
2026/8/7

2021 年第 3 季持倉

持倉截至 2021/9/30,2021/10/28 申報。只含多頭部位,變化是跟 2021 年第 2 季比股數。

機構總覽
持股檔數
1,353
較 2021 年第 2 季 −35
總值
$32.9 億
較 2021 年第 2 季 −$4,435 萬 (−1.3%)
申報日
2021/10/28
SEC
Sigma Planning Corp 在 2021 年第 3 季的持倉
證券類別股數市值佔組合 %股數變化動作紀錄
ITRMIterum Therapeutics plcSHS11,500$6,000<0.1%−5,653−33.0%減碼歷史
RMTIRockwell Medical, Inc.COM16,612$1.00 萬<0.1%00.0%不變歷史
Remark Hldgs Inc75955K102COM12,250$1.30 萬<0.1%−4,000−24.6%減碼–
Second Sight Med Prods Inc81362J126*W EXP 03/14/20219,056$1.50 萬<0.1%00.0%不變–
SHIPSeanergy Maritime Holdings Corp.SHS NEW10,000$1.50 萬<0.1%+10,000新進歷史
LITBLightInTheBox Holding Co., Ltd.SPONSORED ADR12,200$1.70 萬<0.1%−6,000−33.0%減碼歷史
REEDReed's, Inc.COM28,179$1.70 萬<0.1%+390+1.4%加碼歷史
Xinyuan Real Estate Co Ltd98417P105SPONS ADR10,258$1.80 萬<0.1%−10,400−50.3%減碼–
XCURExicure, Inc.COM17,000$2.00 萬<0.1%+2,000+13.3%加碼歷史
GLGGLGHK LtdCOM29,000$2.00 萬<0.1%+1,000+3.6%加碼歷史
GSATGlobalstar, Inc.COM12,318$2.10 萬<0.1%+12,318新進歷史
AYTUAytu Biopharma, IncCOM NEW10,020$2.90 萬<0.1%−1,654−14.2%減碼歷史
ONCSOncosec Medical IncCOM13,502$2.90 萬<0.1%00.0%不變歷史
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$3.30 萬<0.1%00.0%不變歷史
PLGPlatinum Group Metals LtdCOM16,500$3.30 萬<0.1%−3,750−18.5%減碼歷史
LQDALiquidia CorpCOM NEW13,830$3.80 萬<0.1%−20,660−59.9%減碼歷史
TUSKMammoth Energy Services, Inc.COM14,500$4.20 萬<0.1%−7,500−34.1%減碼歷史
PPSIPioneer Power Solutions, Inc.COM NEW13,000$4.30 萬<0.1%−2,720−17.3%減碼歷史
ZOMDFZomedica Corp.COM84,450$4.40 萬<0.1%−14,000−14.2%減碼歷史
Mogo Inc60800C109COM10,500$4.50 萬<0.1%+500+5.0%加碼–
SOSSOS LtdSPNSORD ADS NEW21,450$4.60 萬<0.1%−43,640−67.0%減碼歷史
CLWTEuro Tech Holdings Co LtdSHS NEW14,605$4.60 萬<0.1%−9,995−40.6%減碼歷史
ABUSArbutus Biopharma CorpCOM11,000$4.70 萬<0.1%−15,000−57.7%減碼歷史
CEMIChembio Diagnostics, Inc.COM NEW19,300$4.80 萬<0.1%+1,500+8.4%加碼歷史
Prospect Cap Corp74348TAR3NOTE 4.950% 7/148,000$4.90 萬<0.1%00.0%不變–
ONCTOncternal Therapeutics, Inc.COM12,175$5.10 萬<0.1%−483−3.8%減碼歷史
EVGNEvogene Ltd.SHS20,110$5.30 萬<0.1%−5,000−19.9%減碼歷史
OPKOpko Health, Inc.COM15,402$5.60 萬<0.1%00.0%不變歷史
SJTSan Juan Basin Royalty TrustUNIT BEN INT11,017$5.60 萬<0.1%+217+2.0%加碼歷史
RIGTransocean Ltd.REGISTERED SHS14,949$5.70 萬<0.1%−210−1.4%減碼歷史
FAXAbrdn Asia-Pacific Income Fund, Inc.COM14,312$5.90 萬<0.1%+14,312新進歷史
LYGLloyds Banking Group plcSPONSORED ADR24,392$6.00 萬<0.1%−4,472−15.5%減碼歷史
SCPXScorpius Holdings, Inc.COM10,057$6.00 萬<0.1%−1,400−12.2%減碼歷史
NSLNuveen Senior Income FundCOM10,365$6.10 萬<0.1%−450−4.2%減碼歷史
SBSafe Bulkers, Inc.COM11,943$6.20 萬<0.1%+100+0.8%加碼歷史
NNDMNano Dimension Ltd.SPONSORD ADS NEW11,877$6.70 萬<0.1%+495+4.3%加碼歷史
IAFAbrdn Australia Equity Fund, Inc.COM11,821$7.00 萬<0.1%+32+0.3%加碼歷史
STEXStreamex Corp.COM NEW24,000$7.20 萬<0.1%−5,120−17.6%減碼歷史
ACTGAcacia Research CorpACACIA TCH COM10,700$7.30 萬<0.1%00.0%不變歷史
VVRInvesco Senior Income TrustCOM16,882$7.50 萬<0.1%−736−4.2%減碼歷史
TTITetra Technologies IncCOM24,481$7.60 萬<0.1%00.0%不變歷史
AGENAgenus IncCOM NEW15,800$8.30 萬<0.1%+15,800新進歷史
SERSerina Therapeutics, Inc.COM88,200$8.30 萬<0.1%+36,500+70.6%加碼歷史
Adamas Trust, Inc.649604501COM PAR $.0219,514$8.30 萬<0.1%−990−4.8%減碼–
MDNAFMedicenna Therapeutics Corp.COM30,500$8.40 萬<0.1%+30,500新進歷史
AQMSAqua Metals, Inc.COM41,045$8.50 萬<0.1%−205−0.5%減碼歷史
IVRInvesco Mortgage Capital Inc.COM28,673$9.00 萬<0.1%+130.0%加碼歷史
ELMSElectric Last Mile Solutions, Inc.CLASS A COM12,148$9.00 萬<0.1%+100+0.8%加碼歷史
MV Oil Tr553859109TR UNITS10,748$9.30 萬<0.1%+422+4.1%加碼–
OXSQOxford Square Capital Corp.COM24,045$9.70 萬<0.1%+1,047+4.6%加碼歷史
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS10,043$9.80 萬<0.1%+10,043新進歷史
NOKNokia CorpSPONSORED ADR17,965$9.80 萬<0.1%+1,969+12.3%加碼歷史
EZPWEzcorp IncCL A NON VTG13,158$10.0 萬<0.1%+2,400+22.3%加碼歷史
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM10,021$10.0 萬<0.1%00.0%不變歷史
TCRTAlaunos Therapeutics, Inc.COM55,310$10.1 萬<0.1%+55,310新進歷史
SQFTPresidio Property Trust, Inc.COM CL A27,352$10.3 萬<0.1%+2,422+9.7%加碼歷史
JFRNuveen Floating Rate Income FundCOM10,348$10.4 萬<0.1%+10,348新進歷史
Two Harbors Investment Corp.90187B408COM NEW17,157$10.9 萬<0.1%+16+0.1%加碼–
AEFabrdn Emerging Markets ex-China Fund, Inc.COM13,277$11.0 萬<0.1%+13,277新進歷史
OGIOrganigram Global Inc.COM47,878$11.0 萬<0.1%00.0%不變歷史
SRNESorrento Therapeutics, Inc.COM NEW14,440$11.0 萬<0.1%+1,110+8.3%加碼歷史
HLHecla Mining CoCOM20,710$11.4 萬<0.1%−75,555−78.5%減碼歷史
Vivopower International PLCG9376R100SHS20,100$11.4 萬<0.1%−4,900−19.6%減碼–
LOGCContextLogic Inc.COM CL A21,150$11.5 萬<0.1%−35,927−62.9%減碼歷史
IGRCbre Global Real Estate Income FundCOM14,052$11.7 萬<0.1%+47+0.3%加碼歷史
POWWOutdoor Holding CoCOM19,000$11.7 萬<0.1%−10−0.1%減碼歷史
MFAMfa Financial, Inc.COM26,621$12.2 萬<0.1%−5,055−16.0%減碼歷史
BBBLACKBERRY LtdCOM12,596$12.3 萬<0.1%+30+0.2%加碼歷史
SIRISirius XM Holdings Inc.COM20,500$12.5 萬<0.1%−2,188−9.6%減碼歷史
RWTRedwood Trust IncCOM10,000$12.9 萬<0.1%00.0%不變歷史
TIGRUP Fintech Holding LtdSPONSORED ADS12,400$13.1 萬<0.1%+550+4.6%加碼歷史
VTRSViatris IncStock10,015$13.6 萬<0.1%−639−6.0%減碼歷史
VETVermilion Energy Inc.COM14,900$14.8 萬<0.1%+2,600+21.1%加碼歷史
Hyperscale Data, Inc.05150X104COM61,900$15.0 萬<0.1%−200−0.3%減碼–
NIDNuveen Intermediate Duration Municipal Term FundCOM10,200$15.0 萬<0.1%00.0%不變歷史
Tenneco Inc880349105CL A VTG COM STK10,700$15.3 萬<0.1%+429+4.2%加碼–
GABGabelli Equity Trust IncCOM23,236$15.5 萬<0.1%−1,214−5.0%減碼歷史
SABRSabre CorpCOM13,079$15.5 萬<0.1%−300−2.2%減碼歷史
Golden Ocean Group LtdG39637205SHS NEW14,953$16.1 萬<0.1%+1,897+14.5%加碼–
RLJRLJ Lodging TrustCOM10,907$16.2 萬<0.1%−1,435−11.6%減碼歷史
WYYWidepoint CorpCOMMON30,800$16.2 萬<0.1%+30,800新進歷史
First Tr Exchange-Traded FD33734X127ENERGY ALPHADX14,199$16.3 萬<0.1%−13,347−48.5%減碼–
ETBEaton Vance Tax-Managed Buy-Write Income FundCOM10,272$16.4 萬<0.1%−428−4.0%減碼歷史
CIMChimera Investment CorpCOM NEW11,206$16.6 萬<0.1%+11,206新進歷史
PNTPOINT Biopharma Global Inc.COM21,865$16.8 萬<0.1%+21,865新進歷史
iShares Tr464288844US OIL EQ&SV ETF12,486$17.1 萬<0.1%−842−6.3%減碼–
NADNuveen Quality Municipal Income FundCOM11,103$17.3 萬<0.1%−842−7.0%減碼歷史
BRYBerry Corp (bry)COM24,080$17.4 萬<0.1%+24,080新進歷史
SWNSouthwestern Energy CoCOM31,625$17.5 萬<0.1%+31,625新進歷史
EFREaton Vance Senior Floating-Rate TrustCOM12,074$17.6 萬<0.1%−15,350−56.0%減碼歷史
GEVOGevo, Inc.COM PAR26,900$17.9 萬<0.1%+700+2.7%加碼歷史
ANGIAngi Inc.COM CL A NEW14,750$18.2 萬<0.1%+3,825+35.0%加碼歷史
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0175,000$18.9 萬<0.1%00.0%不變–
KYNBKyntra Bio, Inc.COM18,625$19.0 萬<0.1%+18,625新進歷史
AVKAdvent Convertible & Income FundCOM10,597$19.1 萬<0.1%−1,170−9.9%減碼歷史
BCXBlackRock Resources & Commodities Strategy TrustSHS22,148$19.8 萬<0.1%−370−1.6%減碼歷史
ETF Ser Solutions26922A388APTUS DEFINED7,000$20.0 萬<0.1%−1,531−17.9%減碼–
ETEnergy Transfer LPCOM UT LTD PTN20,833$20.0 萬<0.1%−3,534−14.5%減碼歷史
RITMRithm Capital Corp.REIT18,305$20.1 萬<0.1%+1,271+7.5%加碼歷史
Innovator ETFs Trust45782C680US EQTY PWR BF6,880$20.1 萬<0.1%+6,880新進–

選擇權(18 檔)

同一份申報裡的賣權(put)與買權(call)。金額是標的股票的市值,也就是 13F 申報的數字。

Sigma Planning Corp 在 2021 年第 3 季的選擇權部位
證券類別賣權買權
AMZNAmazon Com IncStock–$2,004 萬
Invesco QQQ Trust Series I46090E103ETF$511.9 萬–
VanEck ETF Trust92189H607OIL SERVICES ETF–$472.8 萬
SPYSPDR S&P 500 ETF TrustETF$154.5 萬$90.1 萬
XUnited States Steel CorpCOM–$87.9 萬
ROKURoku, IncCOM CL A–$78.3 萬
NFLXNetflix IncStock–$61.0 萬
GOOGAlphabet Inc.Stock–$53.3 萬
AAPLApple Inc.Stock–$35.4 萬
BABoeing CoStock–$30.8 萬
MSFTMicrosoft CorpStock–$28.2 萬
FDXFedEx CorpStock–$26.3 萬
MRNAModerna, Inc.Stock$23.1 萬–
SRNESorrento Therapeutics, Inc.COM NEW–$20.9 萬
VHCVirnetX Holding CorpCOM–$10.3 萬
AGENAgenus IncCOM NEW–$6.10 萬
NOKNokia CorpSPONSORED ADR–$5.40 萬
SOSSOS LtdSPNSORD ADS NEW–$5.00 萬

2021 年第 2 季之後清倉(157 檔)

2021 年第 2 季季末還持有、這份申報已經沒有的部位。

依上一季市值列出前 100 檔,共 157 檔。

Sigma Planning Corp 在 2021 年第 2 季之後清倉的部位
證券類別2021 年第 2 季股數2021 年第 2 季市值2021 年第 2 季佔組合 %紀錄
Invesco Exchange Traded FD T46137V258S&P500 PUR VAL95,116$734.0 萬0.2%–
TPRTapestry, Inc.COM143,583$624.3 萬0.2%歷史
Innovator U.S. Equity Buffer ETF - October45782C771ETF82,676$266.8 萬0.1%–
iShares Tr464287838U.S. BAS MTL ETF17,403$226.9 萬0.1%–
DXCDXC Technology CoStock48,152$187.5 萬0.1%歷史
ARLOArlo Technologies, Inc.COM246,200$166.7 萬0.1%歷史
WORKSlack Technologies, Inc.COM CL A29,956$132.7 萬<0.1%歷史
WisdomTree Tr97717X578EM EX ST-OWNED30,235$127.2 萬<0.1%–
WKHSWorkhorse Group Inc.COM NEW66,193$109.8 萬<0.1%歷史
APPSDigital Turbine, Inc.COM NEW14,266$108.5 萬<0.1%歷史
Kirkland Lake Gold Ltd49741E100COM25,703$99.0 萬<0.1%–
EXKEndeavour Silver CorpCOM155,115$94.9 萬<0.1%歷史
UPWKUpwork, IncCOM15,675$91.4 萬<0.1%歷史
WPMWheaton Precious Metals Corp.COM19,801$87.3 萬<0.1%歷史
MUXMcEwen Inc.COM597,288$82.4 萬<0.1%歷史
BIIBBiogen Inc.COM2,365$81.9 萬<0.1%歷史
DBXDropbox, Inc.CL A25,092$76.1 萬<0.1%歷史
ABBNYABB LtdSPONSORED ADR22,296$75.8 萬<0.1%歷史
IQVIQVIA Holdings Inc.Stock2,981$72.2 萬<0.1%歷史
Sandstorm Gold Ltd Com New80013R206Stock90,263$71.2 萬<0.1%–
Legg Mason ETF Invt Tr52468L810WESTN ASET TTL25,540$69.7 萬<0.1%–
Invesco Exch Traded FD Tr II46138E800CHINA TECHNLGY7,968$67.1 萬<0.1%–
BSETBassett Furniture Industries IncCOM25,280$61.6 萬<0.1%歷史
KGCKinross Gold CorpCOM93,865$59.6 萬<0.1%歷史
Alpha Architect ETF Tr02072L862MERLYN AI SECTOR20,770$57.9 萬<0.1%–
STMPStamps.com IncCOM NEW2,828$56.6 萬<0.1%歷史
MANUManchester United plcORD CL A37,049$56.3 萬<0.1%歷史
SPDR Series Trust78464A714ST STR SP RETAIL5,612$54.6 萬<0.1%–
TCOMTrip.com Group LtdADS15,302$54.3 萬<0.1%歷史
BMBLBumble Inc.COM CL A9,309$53.6 萬<0.1%歷史
MMYTMakeMyTrip LtdStock17,818$53.5 萬<0.1%歷史
Hoegh LNG Partners LPY3262R100COM UNIT LTD30,265$53.2 萬<0.1%–
BDRYAmplify Commodity TrustBREAKWAVE DRY18,086$53.1 萬<0.1%歷史
GATOGatos Silver, Inc.COM29,619$51.8 萬<0.1%歷史
New Gold Inc Cda644535106COM285,749$51.7 萬<0.1%–
FSLRFirst Solar, Inc.Stock5,584$50.5 萬<0.1%歷史
Alps Clean Energy ETF00162Q460ETF6,544$49.6 萬<0.1%–
IBNIcici Bank LtdADR28,608$48.9 萬<0.1%歷史
SNBRQSleep Number CorpCOM4,437$48.8 萬<0.1%歷史
Invesco Exch Traded FD Tr II46138G672S&P MDCP 400 REV5,370$47.5 萬<0.1%–
SPDR Series Trust78468R739ST NUVE TERM ETF9,484$47.0 萬<0.1%–
TLKPerusahaan Perseroan Persero PT Telekomunikasi Indonesia TBKSPONSORED ADR21,507$46.6 萬<0.1%歷史
IRBTiRobot CorpCOM4,884$45.6 萬<0.1%歷史
Global X FDS37954Y434GENOMIC BIOTECH18,296$45.5 萬<0.1%–
STLDSteel Dynamics IncCOM7,263$43.3 萬<0.1%歷史
GENGen Digital Inc.Stock15,743$42.9 萬<0.1%歷史
AEVAAeva Technologies, Inc.COM38,770$41.0 萬<0.1%歷史
Liberty Media Corp531229409COM A SIRIUSXM8,736$40.7 萬<0.1%–
SEDGSolaredge Technologies, Inc.COM1,463$40.4 萬<0.1%歷史
Churchill Capital Corp IV171439102CL A13,844$39.9 萬<0.1%–
FUTUFutu Holdings LtdSPON ADS CL A2,162$38.7 萬<0.1%歷史
JWNNordstrom IncStock10,078$36.9 萬<0.1%歷史
iShares Inc464286400MSCI BRAZIL ETF8,770$35.6 萬<0.1%–
TRTNTriton International LtdCL A6,764$35.4 萬<0.1%歷史
TWOU2U, LLCCOM8,304$34.6 萬<0.1%歷史
TPICQTpi Composites, IncCOM7,017$34.0 萬<0.1%歷史
EOGEOG Resources IncStock4,032$33.6 萬<0.1%歷史
PGRProgressive CorpStock3,344$32.8 萬<0.1%歷史
OGNOrganon & Co.Stock10,167$30.8 萬<0.1%歷史
VUZIVuzix CorpCOM NEW16,795$30.8 萬<0.1%歷史
JEFJefferies Financial Group Inc.COM8,961$30.6 萬<0.1%歷史
HOGHarley-Davidson, Inc.COM6,529$29.9 萬<0.1%歷史
REIRing Energy, Inc.COM100,000$29.8 萬<0.1%歷史
ESGREnstar Group LTDSHS1,245$29.7 萬<0.1%歷史
YAlleghany CorpCOM442$29.5 萬<0.1%歷史
Innovator ETFs Trust45782C524INTRNL DEV JAN10,812$28.9 萬<0.1%–
Dte Energy Co233331842UNIT 11/01/2022S5,733$28.3 萬<0.1%–
BRSLBrightstar Lottery PLCSHS USD11,557$27.7 萬<0.1%歷史
BEBloom Energy CorpCOM CL A10,246$27.5 萬<0.1%歷史
NWLNewell Brands Inc.Stock9,985$27.4 萬<0.1%歷史
First Tr Exchng Traded FD VI33740F748FT VEST US EQT7,521$27.2 萬<0.1%–
FWONALiberty Media CorpCOM SER A FRMLA6,371$27.2 萬<0.1%歷史
VanEck Vectors ETF Tr92189F205STEEL ETF4,356$27.0 萬<0.1%–
CFCF Industries Holdings, Inc.COM5,211$26.8 萬<0.1%歷史
LVSLas Vegas Sands CorpCOM5,065$26.7 萬<0.1%歷史
FLNAFilana Therapeutics, Inc.COM3,123$26.7 萬<0.1%歷史
AVOMission Produce, Inc.COM12,790$26.5 萬<0.1%歷史
MXIMMaxim Integrated Products IncCOM2,513$26.5 萬<0.1%歷史
CRUSCirrus Logic, Inc.Stock3,090$26.3 萬<0.1%歷史
JAZZJazz Pharmaceuticals plcSHS USD1,478$26.3 萬<0.1%歷史
TRUPTrupanion, Inc.COM2,288$26.3 萬<0.1%歷史
COHRCoherent Corp.COM3,602$26.1 萬<0.1%歷史
Abraxas Pete Corp003830304COM NEW80,490$26.0 萬<0.1%–
iShares Inc46434G848MSCI GBL ETF NEW5,726$25.9 萬<0.1%–
PGNYProgyny, Inc.COM4,371$25.8 萬<0.1%歷史
Farfetch Ltd30744W107ORD SH CL A5,095$25.7 萬<0.1%–
BBIGVinco Ventures, Inc.COM64,370$25.4 萬<0.1%歷史
CNCCentene CorpStock3,461$25.2 萬<0.1%歷史
iShares Tr464287184CHINA LG-CAP ETF5,449$25.2 萬<0.1%–
Invesco Exchange Traded FD T46137V373S&P500 EQL STP1,560$25.1 萬<0.1%–
Flexshares Tr33939L407MORNSTAR UPSTR6,338$24.3 萬<0.1%–
iShares Tr464288430ASIA 50 ETF2,642$24.2 萬<0.1%–
CBRLCracker Barrel Old Country Store, IncCOM1,598$23.7 萬<0.1%歷史
PALLabrdn Palladium ETF TrustPHYSICAL PALLADM905$23.5 萬<0.1%歷史
Cornerstone Building Brands, Inc.21925D109COM12,870$23.4 萬<0.1%–
Cambria ETF Tr132061201SHSHLD YIELD ETF3,614$23.1 萬<0.1%–
COUPCoupa Software IncCOM870$22.8 萬<0.1%歷史
TTCToro CoCOM2,067$22.7 萬<0.1%歷史
Innovator ETFs Trust45782C516EMRGNG MKT JAN7,234$22.5 萬<0.1%–
QFINQfin Holdings, Inc.AMERICAN DEP5,350$22.4 萬<0.1%歷史