13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-01-06, with 3,445 holding rows worth $5,857,497,000.
- Accession
- 0000910472-14-000014
- Filer
- CIK 1540235
- Filed
- 2014-01-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 3,445 entries on the cover page, a total value of $5,857,497,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,857,497,000 with VALUE read as thousands by filing date, 13F file number 028-14616. 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 |
|---|---|---|---|---|---|---|
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 1,028 | $28,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 3,000 | $28,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 2,300 | $28,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 5,208 | $28,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 410 | $28,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 971 | $28,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,000 | $28,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 2,218 | $28,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 13,416 | $28,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 940 | $27,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 400 | $27,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 24 | $27,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 44 | $27,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,345 | $27,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 500 | $27,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 2,322 | $27,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 822 | $27,000 | thousands by filing date | |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 25,000 | $27,000 | thousands by filing date | principal |
| NEUSTAR INC | 64126X201 | CL A | 550 | $27,000 | thousands by filing date | |
| PROGRESSIVE WASTE SOLUTIONS | 74339G101 | COM | 1,080 | $27,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 1,000 | $27,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 6,800 | $27,000 | thousands by filing date | |
| METROCORP BANCSHARES INC | 591650106 | COM | 1,775 | $27,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 600 | $27,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 1,500 | $27,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 2,900 | $26,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 1,050 | $26,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 652 | $26,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 1,000 | $26,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 3,055 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 2,491 | $26,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 500 | $26,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 693 | $26,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 1,281 | $26,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 2,000 | $26,000 | thousands by filing date | |
| CYTEC INDS INC | 232820100 | COM | 284 | $26,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 6,000 | $26,000 | thousands by filing date | |
| INVESTORS BANCORP INC | 46146P102 | COM | 1,000 | $26,000 | thousands by filing date | |
| PARTNERRE LTD | G6852T105 | COM | 250 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 1,561 | $26,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 3,504 | $26,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 2,200 | $26,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,300 | $26,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 562 | $25,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 280 | $25,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 644 | $25,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 395 | $25,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 4,300 | $25,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 2,000 | $25,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 2,113 | $25,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,000 | $25,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 2,808 | $25,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,000 | $25,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,000 | $25,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,626 | $25,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 3,000 | $25,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 475 | $25,000 | thousands by filing date | |
| BABCOCK & WILCOX CO NEW | 05615F102 | COM | 741 | $25,000 | thousands by filing date | |
| BBCN BANCORP INC | 073295107 | COM | 1,484 | $25,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 1,867 | $25,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 23,000 | $25,000 | thousands by filing date | principal |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 2,000 | $25,000 | thousands by filing date | |
| PROSH ULTRAPRO SHORT S&P 500 | 74348A632 | CMN | 1,692 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 535 | $25,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 660 | $25,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 803 | $24,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 400 | $24,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 559 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 349 | $24,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 986 | $24,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 1,225 | $24,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,846 | $24,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 405 | $24,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 5,290 | $24,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 1,980 | $24,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 758 | $24,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 1,049 | $24,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,935 | $24,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 1,040 | $24,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 656 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 493 | $24,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 2,500 | $24,000 | thousands by filing date | |
| XL GROUP PLC | G98290102 | SHS | 761 | $24,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 600 | $24,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 4,000 | $24,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 2,700 | $24,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 2,838 | $24,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 2,150 | $24,000 | thousands by filing date | |
| INTERMUNE INC | 45884X103 | COM | 1,600 | $24,000 | thousands by filing date | |
| NPS PHARMACEUTICALS INC | 62936P103 | COM | 800 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 825 | $24,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 18,000 | $24,000 | thousands by filing date | principal |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 2,648 | $24,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 2,101 | $24,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 5,002 | $24,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 400 | $23,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 3,807 | $23,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 35 | $23,000 | thousands by filing date | |
| POWER INTEGRATIONS INC COM | 739276103 | Stock | 404 | $23,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 1,114 | $23,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 3,000 | $23,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 1,823 | $23,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 725 | $23,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 730 | $23,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 623 | $23,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 1,695 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 1,070 | $23,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 200 | $23,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 356 | $23,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 1,000 | $23,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 2,405 | $23,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 4,440 | $23,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 895 | $23,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 1,093 | $23,000 | thousands by filing date | |
| MADISON SQUARE GARDEN CO | 55826P100 | CL A | 400 | $23,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 1,500 | $23,000 | thousands by filing date | |
| CORPORATE EXECUTIVE BRD CO | 21988R102 | COM | 297 | $23,000 | thousands by filing date | |
| THORATEC CORP | 885175307 | COM | 625 | $23,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 5,000 | $23,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 787 | $23,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 743 | $23,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 275 | $22,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 595 | $22,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 950 | $22,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 875 | $22,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 310 | $22,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 1,155 | $22,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,506 | $22,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 575 | $22,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 2,400 | $22,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 1,300 | $22,000 | thousands by filing date | |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 417 | $22,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 1,000 | $22,000 | thousands by filing date | |
| MWI VETERINARY SUPPLY INC | 55402X105 | COM | 132 | $22,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 1,000 | $22,000 | thousands by filing date | |
| MEADOWBROOK INS GROUP INC | 58319P108 | COM | 3,215 | $22,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 1,490 | $22,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 870 | $22,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 15,254 | $22,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 1,809 | $22,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 2,303 | $22,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 2,319 | $22,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 2,121 | $22,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 900 | $22,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 14,000 | $22,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 306 | $22,000 | thousands by filing date | |
| ELECSYS CORP | 28473M100 | COM | 1,677 | $22,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 600 | $21,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 400 | $21,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 923 | $21,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 10,000 | $21,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 2,142 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 241 | $21,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 363 | $21,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 1,189 | $21,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 368 | $21,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 1,062 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 442 | $21,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 1,224 | $21,000 | thousands by filing date | |
| THOMSON REUTERS CORP | 884903105 | COM | 555 | $21,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,000 | $21,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 925 | $21,000 | thousands by filing date | |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 21,000 | $21,000 | thousands by filing date | principal |
| Broadcom Inc | Y0486S104 | Common | 398 | $21,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 10,966 | $21,000 | thousands by filing date | |
| SPANSION INC | 84649R200 | COM CL A NEW | 1,500 | $21,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 550 | $21,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 300 | $21,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 300 | $21,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 1,580 | $21,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 11,118 | $21,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 10,000 | $21,000 | thousands by filing date | |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 1,100 | $21,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H467 | PS CMDTY SH ETN | 1,000 | $21,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 598 | $21,000 | thousands by filing date | |
| CARDIUM THERAPEUTICS INC | 141916304 | Common equity shares | 25,512 | $21,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 600 | $20,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 200 | $20,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 3,300 | $20,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 2,936 | $20,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 2,527 | $20,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 225 | $20,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 1,000 | $20,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 700 | $20,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 1,485 | $20,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 675 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 500 | $20,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 2,851 | $20,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 3,775 | $20,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 996 | $20,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 593 | $20,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 700 | $20,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 560 | $20,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 250 | $20,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 2,700 | $20,000 | thousands by filing date | |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 2,200 | $20,000 | thousands by filing date | |
| MOVE INC | 62458M207 | COM NEW | 1,250 | $20,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 10,050 | $20,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 560 | $20,000 | thousands by filing date | |
| WATERSTONE FINANCIAL INC | 941888109 | COM | 1,830 | $20,000 | thousands by filing date | |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 1,300 | $20,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 400 | $20,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 668 | $20,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 897 | $20,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 2,690 | $20,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 437 | $20,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 3,003 | $20,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 1,000 | $20,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 1,646 | $19,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,600 | $19,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 200 | $19,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 1,569 | $19,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,580 | $19,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 1,600 | $19,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,800 | $19,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 4,252 | $19,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 900 | $19,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,553 | $19,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233101 | COMMON STOCK | 823 | $19,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 639 | $19,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 1,014 | $19,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 2,400 | $19,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 1,489 | $19,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 1,407 | $19,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 585 | $19,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 480 | $19,000 | thousands by filing date | |
| VALUECLICK INC | 92046N102 | COM | 833 | $19,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 262 | $19,000 | thousands by filing date | |
| BROWN SHOE COMPANY INC | 115736100 | COM | 668 | $19,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS 3.000/15/24 | 018804AK0 | NOTE | 12,000 | $19,000 | thousands by filing date | principal |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 1,250 | $19,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,000 | $19,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 20,000 | $19,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 1,174 | $19,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 3,282 | $18,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 191 | $18,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 400 | $18,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 560 | $18,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 500 | $18,000 | thousands by filing date | |
| TELEFLEX INCORPORATED | 879369106 | COM | 191 | $18,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 1,500 | $18,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 862 | $18,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 600 | $18,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 505 | $18,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 340 | $18,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 500 | $18,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 1,040 | $18,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 325 | $18,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 1,060 | $18,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,550 | $18,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 400 | $18,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 1,700 | $18,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 637 | $18,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,400 | $18,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 500 | $18,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 200 | $18,000 | thousands by filing date | |
| TW TELECOM INC | 87311L104 | COM | 591 | $18,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 769 | $18,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 5,097 | $18,000 | thousands by filing date | |
| ATMI INC | 00207R101 | COM | 600 | $18,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 1,110 | $18,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 208 | $18,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 3,473 | $18,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 1,000 | $18,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 15,000 | $18,000 | thousands by filing date | principal |
| MCG CAPITAL CORP | 58047P107 | COM | 4,100 | $18,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 8,985 | $18,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 3,000 | $18,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 33,100 | $18,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 1,200 | $18,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAA8 | NOTE | 15,000 | $18,000 | thousands by filing date | principal |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 260 | $18,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 10,000 | $18,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 2,038 | $17,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 476 | $17,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 467 | $17,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 324 | $17,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 1,000 | $17,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 399 | $17,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 170 | $17,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 500 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 609 | $17,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 1,500 | $17,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 417 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 500 | $17,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 400 | $17,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,500 | $17,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 1,400 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 249 | $17,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 700 | $17,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 1,000 | $17,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 1,630 | $17,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 11,500 | $17,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 201 | $17,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 1,013 | $17,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 1,010 | $17,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 4,000 | $17,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 620 | $17,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 13,000 | $17,000 | thousands by filing date | principal |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 900 | $17,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 4,574 | $17,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 1,000 | $17,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 500 | $17,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 500 | $17,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 1,321 | $16,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 766 | $16,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 257 | $16,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 438 | $16,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 210 | $16,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 775 | $16,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 359 | $16,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 354 | $16,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 400 | $16,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 1,666 | $16,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 8,181 | $16,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 500 | $16,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 300 | $16,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 231 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 405 | $16,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 1,850 | $16,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 600 | $16,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 484 | $16,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 1,962 | $16,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 224 | $16,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 1,350 | $16,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 800 | $16,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 760 | $16,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 1,308 | $16,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 440 | $16,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 322 | $16,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 1,400 | $16,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 1,329 | $16,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 1,690 | $16,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 1,178 | $16,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 25,000 | $16,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 15,000 | $16,000 | thousands by filing date | principal |
| DANAOS CORP | Y1968P105 | SHS | 3,211 | $16,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,491 | $16,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 3,233 | $16,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,250 | $16,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 2,800 | $16,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 1,110 | $15,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 792 | $15,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 125 | $15,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 280 | $15,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,050 | $15,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 896 | $15,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 1,160 | $15,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 642 | $15,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 294 | $15,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 200 | $15,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 1,274 | $15,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 500 | $15,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 368 | $15,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 140 | $15,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 625 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 560 | $15,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 400 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 448 | $15,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,419 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 774 | $15,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 637 | $15,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 729 | $15,000 | thousands by filing date | |
| Crown Castle | 228227104 | COM | 200 | $15,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 1,875 | $15,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 547 | $15,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 1,684 | $15,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 5,000 | $15,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 1,300 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 567 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 1,100 | $15,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 7,000 | $15,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 880 | $15,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 8,264 | $15,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 246 | $15,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 11,000 | $15,000 | thousands by filing date | principal |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,000 | $15,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 363 | $15,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 266 | $14,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 396 | $14,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 300 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 192 | $14,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 174 | $14,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 1,284 | $14,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 1,344 | $14,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 137 | $14,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 1,718 | $14,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 222 | $14,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 1,070 | $14,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 950 | $14,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 487 | $14,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 530 | $14,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,366 | $14,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 939 | $14,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 1,500 | $14,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 500 | $14,000 | thousands by filing date | |
| VALARIS ORD | 920355104 | COM | 197 | $14,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 2,272 | $14,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 270 | $14,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 14,000 | $14,000 | thousands by filing date | principal |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 600 | $14,000 | thousands by filing date | |
| EXTERRAN HLDGS INC | 30225X103 | COM | 400 | $14,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 450 | $14,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 564 | $14,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 4,300 | $14,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 1,179 | $14,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 1,089 | $14,000 | thousands by filing date | |
| GASTAR EXPL LTD | 367299203 | COM NEW | 2,000 | $14,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 1,006 | $14,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 1,488 | $14,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 500 | $14,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526203 | PFD CONV SER A | 2,100 | $14,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 2,000 | $13,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 300 | $13,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 64 | $13,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 348 | $13,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 402 | $13,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 249 | $13,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 135 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 190 | $13,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 2,000 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 912 | $13,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 422 | $13,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 620 | $13,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 296 | $13,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,000 | $13,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 491 | $13,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 1,000 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 200 | $13,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 151 | $13,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 200 | $13,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 11,000 | $13,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 13,000 | $13,000 | thousands by filing date | principal |
| ANIXTER INTL INC | 035290105 | COM | 145 | $13,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 606 | $13,000 | thousands by filing date | |
| FOSTER WHEELER AG | H27178104 | COM | 394 | $13,000 | thousands by filing date | |
| Susser Petroleum Partners, LP | 869239103 | LTD | 400 | $13,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 500 | $13,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 300 | $13,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 1,000 | $13,000 | thousands by filing date | |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 40,000 | $13,000 | thousands by filing date | principal |
| RR DONNELLEY + SONS CO | 257867101 | COM | 631 | $13,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 210 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 247 | $13,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 1,167 | $13,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 2,400 | $13,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 4,089 | $13,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 436 | $13,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 250 | $13,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,000 | $13,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 450 | $13,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 12,000 | $13,000 | thousands by filing date | principal |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 250 | $13,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 370 | $12,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 2,775 | $12,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 350 | $12,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 390 | $12,000 | thousands by filing date | |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 700 | $12,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 300 | $12,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,500 | $12,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 233 | $12,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 100 | $12,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 946 | $12,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 49 | $12,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 400 | $12,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 232 | $12,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 679 | $12,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 1,340 | $12,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 600 | $12,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 243 | $12,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 507 | $12,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,497 | $12,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 650 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 848 | $12,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 990 | $12,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 454 | $12,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 625 | $12,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 880 | $12,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 550 | $12,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 240 | $12,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 500 | $12,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 470 | $12,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 824 | $12,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 200 | $12,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 400 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 400 | $12,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 1,500 | $12,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 3,000 | $12,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 1,017 | $12,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 2,297 | $12,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $12,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 510 | $12,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 800 | $12,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 1,535 | $12,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 200 | $12,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 1,056 | $12,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 1,268 | $12,000 | thousands by filing date | |
| AFC ENTERPRISES INC | 00104Q107 | COM | 300 | $12,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 967 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000910472-14-000014 | this filing | 2014-01-06 | acceptance time not in the bulk data set |