13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 6,966 holding rows worth $106,789,686,000.
- Accession
- 0000831001-13-000240
- Filer
- CIK 831001
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 16,803 entries on the cover page, a total value of $106,789,686,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $106,789,686,000 with VALUE read as thousands by filing date, 13F file number 028-02427. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerAcciones y Valores Banamex, S.A. de C.V., Casa de Bolsa, integrante del Grupo Financiero Banamex028-10815
- included managerAutomated Trading Desk Financial Services, LLC028-15302
- included managerAutomated Trading Desk Holdings, Inc.028-14757
- included managerAutomated Trading Desk, LLC028-14758
- included managerCiti Overseas Investments Bahamas Inc.028-10818
- included managerCitibank (Switzerland)028-04289
- included managerCitibank, N.A.028-04287
- included managerCitibank Canada028-06215
- included managerCitibank Overseas Investment Corp028-05347
- included managerCiticorp028-11520
- included managerCiticorp (Mexico) Holdings LLC028-10819
- included managerCiticorp Banking Corp028-04349
- included managerCiticorp Trust Delaware, National Association028-12382
- included managerCiticorp Trust South Dakota028-12977
- included managerCitigroup Acquisition LLC028-14760
- included managerCitigroup Alternative Investments LLC028-10293
- included managerCitigroup Derivatives Markets Inc.028-11547
- included managerCitigroup Financial Products Inc.028-01114
- included managerCitigroup Global Markets Deutschland AG028-10817
- included managerCitigroup Global Markets Europe Ltd028-04305
- included managerCitigroup Global Markets Finance Corp & Co. beschrankt haftende KG028-10821
- included managerCitigroup Global Markets Holdings Inc.028-01109
- included managerCitigroup Global Markets Inc.028-00541
- included managerCitigroup Global Markets International LLC028-04311
- included managerCitigroup Global Markets Ltd028-04309
- included managerCitigroup Global Markets Luxembourg028-15306
- included managerCitigroup Global Markets U.K. Equity Ltd028-06229
- included managerCitigroup Investments Inc.028-10295
- included managerCitigroup Trust - Delaware, National Association028-12981
- included managerCOHM Overseas Mexico Holding, S. de R.L. de C.V.028-14268
- included managerGrupo Financiero Banamex, S.A. de C.V.028-10816
- included managerImpulsora de Fondos Banamex, S.A. de C.V., Sociedad Operadora de Sociedades de Inversion028-10822
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| BIOSCRIP INC | 09069N108 | COM | 8,048 | $71,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 2,789 | $71,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 9,379 | $71,000 | thousands by filing date | |
| ING RISK MANAGED NAT RES FD | 449810100 | COM | 7,068 | $71,000 | thousands by filing date | |
| AMREIT INC | 03216B208 | CL B | 4,072 | $71,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 10,660 | $71,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 1,410 | $70,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 5,058 | $70,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 8,058 | $70,000 | thousands by filing date | |
| URS CORP NEW | 903236107 | COM | 1,308 | $70,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 2,400 | $70,000 | thousands by filing date | |
| HEARTLAND PMT SYS INC | 42235N108 | COM | 1,753 | $70,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 13,853 | $70,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 2,591 | $70,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 3,835 | $70,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 5,068 | $70,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 36,300 | $70,000 | thousands by filing date | call |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 65,000 | $70,000 | thousands by filing date | principal |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 17,500 | $70,000 | thousands by filing date | |
| SUN CMNTYS INC COM | 866674104 | REIT | 1,615 | $69,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 3,599 | $69,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 4,606 | $69,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 5,039 | $69,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 1,502 | $69,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 7,542 | $69,000 | thousands by filing date | |
| Alamos Gold, Inc. | 011527108 | COM | 4,442 | $69,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 2,475 | $69,000 | thousands by filing date | |
| VOCUS INC | 92858J108 | COM | 7,344 | $69,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 22,917 | $69,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 10,805 | $69,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 26,051 | $69,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M449 | GUGG BULL 2013 | 2,723 | $69,000 | thousands by filing date | |
| NORTHGATE MINERALS CORP | 666416AB8 | NOTE 3.500%10/0 | 73,000 | $69,000 | thousands by filing date | principal |
| REPLIGEN CORP COM | 759916109 | Stock | 6,138 | $68,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 937 | $68,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 5,403 | $68,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 1,088 | $68,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 13,998 | $68,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 16,022 | $68,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 2,009 | $68,000 | thousands by filing date | |
| AVIV REIT INC | 05381L101 | COMMON STOCK | 2,979 | $68,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 5,206 | $68,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 3,219 | $68,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 915 | $68,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 1,295 | $67,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 2,866 | $67,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 1,451 | $67,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 2,570 | $67,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 5,023 | $67,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 2,884 | $67,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 6,615 | $67,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 84,000 | $67,000 | thousands by filing date | principal |
| BANKFINANCIAL CORP | 06643P104 | COM | 7,432 | $67,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 9,604 | $67,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 1,522 | $67,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 2,609 | $67,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 3,414 | $67,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 2,895 | $66,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 4,175 | $66,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 9,087 | $66,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 1,562 | $66,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 1,469 | $66,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 4,095 | $66,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 2,818 | $66,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 4,871 | $66,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 13,020 | $66,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 2,966 | $65,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,620 | $65,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 3,700 | $65,000 | thousands by filing date | put |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 2,711 | $65,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 9,779 | $65,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 2,741 | $65,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 6,746 | $65,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 3,069 | $65,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,529 | $65,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 4,294 | $65,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 6,145 | $65,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 1,493 | $64,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 5,403 | $64,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 4,229 | $64,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 10,565 | $64,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 4,526 | $64,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 64,000 | $64,000 | thousands by filing date | principal |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 2,113 | $64,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 7,087 | $64,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 14,166 | $64,000 | thousands by filing date | |
| SYMMETRICOM INC | 871543104 | COM | 13,357 | $64,000 | thousands by filing date | |
| BROOKFIELD RESIDENTIAL PPTYS | 11283W104 | COM | 2,775 | $64,000 | thousands by filing date | |
| HEALTH MGMT ASSOC INC NEW | 421933102 | CL A | 5,000 | $64,000 | thousands by filing date | put |
| DICE HOLDINGS INC | 253017107 | COM | 7,636 | $64,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 50,000 | $64,000 | thousands by filing date | principal |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 3,832 | $64,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 51,000 | $64,000 | thousands by filing date | principal |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 3,300 | $63,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 2,053 | $63,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 1,708 | $63,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 3,145 | $63,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 32,194 | $63,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 5,503 | $63,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 1,954 | $63,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 2,050 | $63,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 722 | $63,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 4,970 | $63,000 | thousands by filing date | |
| DIGITAL GENERATION INC | 25400B108 | COM | 4,818 | $63,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 4,039 | $63,000 | thousands by filing date | |
| SUPERTEX INC | 868532102 | COM | 2,493 | $63,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 8,721 | $63,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 5,005 | $63,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 2,569 | $63,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 43,000 | $63,000 | thousands by filing date | principal |
| Knight Capital Group, Inc. | 48244B100 | common stock | 7,293 | $63,000 | thousands by filing date | call |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 1,010 | $62,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 5,193 | $62,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 2,000 | $62,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 3,085 | $62,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 2,944 | $62,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 5,132 | $62,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 7,281 | $62,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 3,310 | $62,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 1,752 | $62,000 | thousands by filing date | |
| PROSHARES TR SHORT QQQ (PSQ) | 74347R602 | ETF | 2,991 | $62,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 8,840 | $61,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 4,657 | $61,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 1,009 | $61,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 26,338 | $61,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 1,974 | $61,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 6,258 | $61,000 | thousands by filing date | |
| SUSSER HOLDINGS CORP | 869233106 | COMMON STOCK | 1,154 | $61,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 51,000 | $61,000 | thousands by filing date | principal |
| TARGACEPT INC | 87611R306 | COM | 11,544 | $61,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 2,473 | $61,000 | thousands by filing date | |
| PPL CORP | 69351T114 | UNIT 99/99/9999S | 1,131 | $61,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 6,940 | $61,000 | thousands by filing date | |
| MPG OFFICE TR INC | 553274101 | COM | 19,487 | $61,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 3,343 | $61,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 4,175 | $61,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 4,505 | $60,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 4,390 | $60,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 3,750 | $60,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 4,258 | $60,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 2,950 | $60,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 6,314 | $60,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 3,225 | $60,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 2,506 | $60,000 | thousands by filing date | |
| GENCORP INC | 368682100 | COM | 3,753 | $60,000 | thousands by filing date | |
| GLOBECOMM SYSTEMS INC | 37956X103 | COM | 4,275 | $60,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 22,321 | $60,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 2,554 | $60,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 1,759 | $60,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 4,911 | $60,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 3,306 | $60,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 5,926 | $59,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 8,324 | $59,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 5,857 | $59,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,176 | $59,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 3,016 | $59,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 3,604 | $59,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 24,320 | $59,000 | thousands by filing date | |
| PERICOM SEMICONDUCTOR CORP | 713831105 | COM | 7,627 | $59,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 4,774 | $59,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 3,992 | $59,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 2,578 | $58,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 1,480 | $58,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 1,192 | $58,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 3,609 | $58,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 3,439 | $58,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 2,990 | $58,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 2,289 | $58,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 1,469 | $58,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 11,015 | $58,000 | thousands by filing date | |
| TRULIA INC | 897888103 | COM | 1,241 | $58,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 5,778 | $58,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 8,000 | $58,000 | thousands by filing date | |
| INTEGRATED SILICON SOLUTION | 45812P107 | COM | 5,315 | $58,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 1,399 | $58,000 | thousands by filing date | |
| UNITED FINANCIAL BANCORP INC | 91030T109 | COM | 3,556 | $58,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 4,129 | $58,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 65,000 | $58,000 | thousands by filing date | principal |
| MOLYCORP INC $0.055 PFD | 608753208 | PREFERRED | 2,851 | $58,000 | thousands by filing date | |
| GREATER CHINA FD INC COM | 39167B102 | MUTUAL | 5,051 | $58,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 554 | $57,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 6,092 | $57,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 5,000 | $57,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 2,432 | $57,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 4,477 | $57,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 124,604 | $57,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 3,776 | $57,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 7,287 | $57,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 4,481 | $57,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 3,789 | $57,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 1,260 | $57,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 3,712 | $57,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 8,595 | $57,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 3,433 | $57,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 5,757 | $56,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 1,739 | $56,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 4,103 | $56,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 4,351 | $56,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 4,455 | $56,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 3,494 | $56,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,944 | $56,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 6,639 | $56,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 1,386 | $56,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 2,084 | $56,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 9,579 | $56,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 42,000 | $56,000 | thousands by filing date | principal |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 2,789 | $56,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 1,181 | $56,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 21,796 | $56,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 33,000 | $56,000 | thousands by filing date | principal |
| YRC WORLDWIDE INC | 984249607 | COM | 3,341 | $56,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 9,339 | $56,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 4,075 | $56,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 2,000 | $56,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AK1 | NOTE 3.375% 7/1 | 43,000 | $56,000 | thousands by filing date | principal |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,937 | $55,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 1,391 | $55,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 5,988 | $55,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 2,342 | $55,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 4,447 | $55,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 3,106 | $55,000 | thousands by filing date | |
| COURIER CORP | 222660102 | COMMON STOCK | 3,482 | $55,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 1,427 | $55,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 5,604 | $55,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 4,391 | $55,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 15,500 | $55,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 5,116 | $55,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 60,000 | $55,000 | thousands by filing date | principal |
| GORMAN RUPP CO COM | 383082104 | Stock | 1,348 | $54,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 1,416 | $54,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 739 | $54,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 1,243 | $54,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 3,045 | $54,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 2,261 | $54,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 1,611 | $54,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 2,380 | $54,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 16,600 | $54,000 | thousands by filing date | call |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 27,600 | $54,000 | thousands by filing date | call |
| ETFS Gold Trust | 26922Y105 | ETF | 415 | $54,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 2,317 | $54,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS 3.000/15/24 | 018804AK0 | NOTE | 41,000 | $54,000 | thousands by filing date | principal |
| EMC INS GROUP INC | 268664109 | COM | 1,789 | $54,000 | thousands by filing date | |
| METROCORP BANCSHARES INC | 591650106 | COM | 3,918 | $54,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 1,214 | $54,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 2,975 | $54,000 | thousands by filing date | call |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 5,764 | $53,000 | thousands by filing date | |
| POWER INTEGRATIONS INC COM | 739276103 | Stock | 978 | $53,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 4,499 | $53,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 2,138 | $53,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 3,678 | $53,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 4,617 | $53,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 3,314 | $53,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 4,089 | $53,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 3,607 | $53,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 7,027 | $53,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 6,899 | $53,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 2,519 | $53,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 3,979 | $53,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 2,027 | $53,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 42,000 | $53,000 | thousands by filing date | principal |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 5,682 | $52,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 4,379 | $52,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 4,953 | $52,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 47,000 | $52,000 | thousands by filing date | principal |
| JAMES RIVER COAL CO | 470355207 | COM | 26,191 | $52,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 3,841 | $52,000 | thousands by filing date | |
| CHINDEX INTERNATIONAL INC | 169467107 | COM | 3,031 | $52,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 5,363 | $52,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 1,130 | $51,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 1,356 | $51,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 2,784 | $51,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 6,189 | $51,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 2,032 | $51,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 4,859 | $51,000 | thousands by filing date | |
| MEDIA GENERAL INC | 584404107 | COMMON STOCK | 3,543 | $51,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 1,369 | $51,000 | thousands by filing date | |
| PIKE ELEC CORP | 721283109 | COM | 4,493 | $51,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 2,533 | $51,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 2,088 | $51,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 25,506 | $51,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 2,800 | $51,000 | thousands by filing date | put |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 7,124 | $50,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 12,486 | $50,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 4,098 | $50,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 1,700 | $50,000 | thousands by filing date | |
| MULTIMEDIA GAMES HOLDING CO | 625453105 | COM | 1,427 | $50,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956AB8 | NOTE 2.000% 8/0 | 50,000 | $50,000 | thousands by filing date | principal |
| KEYW HLDG CORP | 493723100 | COM | 3,710 | $50,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 1,863 | $50,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 2,865 | $50,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 448 | $50,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 600 | $50,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 2,500 | $50,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 2,416 | $49,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 1,077 | $49,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 1,500 | $49,000 | thousands by filing date | call |
| INPHI CORP | 45772F107 | COM | 3,678 | $49,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 1,642 | $49,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,859 | $49,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,759 | $49,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 19,823 | $49,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 2,347 | $49,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 2,000 | $49,000 | thousands by filing date | call |
| ANADIGICS INC | 032515108 | COM | 24,807 | $49,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 7,895 | $49,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 4,292 | $49,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 4,121 | $49,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,100 | $48,000 | thousands by filing date | put |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 5,450 | $48,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 4,100 | $48,000 | thousands by filing date | put |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 6,485 | $48,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 2,477 | $48,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 2,582 | $48,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 436 | $48,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 1,460 | $48,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 24,999 | $48,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 915 | $48,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 1,718 | $48,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 37,000 | $48,000 | thousands by filing date | principal |
| OMEGA PROTEIN CORP | 68210P107 | COM | 4,706 | $48,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 5,841 | $48,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 27,100 | $48,000 | thousands by filing date | |
| COHEN & STEERS DIV MJRS FDIN | 19248G106 | COM | 3,500 | $48,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 3,458 | $48,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 602 | $47,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 5,056 | $47,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 1,611 | $47,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 1,819 | $47,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 6,640 | $47,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 7,320 | $47,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 3,389 | $47,000 | thousands by filing date | |
| GIANT INTERACTIVE GROUP INC | 374511103 | ADR | 5,104 | $47,000 | thousands by filing date | |
| ARTHROCARE CORP | 043136100 | COM | 1,306 | $47,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 8,136 | $47,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 12,165 | $47,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 4,076 | $47,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,819 | $47,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 7,688 | $47,000 | thousands by filing date | call |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 10,820 | $46,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 1,374 | $46,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 8,869 | $46,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 913 | $46,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 5,765 | $46,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 2,761 | $46,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 3,269 | $46,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 19,783 | $46,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 5,071 | $46,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 2,859 | $46,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 3,590 | $46,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 1,600 | $46,000 | thousands by filing date | |
| THERMOGENESIS CORP | 883623308 | COM | 43,206 | $46,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 2,444 | $46,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 770 | $46,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 361 | $45,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 3,677 | $45,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 1,822 | $45,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 1,036 | $45,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 1,158 | $45,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 7,617 | $45,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 2,040 | $45,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 2,683 | $45,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 21,202 | $45,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 2,424 | $45,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 1,542 | $45,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 9,786 | $45,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 13,958 | $45,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 19,109 | $45,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 2,158 | $45,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 25,000 | $45,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 3,511 | $45,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 2,600 | $45,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 3,070 | $45,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 1,987 | $45,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 1,176 | $44,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 3,575 | $44,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 3,373 | $44,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 2,003 | $44,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 1,186 | $44,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 987 | $44,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 801 | $44,000 | thousands by filing date | |
| SEACOAST BKG CORP FL | 811707306 | COMMON STOCK | 20,462 | $44,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 625 | $44,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,360 | $44,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 865 | $44,000 | thousands by filing date | |
| MEASUREMENT SPECIALTIES INC | 583421102 | COM | 814 | $44,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 3,678 | $44,000 | thousands by filing date | |
| AMERICAN RESIDENTIAL PROPERTIES INC | 02927E303 | COM | 2,477 | $44,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,744 | $44,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E838 | GLB X BRZ FINL | 3,700 | $44,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 2,300 | $43,000 | thousands by filing date | call |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 1,700 | $43,000 | thousands by filing date | call |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 535 | $43,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 829 | $43,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 1,774 | $43,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 3,352 | $43,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 709 | $43,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 3,769 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 2,103 | $43,000 | thousands by filing date | |
| ZEP INC | 98944B108 | COMMON STOCK | 2,649 | $43,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 595 | $43,000 | thousands by filing date | |
| LIONS GATE ENTERTAINMENT 3.625% CB 03/15/2025- REG | 53626YAA6 | Bond | 10,000 | $43,000 | thousands by filing date | principal |
| CALAVO GROWERS INC | 128246105 | COM | 1,404 | $42,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 2,751 | $42,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 792 | $42,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 1,565 | $42,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 2,093 | $42,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 2,090 | $42,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 1,826 | $42,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 4,019 | $42,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,921 | $42,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 1,205 | $42,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 7,000 | $42,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 1,652 | $42,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 41,000 | $42,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 1,281 | $42,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 636 | $41,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 1,079 | $41,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 627 | $41,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 4,091 | $41,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 2,951 | $41,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 984 | $41,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 2,150 | $41,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 2,487 | $41,000 | thousands by filing date | |
| AEROFLEX HOLDING CORP | 007767106 | COMMON STOCK | 5,792 | $41,000 | thousands by filing date | |
| NUVEEN | 67071W102 | EXCHANGE TRADED | 3,388 | $41,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 1,058 | $41,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 3,974 | $41,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 19,819 | $41,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 2,326 | $41,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 2,525 | $41,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 642 | $41,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 783 | $41,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 1,335 | $40,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 1,329 | $40,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 3,985 | $40,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 2,987 | $40,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 2,084 | $40,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 5,829 | $40,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 3,008 | $40,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 969 | $40,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 1,367 | $40,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 1,049 | $40,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 5,211 | $40,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 1,803 | $40,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 5,534 | $40,000 | thousands by filing date | |
| LINEAR TECH INC | 535678AC0 | CORPORATE OBLIG | 38,000 | $40,000 | thousands by filing date | principal |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 1,575 | $40,000 | thousands by filing date | |
| VITRAN CORP | 92850E107 | COMMON STOCK | 8,125 | $40,000 | thousands by filing date | |
| WASHINGTON BANKING CO | 937303105 | COMMON STOCK | 2,839 | $40,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 1,910 | $40,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 5,370 | $40,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 33,577 | $40,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 64,415 | $40,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 19,806 | $40,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 5,414 | $40,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 20,000 | $40,000 | thousands by filing date | principal |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 1,949 | $40,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 1,491 | $40,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 5,073 | $40,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 599 | $40,000 | thousands by filing date | |
| INTERMUNE INC | 45884XAE3 | NOTE 2.500% 9/1 | 45,000 | $40,000 | thousands by filing date | principal |
| NEWELL RUBBERMAID INC | 651229AH9 | NOTE 5.500% 3/1 | 12,000 | $40,000 | thousands by filing date | principal |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 1,445 | $39,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 500 | $39,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 531 | $39,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 332 | $39,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,468 | $39,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 2,179 | $39,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,261 | $39,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 5,540 | $39,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 1,129 | $39,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,596 | $39,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 1,976 | $39,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 4,454 | $39,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 1,645 | $39,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 660 | $39,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 20,575 | $39,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 16,779 | $39,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,677 | $39,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 13,411 | $39,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 2,160 | $39,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 3,255 | $39,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 919 | $39,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 2,725 | $39,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 1,525 | $39,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 1,000 | $39,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 2,425 | $38,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 799 | $38,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 500 | $38,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 2,082 | $38,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 421 | $38,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 1,450 | $38,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 1,758 | $38,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 3,361 | $38,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 735 | $38,000 | thousands by filing date | |
| MAC-GRAY CORP | 554153106 | COMMON STOCK | 2,635 | $38,000 | thousands by filing date | |
| TECH DATA CORP | 878237106 | COM | 766 | $38,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 10,171 | $38,000 | thousands by filing date | |
| MICREL INC | 594793101 | COM | 4,218 | $38,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 2,391 | $38,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-13-000240 | this filing | 2013-11-14 | acceptance time not in the bulk data set |