13F-HR filed by Cowen Prime Services LLC
Cowen Prime Services LLC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-12, with 285 holding rows worth $256,211,000.
- Accession
- 0000890163-13-000053
- Filer
- CIK 1543830
- Filed
- 2013-11-12
- 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, 290 entries on the cover page, a total value of $256,211,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $256,211,000 with VALUE read as thousands by filing date, 13F file number 028-14944. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 2,505,716 | $53,196,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 874,567 | $17,666,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 3,323,835 | $12,265,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 791,578 | $10,362,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 1,459,850 | $9,139,000 | thousands by filing date | |
| ACCELRYS INC | 00430U103 | COM | 862,043 | $8,483,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 1,064,800 | $7,826,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 469,900 | $7,590,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 224,947 | $6,462,000 | thousands by filing date | |
| OFFICIAL PMTS HLDGS INC | 67623R106 | COM | 678,150 | $5,642,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 95,021 | $5,130,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 169,300 | $4,784,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 95,601 | $4,479,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 84,915 | $4,456,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 107,400 | $3,905,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 101,850 | $3,848,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 83,600 | $3,423,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 186,500 | $3,331,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 161,375 | $3,228,000 | thousands by filing date | |
| PALL CORP | 696429307 | COM | 40,440 | $3,116,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 432,200 | $3,025,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 119,075 | $2,845,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 783,586 | $2,766,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 31,900 | $2,336,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 69,750 | $2,118,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 47,750 | $2,070,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 25,800 | $1,921,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 62,950 | $1,792,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 72,900 | $1,685,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 21,650 | $1,643,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 539,000 | $1,639,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 39,200 | $1,617,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 17,526 | $1,521,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 51,100 | $1,436,000 | thousands by filing date | |
| LIFE TECHNOLOGIES CORP | 53217V109 | COM | 19,000 | $1,422,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 21,200 | $1,294,000 | thousands by filing date | |
| MOLEX INC | 608554200 | COMMON STOCK | 32,348 | $1,238,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 13,620 | $1,172,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 9,500 | $1,154,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 23,900 | $1,040,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 21,490 | $1,011,000 | thousands by filing date | |
| ONYX PHARMACEUTICALS INC | 683399109 | COM | 8,000 | $998,000 | thousands by filing date | |
| RUE21 INC | 781295100 | COM | 24,569 | $991,000 | thousands by filing date | |
| CAPLEASE INC | 140288101 | COM | 110,800 | $941,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 262,300 | $884,000 | thousands by filing date | |
| HARRIS TEETER SUPERMARKETS I | 414585109 | COM | 17,675 | $869,000 | thousands by filing date | |
| MAKO SURGICAL CORP | 560879108 | COM | 28,000 | $826,000 | thousands by filing date | |
| WARNER CHILCOTT PLC IRELAND | G94368100 | SHS A | 33,000 | $757,000 | thousands by filing date | |
| MAIDENFORM BRANDS INC | 560305104 | COM | 30,000 | $705,000 | thousands by filing date | |
| ELAN PLC | 284131208 | ADR | 44,740 | $697,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 25,150 | $688,000 | thousands by filing date | |
| NATIONAL TECHNICAL SYSTEM IN | 638104109 | COM | 29,842 | $682,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 133,594 | $668,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 3,896 | $651,000 | thousands by filing date | |
| WMS INDUSTRIES INC | 929297109 | COM | 23,500 | $610,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 34,944 | $603,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 28,044 | $589,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 16,700 | $588,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 72,875 | $587,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 15,000 | $576,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 64,800 | $551,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 18,000 | $544,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 8,098 | $541,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 120,000 | $532,000 | thousands by filing date | |
| SOURCEFIRE INC | 83616T108 | COMMON STOCK | 7,000 | $531,000 | thousands by filing date | |
| BELO CORP | 080555105 | COM SER A | 37,658 | $516,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 28,798 | $498,000 | thousands by filing date | |
| SAKS INC | 79377W108 | COM | 30,000 | $478,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 3,937 | $448,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 9,500 | $440,000 | thousands by filing date | |
| SHFL ENTMT INC | 78423R105 | COM | 19,100 | $439,000 | thousands by filing date | |
| NV ENERGY INC | 67073Y106 | COM | 18,000 | $425,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 5,557 | $421,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 8,119 | $420,000 | thousands by filing date | |
| MINDSPEED TECHNOLOGIES INC | 602682205 | COM NEW | 137,300 | $417,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 12,463 | $416,000 | thousands by filing date | |
| VIRGINIA COMM BANCORP INC | 92778Q109 | COM | 26,000 | $405,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 10,648 | $404,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 27,000 | $390,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 6,431 | $383,000 | thousands by filing date | |
| NEOGEN CORP | 640491106 | COM | 6,000 | $364,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 27,112 | $364,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 7,666 | $358,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 4,343 | $355,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 674 | $325,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 5,000 | $325,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 1,000 | $313,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 27,300 | $312,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,662 | $308,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 16,200 | $305,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 6,100 | $303,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 20,000 | $300,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 15,000 | $298,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 20,000 | $297,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 4,100 | $285,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 4,855 | $282,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 5,950 | $279,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 15,000 | $270,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 1,695 | $266,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 3,485 | $257,000 | thousands by filing date | |
| NOBLE CORP | H5833N103 | COMMON STOCK-FO | 6,800 | $257,000 | thousands by filing date | |
| STERLING FINL CORP WASH | 859319303 | COM NEW | 8,980 | $257,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 2,550 | $239,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 5,281 | $237,000 | thousands by filing date | |
| VANGUARD HEALTH SYS INC | 922036207 | COM | 11,000 | $231,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 8,800 | $221,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 167,484 | $221,000 | thousands by filing date | |
| CAPITALSOURCE INC | 14055X102 | COM | 17,625 | $209,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 3,594 | $201,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 2,500 | $200,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 2,458 | $196,000 | thousands by filing date | |
| GLOBECOMM SYSTEMS INC | 37956X103 | COM | 14,000 | $196,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 3,700 | $190,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 2,852 | $185,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 10,626 | $183,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 4,500 | $182,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 3,046 | $171,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 4,104 | $170,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 42,000 | $168,000 | thousands by filing date | |
| VIROPHARMA INC | 928241108 | COMMON STOCK | 4,000 | $157,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 2,500 | $156,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 300 | $155,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 2,000 | $155,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 6,719 | $154,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 4,895 | $154,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 1,676 | $153,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 165,331 | $149,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 14,900 | $146,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 3,500 | $142,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 2,653 | $142,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 2,684 | $138,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 2,401 | $137,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 5,000 | $135,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 857 | $134,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 2,800 | $134,000 | thousands by filing date | |
| CHYRONHEGO CORP | 171607104 | COM | 86,239 | $132,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 2,054 | $131,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 5,576 | $130,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 3,449 | $129,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 750 | $127,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 2,000 | $126,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 2,459 | $126,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 32,900 | $126,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 3,825 | $123,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 1,400 | $121,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 3,012 | $121,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,400 | $117,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 2,428 | $117,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 3,356 | $111,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 1,028 | $110,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 14,200 | $105,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 2,021 | $102,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 2,987 | $100,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 2,191 | $100,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 2,000 | $100,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,000 | $94,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 1,400 | $91,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 76,261 | $87,000 | thousands by filing date | |
| ASTEX PHARMACEUTICALS INC | 04624B103 | COM | 10,000 | $85,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 5,761 | $80,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 800 | $79,000 | thousands by filing date | |
| 38259p508 | COM | 90 | $79,000 | thousands by filing date | ||
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 800 | $76,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 2,381 | $76,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 835 | $74,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 1,000 | $72,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 740 | $71,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 2,000 | $71,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 800 | $68,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 500 | $64,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 11,000 | $64,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 1,645 | $63,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 4,050 | $63,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 1,261 | $63,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 2,560 | $62,000 | thousands by filing date | |
| COLONIAL PROPERTIES TRUST | 195872106 | COM | 2,778 | $62,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 921 | $60,000 | thousands by filing date | |
| The Jones Group Inc | 48020T101 | COM | 4,000 | $60,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 1,700 | $58,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 1,800 | $57,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 800 | $55,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 1,500 | $53,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 1,079 | $52,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 1,000 | $51,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 753 | $50,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 800 | $42,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 1,022 | $41,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 1,902 | $41,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 500 | $41,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 4,200 | $41,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 800 | $40,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 1,800 | $38,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 35 | $38,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 450 | $38,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 27,800 | $37,000 | thousands by filing date | |
| ISHARES INC MSCI UTD KINGD | 464286699 | COM | 1,735 | $34,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 1,613 | $33,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 2,000 | $33,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 5,000 | $30,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 705 | $26,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 150 | $25,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q901 | CALL | 30 | $25,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 3,304 | $24,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 160 | $21,000 | thousands by filing date | |
| ENCANA CORP | 292505904 | COM | 100 | $21,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 2,068 | $20,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 10,000 | $20,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 640 | $19,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 775 | $19,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 402 | $18,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 302 | $18,000 | thousands by filing date | |
| PROSHARES | 74347R826 | MUTUAL FUNDS EQ | 1,000 | $18,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 230 | $17,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 456 | $17,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 6,420 | $17,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 472 | $16,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 355 | $16,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 201 | $15,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 300 | $15,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 221 | $15,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 1,000 | $15,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 394 | $13,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 1,136 | $13,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 5,000 | $13,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 206 | $13,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 100 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 329 | $12,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 202 | $11,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 1,465 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 600 | $11,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 50 | $10,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 1,000 | $10,000 | thousands by filing date | |
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 101 | $10,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 50 | $8,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 166 | $8,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 1,000 | $7,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 113 | $7,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 2,000 | $7,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 2,500 | $7,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 130 | $6,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 100 | $6,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 152 | $5,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 700 | $5,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 343 | $4,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 200 | $4,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 101 | $4,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 1,010 | $4,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 400 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 110 | $4,000 | thousands by filing date | |
| SELECTICA INC | 816288203 | COM | 700 | $4,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 48 | $3,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 30 | $3,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 52 | $3,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 26 | $3,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 30 | $3,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 5,450 | $3,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 75 | $2,000 | thousands by filing date | |
| BLACKROCK | 09250E107 | EXCHANGE TRADED | 1,000 | $2,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 439 | $2,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 5 | $1,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 100 | $1,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 20 | $1,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 50 | $1,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 242 | $1,000 | thousands by filing date | |
| ITT CORP | 450911201 | COM | 37 | $1,000 | thousands by filing date | |
| SIRIUS XM RADIO INC | 82967N108 | COM | 244 | $1,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 75 | $1,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UnitedHealth Group Inc | 91324P102 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FAIR ISAAC CORP COM | 303250104 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENOVUS ENERGY INC | 15135U109 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JUNIPER NETWORKS INC | 48203R104 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mallinckrodt Plc | G5785G107 | SHS | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYMANTEC CORP | 871503108 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LSI CORPORATION | 502161102 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WILLIAMS PARTNERS L P | 96950F104 | COM UNIT L P | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERSIL CORP | 46069S109 | CL A | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RR DONNELLEY + SONS CO | 257867101 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADVISION INC | 111412706 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000890163-13-000053 | this filing | 2013-11-12 | acceptance time not in the bulk data set |