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Sigma Planning Corp

SEC CIK
0001449126
最新申報
2026/8/7

2021 年第 4 季持倉

持倉截至 2021/12/31,2022/2/2 申報。只含多頭部位,變化是跟 2021 年第 3 季比股數。

機構總覽
持股檔數
1,361
較 2021 年第 3 季 +8
總值
$35.7 億
較 2021 年第 3 季 +$2.79 億 (+8.5%)
申報日
2022/2/2
SEC
Sigma Planning Corp 在 2021 年第 4 季的持倉
證券類別股數市值佔組合 %股數變化動作紀錄
RMTIRockwell Medical, Inc.COM10,812$4,000<0.1%−5,800−34.9%減碼歷史
Second Sight Med Prods Inc81362J126*W EXP 03/14/20219,056$5,000<0.1%00.0%不變–
ITRMIterum Therapeutics plcSHS11,500$5,000<0.1%00.0%不變歷史
AMPEAmpio Pharmaceuticals, Inc.COM16,145$9,000<0.1%+16,145新進歷史
REEDReed's, Inc.COM27,751$1.00 萬<0.1%−428−1.5%減碼歷史
GSATGlobalstar, Inc.COM11,300$1.30 萬<0.1%−1,018−8.3%減碼歷史
CFORCapForce Inc.COM12,500$1.30 萬<0.1%+12,500新進歷史
AYTUAytu Biopharma, IncCOM NEW10,116$1.40 萬<0.1%+96+1.0%加碼歷史
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$2.00 萬<0.1%00.0%不變歷史
New Gold Inc Cda644535106COM13,730$2.10 萬<0.1%+13,730新進–
EVGNEvogene Ltd.SHS16,710$2.70 萬<0.1%−3,400−16.9%減碼歷史
HIVEHIVE Digital Technologies Ltd.COM11,107$2.90 萬<0.1%+11,107新進歷史
PLGPlatinum Group Metals LtdCOM18,500$2.90 萬<0.1%+2,000+12.1%加碼歷史
ZOMDFZomedica Corp.COM94,450$2.90 萬<0.1%+10,000+11.8%加碼歷史
LOGCContextLogic Inc.COM CL A10,500$3.30 萬<0.1%−10,650−50.4%減碼歷史
XCURExicure, Inc.COM169,700$3.40 萬<0.1%+152,700+898.2%加碼歷史
CLVSClovis Oncology, Inc.COM13,249$3.60 萬<0.1%+13,249新進歷史
CLWTEuro Tech Holdings Co LtdSHS NEW11,689$3.70 萬<0.1%−2,916−20.0%減碼歷史
NNDMNano Dimension Ltd.SPONSORD ADS NEW10,007$3.80 萬<0.1%−1,870−15.7%減碼歷史
STEXStreamex Corp.COM NEW17,500$3.90 萬<0.1%−6,500−27.1%減碼歷史
RIGTransocean Ltd.REGISTERED SHS14,598$4.00 萬<0.1%−351−2.3%減碼歷史
ABUSArbutus Biopharma CorpCOM11,000$4.30 萬<0.1%00.0%不變歷史
CLOVClover Health Investments, Corp.COM CL A11,950$4.40 萬<0.1%+11,950新進歷史
AGENAgenus IncCOM NEW13,800$4.40 萬<0.1%−2,000−12.7%減碼歷史
ONCTOncternal Therapeutics, Inc.COM19,525$4.40 萬<0.1%+7,350+60.4%加碼歷史
Prospect Cap Corp74348TAR3NOTE 4.950% 7/148,000$4.80 萬<0.1%00.0%不變–
AQMSAqua Metals, Inc.COM41,045$5.00 萬<0.1%00.0%不變歷史
CYPHCypherpunk Technologies Inc.COM15,500$5.00 萬<0.1%+15,500新進歷史
IMMRImmersion CorpCOM10,150$5.80 萬<0.1%+10,150新進歷史
FAXAbrdn Asia-Pacific Income Fund, Inc.COM15,572$5.90 萬<0.1%+1,260+8.8%加碼歷史
NSLNuveen Senior Income FundCOM10,365$6.10 萬<0.1%00.0%不變歷史
LYGLloyds Banking Group plcSPONSORED ADR24,392$6.20 萬<0.1%00.0%不變歷史
ORCOrchid Island Capital, Inc.COM14,000$6.30 萬<0.1%+14,000新進歷史
Bitfarms Ltd Com09173B107Stock13,381$6.80 萬<0.1%+13,381新進–
MNTSMomentus Inc.COM CL A16,250$6.80 萬<0.1%+16,250新進歷史
TTITetra Technologies IncCOM24,481$7.00 萬<0.1%00.0%不變歷史
OGIOrganigram Global Inc.COM40,278$7.00 萬<0.1%−7,600−15.9%減碼歷史
SJTSan Juan Basin Royalty TrustUNIT BEN INT11,480$7.00 萬<0.1%+463+4.2%加碼歷史
OPKOpko Health, Inc.COM15,402$7.40 萬<0.1%00.0%不變歷史
VVRInvesco Senior Income TrustCOM17,206$7.50 萬<0.1%+324+1.9%加碼歷史
SQFTPresidio Property Trust, Inc.COM CL A19,755$7.70 萬<0.1%−7,597−27.8%減碼歷史
KGCKinross Gold CorpCOM13,353$7.80 萬<0.1%+13,353新進歷史
IVRInvesco Mortgage Capital Inc.COM28,688$8.00 萬<0.1%+15+0.1%加碼歷史
MBRXMoleculin Biotech, Inc.COM43,000$8.00 萬<0.1%+43,000新進歷史
TCRTAlaunos Therapeutics, Inc.COM73,000$8.00 萬<0.1%+17,690+32.0%加碼歷史
JQCNuveen Credit Strategies Income FundCOM SHS12,710$8.20 萬<0.1%+12,710新進歷史
PNTPOINT Biopharma Global Inc.COM14,815$8.30 萬<0.1%−7,050−32.2%減碼歷史
ELMSElectric Last Mile Solutions, Inc.CLASS A COM12,148$8.50 萬<0.1%00.0%不變歷史
HUTHut 8 Corp.Common Stock11,806$9.30 萬<0.1%+11,806新進歷史
OXSQOxford Square Capital Corp.COM23,029$9.40 萬<0.1%−1,016−4.2%減碼歷史
SERSerina Therapeutics, Inc.COM88,200$9.60 萬<0.1%00.0%不變歷史
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY13,777$9.60 萬<0.1%+13,777新進–
EZPWEzcorp IncCL A NON VTG13,102$9.70 萬<0.1%−56−0.4%減碼歷史
POWWOutdoor Holding CoCOM18,200$9.90 萬<0.1%−800−4.2%減碼歷史
MV Oil Tr553859109TR UNITS11,223$9.90 萬<0.1%+475+4.4%加碼–
NOKNokia CorpSPONSORED ADR16,403$10.2 萬<0.1%−1,562−8.7%減碼歷史
JFRNuveen Floating Rate Income FundCOM10,300$10.5 萬<0.1%−48−0.5%減碼歷史
Two Harbors Investment Corp.90187B408COM NEW18,335$10.6 萬<0.1%+1,178+6.9%加碼–
IAFAbrdn Australia Equity Fund, Inc.COM17,921$10.8 萬<0.1%+6,100+51.6%加碼歷史
ESTEEarthstone Energy IncCL A10,440$11.4 萬<0.1%+10,440新進歷史
IGRCbre Global Real Estate Income FundCOM11,795$11.5 萬<0.1%−2,257−16.1%減碼歷史
CDECoeur Mining, Inc.COM NEW22,992$11.6 萬<0.1%−80,621−77.8%減碼歷史
TLRYTilray Brands, Inc.COM CL 216,552$11.6 萬<0.1%−1,564−8.6%減碼歷史
BBBLACKBERRY LtdCOM12,621$11.8 萬<0.1%+25+0.2%加碼歷史
SIRISirius XM Holdings Inc.COM18,720$11.9 萬<0.1%−1,780−8.7%減碼歷史
Global X FDS37950E333GLBX SUPRINC ETF10,270$12.0 萬<0.1%+10,270新進–
SABRSabre CorpCOM14,079$12.1 萬<0.1%+1,000+7.6%加碼歷史
MFAMfa Financial, Inc.COM26,699$12.2 萬<0.1%+78+0.3%加碼歷史
INABIN8BIO, Inc.COM28,600$12.6 萬<0.1%+28,600新進歷史
CGCCanopy Growth CorpCOM14,707$12.8 萬<0.1%−1,800−10.9%減碼歷史
RWTRedwood Trust IncCOM10,000$13.2 萬<0.1%00.0%不變歷史
GEVOGevo, Inc.COM PAR31,300$13.4 萬<0.1%+4,400+16.4%加碼歷史
ANGIAngi Inc.COM CL A NEW14,750$13.6 萬<0.1%00.0%不變歷史
LTRNLantern Pharma Inc.COM17,600$14.0 萬<0.1%+17,600新進歷史
RKTRocket Companies, Inc.Stock10,246$14.3 萬<0.1%−3,585−25.9%減碼歷史
LQDALiquidia CorpCOM NEW30,725$15.0 萬<0.1%+16,895+122.2%加碼歷史
iShares Tr464288844US OIL EQ&SV ETF11,727$15.1 萬<0.1%−759−6.1%減碼–
SWNSouthwestern Energy CoCOM32,550$15.2 萬<0.1%+925+2.9%加碼歷史
Adamas Trust, Inc.649604501COM PAR $.0241,057$15.3 萬<0.1%+21,543+110.4%加碼–
NIDNuveen Intermediate Duration Municipal Term FundCOM10,638$15.9 萬<0.1%+438+4.3%加碼歷史
CIMChimera Investment CorpCOM NEW10,705$16.1 萬<0.1%−501−4.5%減碼歷史
NVTAInvitae CorpCOM11,003$16.8 萬<0.1%−19,025−63.4%減碼歷史
GABGabelli Equity Trust IncCOM23,569$16.9 萬<0.1%+333+1.4%加碼歷史
Advisorshares Tr00768Y495PURE CANNABIS13,417$17.4 萬<0.1%−4,710−26.0%減碼–
Golden Ocean Group LtdG39637205SHS NEW19,010$17.7 萬<0.1%+4,057+27.1%加碼–
EFREaton Vance Senior Floating-Rate TrustCOM12,082$17.8 萬<0.1%+8+0.1%加碼歷史
NADNuveen Quality Municipal Income FundCOM11,190$18.0 萬<0.1%+87+0.8%加碼歷史
RITMRithm Capital Corp.REIT17,027$18.2 萬<0.1%−1,278−7.0%減碼歷史
ETBEaton Vance Tax-Managed Buy-Write Income FundCOM10,711$18.3 萬<0.1%+439+4.3%加碼歷史
VODVodafone Group Public Ltd CoADR12,657$18.9 萬<0.1%−3,449−21.4%減碼歷史
GFNew Germany Fund IncCOM12,985$19.2 萬<0.1%00.0%不變歷史
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0175,000$19.2 萬<0.1%00.0%不變–
EFCEllington Financial Inc.COM11,412$19.5 萬<0.1%+11,412新進歷史
FCELFuelcell Energy IncCOM37,494$19.5 萬<0.1%+2,585+7.4%加碼歷史
HPSJohn Hancock Preferred Income Fund IIICOM10,378$19.5 萬<0.1%−2,408−18.8%減碼歷史
SWBISmith & Wesson Brands, Inc.COM11,137$19.8 萬<0.1%−3,913−26.0%減碼歷史
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT19,341$19.8 萬<0.1%−2,130−9.9%減碼歷史
Starboard Invt Tr85521B742ADAPTIVE ALPHA7,879$20.0 萬<0.1%+7,879新進–
Pacer FDS Tr69374H741DATA AND INFRAST4,630$20.0 萬<0.1%+4,630新進–
PWRQuanta Services, Inc.COM1,762$20.2 萬<0.1%−39−2.2%減碼歷史

選擇權(21 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 4 季的選擇權部位
證券類別賣權買權
AMZNAmazon Com IncStock–$766.9 萬
Invesco QQQ Trust Series I46090E103ETF$417.7 萬–
SPYSPDR S&P 500 ETF TrustETF$114.0 萬$66.5 萬
NFLXNetflix IncStock–$132.5 萬
AAPLApple Inc.Stock–$88.8 萬
TWTRTwitter, Inc.COM–$86.4 萬
GOOGAlphabet Inc.Stock–$57.9 萬
MSFTMicrosoft CorpStock–$53.8 萬
FDXFedEx CorpStock–$51.7 萬
ADBEAdobe Inc.Stock$39.7 萬–
ROKURoku, IncCOM CL A–$36.5 萬
BABoeing CoStock–$34.2 萬
TSLATesla, Inc.Stock$31.7 萬–
NVDANVIDIA CorpStock$26.5 萬–
ABBVAbbVie Inc.Stock$25.7 萬–
VEEVVeeva Systems IncStock–$25.5 萬
METAMeta Platforms, Inc.Stock–$23.5 萬
SRNESorrento Therapeutics, Inc.COM NEW–$6.30 萬
NOKNokia CorpSPONSORED ADR–$6.20 萬
AGENAgenus IncCOM NEW–$4.40 萬
SOSSOS LtdSPNSORD ADS NEW–$1.30 萬

2021 年第 3 季之後清倉(128 檔)

2021 年第 3 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 128 檔。

Sigma Planning Corp 在 2021 年第 3 季之後清倉的部位
證券類別2021 年第 3 季股數2021 年第 3 季市值2021 年第 3 季佔組合 %紀錄
PKOPIMCO Income Opportunity FundCOM127,597$312.7 萬0.1%歷史
First Tr Exchange-Traded FD33734G108COM89,943$254.4 萬0.1%–
Invesco Exchange Traded FD T46137V704DORSEY WRGT BASC27,288$231.3 萬0.1%–
ITGartner IncCOM6,773$205.8 萬0.1%歷史
Kraneshares Tr500767736QUADRTC INT RT64,474$179.7 萬0.1%–
BILLBILL Holdings, Inc.Stock4,803$128.2 萬<0.1%歷史
DOCSDoximity, Inc.CL A14,199$114.6 萬<0.1%歷史
SFLSFL Corp Ltd.SHS111,728$93.6 萬<0.1%歷史
iShares Future AI & Tech ETF46435U556ETF21,120$89.4 萬<0.1%–
CVLTCommvault Systems IncCOM10,704$80.6 萬<0.1%歷史
SFIXStitch Fix, Inc.Stock16,711$66.8 萬<0.1%歷史
Global X FDS37950E127REIT ETF69,864$66.4 萬<0.1%–
RETAReata Pharmaceuticals IncCL A6,544$65.8 萬<0.1%歷史
CCJCameco CorpStock28,999$63.0 萬<0.1%歷史
PNRPENTAIR plcSHS8,495$61.7 萬<0.1%歷史
First Tr Exch Traded FD III33739P202EME MRK BD ETF18,686$60.9 萬<0.1%–
CARAvis Budget Group, Inc.COM5,115$59.6 萬<0.1%歷史
UAAUnder Armour, Inc.Stock29,366$59.3 萬<0.1%歷史
KOFCoca Cola Femsa SAB de CVSPONS ADS REP10,444$58.8 萬<0.1%歷史
CMRECostamare Inc.SHS36,896$57.2 萬<0.1%歷史
Fidelity Covington Trust316092352BLUE CHIP GRWTH17,102$55.6 萬<0.1%–
Global X Uranium ETF37954Y871ETF23,168$55.1 萬<0.1%–
Pretium Res Inc74139C102COM57,054$55.0 萬<0.1%–
Nushares ETF Tr67092P409NUVEEN ESG MIDCP9,990$54.3 萬<0.1%–
Global X FDS37954Y293GLB X MLP ENRG I14,845$53.3 萬<0.1%–
FSMFortuna Mining Corp.COM133,399$52.4 萬<0.1%歷史
Invesco Exch TRD SLF Idx FD46138J684BULLSHS 21 USD20,741$51.7 萬<0.1%–
Mag Silver Corp55903Q104COM31,283$50.7 萬<0.1%–
Enable Midstream Partners, LP292480100COM UNIT RP IN62,338$50.6 萬<0.1%–
TEITempleton Emerging Markets Income FundCOM64,470$49.9 萬<0.1%歷史
VXXBarclays Bank PLCETF17,829$49.6 萬<0.1%歷史
UUUUEnergy Fuels IncCOM NEW70,452$49.5 萬<0.1%歷史
Nuveen PFD & Incm Securties67072C105COM49,347$48.4 萬<0.1%–
MGAMagna International IncCOM6,182$46.5 萬<0.1%歷史
SKINSkinHealth Systems Inc.COM CL A16,700$43.4 萬<0.1%歷史
CVNACarvana Co.CL A1,433$43.2 萬<0.1%歷史
BZUNBaozun Inc.SPONSORED ADR23,007$40.3 萬<0.1%歷史
Innovator ETFs Tr45783Y509GROWTH ACCELE14,206$40.2 萬<0.1%–
Nuveen Diversified Divid & I6706EP105COM37,598$39.0 萬<0.1%–
USOUnited States Oil Fund, LPUNITS7,246$38.1 萬<0.1%歷史
iShares Tr464287374NORTH AMERN NAT12,846$37.7 萬<0.1%–
BSCLBILI Social International, Inc.BULSHS 2021 CB17,522$37.0 萬<0.1%歷史
ZZillow Group, Inc.CL C CAP STK4,124$36.3 萬<0.1%歷史
AZTAAzenta, Inc.COM3,454$35.4 萬<0.1%歷史
SPDR Series Trust78468R556SP O&G EXPL PRO3,628$35.1 萬<0.1%–
Invesco Exchange Traded FD T46137V191S&P MDCP400 VL3,756$34.2 萬<0.1%–
TDYTeledyne Technologies IncCOM788$33.9 萬<0.1%歷史
Graniteshares ETF Tr38747R108BBG COMMD K 111,241$33.8 萬<0.1%–
Nuveen Tax-Advantaged Divid67073G105COM21,335$33.8 萬<0.1%–
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS15,932$33.7 萬<0.1%歷史
iShares Tr46435G342MORTGE REL ETF9,225$33.4 萬<0.1%–
PKGPackaging Corp of AmericaStock2,414$33.2 萬<0.1%歷史
SPDR Series Trust78464A607ST STR DOW REIT3,114$32.8 萬<0.1%–
DELLDell Technologies Inc.Stock3,126$32.5 萬<0.1%歷史
NARIInari Medical, Inc.Stock3,975$32.2 萬<0.1%歷史
HAPNHappen, Inc.COM NEW10,374$29.3 萬<0.1%歷史
PENGPenguin Solutions, Inc.SHS6,425$28.6 萬<0.1%歷史
DRNADicerna Pharmaceuticals IncCOM14,016$28.3 萬<0.1%歷史
TXRHTexas Roadhouse, Inc.COM3,077$28.1 萬<0.1%歷史
Invesco Exchange Traded FD T46137V761ENERG EXPL ETF14,863$28.1 萬<0.1%–
CRSPCRISPR Therapeutics AGNAMEN AKT2,472$27.7 萬<0.1%歷史
Royal Dutch Shell PLC780259107SPON ADR B6,135$27.2 萬<0.1%–
RSIRush Street Interactive, Inc.COM13,945$26.8 萬<0.1%歷史
Exchange Traded Concepts Tru301505889EMQQ EME MAR ETF5,389$26.7 萬<0.1%–
MWAMueller Water Products, Inc.COM SER A17,518$26.7 萬<0.1%歷史
ASANAsana, Inc.CL A2,489$25.8 萬<0.1%歷史
First Tr Exchng Traded FD VI33740F763FT VEST US EQT6,930$25.4 萬<0.1%–
iShares Tr46435G755IBONDS DEC20229,718$25.4 萬<0.1%–
iShares Tr46434V761MSCI UAE ETF17,000$25.2 萬<0.1%–
Innovator ETFs Tr45783Y608GROWTH ACCELERAT8,870$25.2 萬<0.1%–
BLMNBloomin' Brands, Inc.COM9,740$24.4 萬<0.1%歷史
NCLHNorwegian Cruise Line Holdings Ltd.SHS8,948$23.9 萬<0.1%歷史
First Tr Exchange-Traded FD33733E807NAT GAS ETF13,719$23.1 萬<0.1%–
ATRAptargroup, Inc.Stock1,925$23.0 萬<0.1%歷史
LBRTLiberty Energy Inc.COM CL A19,000$23.0 萬<0.1%歷史
PTONPeloton Interactive, Inc.CL A COM2,625$22.9 萬<0.1%歷史
APTVAptiv PLCSHS1,536$22.9 萬<0.1%歷史
iShares Tr46435G318IBONDS DEC20238,721$22.7 萬<0.1%–
iShares Tr46435U697IBONDS DEC8,423$22.7 萬<0.1%–
TTCFTattooed Chef, Inc.COM CL A12,340$22.7 萬<0.1%歷史
ZGZillow Group, Inc.CL A2,555$22.6 萬<0.1%歷史
iShares Tr46435U432IBONDS DEC 258,101$22.6 萬<0.1%–
DBAInvesco DB Agriculture FundAGRICULTURE FD11,700$22.4 萬<0.1%歷史
BFHBread Financial Holdings, Inc.COM2,218$22.4 萬<0.1%歷史
TELTE Connectivity plcREG SHS1,629$22.4 萬<0.1%歷史
CHWYChewy, Inc.CL A3,210$21.9 萬<0.1%歷史
LBTYALiberty Global Ltd.SHS CL A7,300$21.8 萬<0.1%歷史
SUISun Communities IncCOM1,155$21.4 萬<0.1%歷史
FANGDiamondback Energy, Inc.Stock2,230$21.1 萬<0.1%歷史
PAYCPaycom Software, Inc.Stock425$21.1 萬<0.1%歷史
Global X FDS37954Y657US PFD ETF8,118$20.9 萬<0.1%–
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