13F-HR filed by Tortoise Investment Management, LLC
Tortoise Investment Management, LLC filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-07-29, with 441 holding rows worth $239,541,000.
- Accession
- 0000910472-14-003168
- Filer
- CIK 1599511
- Filed
- 2014-07-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A holdings report, 456 entries on the cover page, a total value of $239,541,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $239,541,000 with VALUE read as thousands by filing date, 13F file number 028-15827. 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 |
|---|---|---|---|---|---|---|
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 154,562 | $30,449,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 639,546 | $13,111,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 481,445 | $10,366,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 51,216 | $10,024,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 725,394 | $9,764,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 163,736 | $8,465,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 285,831 | $8,381,000 | thousands by filing date | |
| KINDER MORGAN MANAGEMENT LLC | 49455U100 | SHS | 100,967 | $7,969,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 1,160,910 | $7,291,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 62,079 | $6,836,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 415,264 | $5,702,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 91,140 | $4,823,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 68,917 | $4,712,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 85,936 | $4,541,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 71,073 | $4,421,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 25,191 | $4,229,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 326,379 | $4,204,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 67,029 | $4,078,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 86,769 | $3,751,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 32,144 | $3,603,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 142,634 | $3,520,000 | thousands by filing date | |
| PIMCO BUILD | 72201R825 | BLD AMER BD FD | 57,372 | $2,951,000 | thousands by filing date | |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 120,050 | $2,843,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 24,554 | $2,834,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 22,397 | $2,490,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 30,086 | $2,418,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 100,354 | $2,409,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 18,868 | $2,388,000 | thousands by filing date | |
| SHYD | 57061R486 | ETF | 82,945 | $2,106,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 16,600 | $1,804,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 72,313 | $1,607,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 35,305 | $1,592,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 21,384 | $1,385,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 27,500 | $1,375,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 27,615 | $1,293,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 80,180 | $1,290,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 6,920 | $1,254,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 88,050 | $1,224,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 118,283 | $1,154,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 26,423 | $1,140,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 36,708 | $1,131,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 78,500 | $1,105,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 20,049 | $1,048,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 11,104 | $1,032,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 20,001 | $1,006,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 9,955 | $1,002,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 8,389 | $997,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 32,500 | $846,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 8,084 | $819,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 16,982 | $815,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 13,700 | $804,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 5,896 | $750,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 48,558 | $664,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 10,665 | $636,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 5,830 | $610,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R700 | 7-15 YR US TRS | 7,020 | $585,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 6,464 | $577,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 23,200 | $577,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 3 | $570,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 26,428 | $563,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 9,665 | $559,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 6,365 | $520,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 10,551 | $507,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 6,516 | $489,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 5,616 | $441,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 4,416 | $440,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 5,723 | $428,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 4,572 | $412,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 13,025 | $403,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 28,762 | $391,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 4,395 | $380,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 27,594 | $377,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 3,438 | $356,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 13,970 | $352,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 4,000 | $338,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 24,610 | $333,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 3,000 | $331,000 | thousands by filing date | |
| IJH | 464287507 | COM | 2,301 | $329,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 12,224 | $321,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 2,900 | $319,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 2,391 | $312,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 23,150 | $299,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 21,200 | $290,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 21,603 | $288,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 2,553 | $279,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 2,934 | $279,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 3,240 | $269,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 5,102 | $264,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 7,692 | $264,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 6,538 | $261,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 3,086 | $241,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 3,253 | $234,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 22,938 | $232,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 3,947 | $229,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 5,150 | $228,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 5,050 | $209,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 6,266 | $207,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 5,698 | $206,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 4,805 | $201,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 10,100 | $196,000 | thousands by filing date | |
| VTI | 922908769 | COM | 1,874 | $191,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 1,654 | $191,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 12,800 | $189,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 3,772 | $183,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 3,287 | $180,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 5,580 | $179,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 2,400 | $178,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 3,667 | $175,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 7,500 | $171,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 5,100 | $169,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 3,390 | $169,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 3,000 | $168,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,400 | $166,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 1,400 | $162,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 11,125 | $157,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 1,475 | $156,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,310 | $155,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,710 | $147,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 2,785 | $145,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 2,463 | $142,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,499 | $141,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 850 | $138,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 1,979 | $135,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 3,142 | $131,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 915 | $131,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 1,700 | $130,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 4,359 | $129,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 1,400 | $129,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 1,468 | $129,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 3,587 | $127,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,875 | $126,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 2,900 | $126,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 1,555 | $126,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 1,328 | $123,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 1,465 | $119,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 2,485 | $118,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 1,639 | $116,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 2,491 | $114,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 1,158 | $112,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 1,300 | $112,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 936 | $111,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 931 | $110,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 6,230 | $108,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 1,412 | $107,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 892 | $106,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 800 | $106,000 | thousands by filing date | |
| DIRECTV | 25490A309 | COM | 1,234 | $105,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 1,140 | $105,000 | thousands by filing date | |
| PALL CORP | 696429307 | COM | 1,200 | $102,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 1,909 | $102,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 1,324 | $101,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 1,364 | $101,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 5,300 | $101,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 1,016 | $100,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 3,600 | $98,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 1,128 | $97,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 1,000 | $97,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 1,100 | $96,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 880 | $96,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 808 | $95,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 800 | $94,000 | thousands by filing date | |
| HILLSHIRE BRANDS CO | 432589109 | COM | 1,512 | $94,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 900 | $93,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 1,514 | $90,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 1,258 | $87,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 2,934 | $86,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 1,780 | $85,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 3,250 | $84,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 2,218 | $83,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 3,100 | $83,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,800 | $82,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 1,153 | $81,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 1,400 | $79,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 1,000 | $79,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 500 | $79,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 2,000 | $79,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 885 | $78,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 900 | $78,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 1,063 | $76,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 1,000 | $74,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 1,574 | $74,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 1,306 | $73,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 750 | $73,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 1,096 | $72,000 | thousands by filing date | |
| DENTSPLY INTL INC | 249030107 | COM | 1,500 | $71,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 1,015 | $69,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 5,000 | $69,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 1,539 | $65,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 1,030 | $64,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 1,055 | $64,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 4,500 | $64,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 535 | $62,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 18,900 | $62,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 1,800 | $62,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 3,000 | $62,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 498 | $62,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 800 | $60,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,426 | $58,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 551 | $58,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 500 | $58,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 4,000 | $58,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 3,700 | $57,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 818 | $56,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 1,309 | $55,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 1,000 | $54,000 | thousands by filing date | |
| ISHARES TR | 46429B382 | MSCI EMKT LATN | 1,200 | $54,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 1,117 | $53,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 439 | $51,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 850 | $51,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 516 | $51,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 400 | $50,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 600 | $49,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 517 | $47,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 531 | $45,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 500 | $45,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 3,000 | $45,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 6,000 | $45,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 600 | $44,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 859 | $44,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 479 | $43,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 550 | $43,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 657 | $43,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 720 | $41,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 661 | $41,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 511 | $41,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 516 | $40,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 797 | $39,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 376 | $39,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 1,376 | $39,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 300 | $38,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 498 | $38,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 590 | $37,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 350 | $37,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 500 | $37,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 500 | $37,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 137 | $36,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 500 | $36,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 2,200 | $34,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 2,150 | $34,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 300 | $33,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,000 | $33,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 1,020 | $33,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 316 | $32,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 500 | $32,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 1,000 | $31,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 750 | $31,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 325 | $31,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 700 | $31,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 1,711 | $30,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 869 | $30,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 500 | $30,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 1,200 | $30,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 265 | $29,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 486 | $29,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,300 | $29,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 500 | $27,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 500 | $26,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 333 | $25,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 307 | $25,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 500 | $25,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 430 | $25,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 1,000 | $24,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 475 | $24,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 510 | $23,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 408 | $22,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 1,000 | $22,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 1,200 | $22,000 | thousands by filing date | |
| 38259p508 | COM | 37 | $22,000 | thousands by filing date | ||
| American Express Company | 025816109 | COM | 217 | $21,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 265 | $21,000 | thousands by filing date | |
| Equinix, Inc. | 29444U502 | EQIX | 100 | $21,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 290 | $21,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 200 | $20,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 25,000 | $20,000 | thousands by filing date | put |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 156 | $19,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 124 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 240 | $19,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 1,000 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 342 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 500 | $18,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 320 | $18,000 | thousands by filing date | |
| GOOGLE INC | 38259P706 | CL C | 32 | $18,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 250 | $18,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 166 | $17,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 150 | $17,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 750 | $17,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 145 | $16,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 540 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 468 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 394 | $16,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 600 | $16,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 250 | $16,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 250 | $15,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 180 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 300 | $15,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 528 | $15,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 175 | $14,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 80 | $14,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 120 | $13,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 100 | $13,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 312 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 285 | $13,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 80 | $12,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 165 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 581 | $12,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 4,234 | $12,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 1,000 | $12,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 250 | $12,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 160 | $12,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 200 | $11,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 298 | $11,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 1,000 | $11,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 110 | $10,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 182 | $10,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 120 | $10,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 95 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 709 | $10,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 361 | $10,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 150 | $9,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 98 | $9,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 200 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 77 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 150 | $9,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 68 | $9,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 44 | $8,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 230 | $8,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 344 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 246 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 103 | $8,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 210 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 300 | $8,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 300 | $8,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 21 | $7,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 224 | $7,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 169 | $7,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 123 | $7,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 100 | $7,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 201 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 306 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 198 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 190 | $7,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 100 | $7,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 200 | $7,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 5 | $7,000 | thousands by filing date | |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 100 | $7,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 82 | $6,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 111 | $6,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 105 | $6,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 90 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 248 | $6,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 125 | $6,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 111 | $6,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 53 | $5,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 200 | $5,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 300 | $5,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 104 | $5,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 250 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 124 | $5,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 101 | $5,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 100 | $4,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 200 | $4,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 36 | $4,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 50 | $4,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 100 | $4,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 6 | $3,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 89 | $3,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 26 | $3,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 30 | $3,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 42 | $3,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 100 | $3,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 30 | $3,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 47 | $3,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 375 | $3,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 200 | $3,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 360 | $3,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 30 | $2,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 50 | $2,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 30 | $2,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 25 | $2,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 100 | $2,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 20 | $2,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 18 | $2,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 30 | $2,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 35 | $2,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 1,200 | $2,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 500 | $2,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 2,000 | $2,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 400 | $2,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 159 | $2,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 61 | $2,000 | thousands by filing date | |
| CON-WAY INC | 205944101 | COM | 33 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 1,000 | $2,000 | thousands by filing date | call |
| SPDR SER TR | 78468R846 | BRCLY HGH YIEL | 79 | $2,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 40 | $1,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 6 | $1,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 2,700 | $1,000 | thousands by filing date | put |
| WALGREEN CO | 931422109 | COM | 1,500 | $1,000 | thousands by filing date | put |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 73 | $1,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 15 | $1,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 30 | $1,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 14 | $1,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 28 | $1,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 11 | $1,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 13 | $1,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 9 | $1,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 35 | $1,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 22 | $1,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 10 | $1,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 15 | $1,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 26 | $1,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 10 | $1,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 11 | $1,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 11 | $1,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 28 | $1,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 30 | $1,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 20 | $1,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 35 | $1,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 45 | $1,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 141 | $1,000 | thousands by filing date | |
| BAXANO SURGICAL | 071773105 | COM | 2,000 | $1,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MURPHY USA INC COM | 626755102 | Stock | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STATES STL CORP NEW | 912909108 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANOFI | 80105N113 | COMMON STOCK-FO | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Walter Energy Inc | 93317Q105 | COM | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WALTER INVT MGMT CORP | 93317W102 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UQM TECHNOLOGIES INC | 903213106 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIME INC NEW | 887228104 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000910472-14-003168 | this filing | 2014-07-29 | acceptance time not in the bulk data set |