13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-20, with 3,941 holding rows worth $7,711,993,000.
- Accession
- 0000910472-14-003507
- Filer
- CIK 1540235
- Filed
- 2014-08-20
- 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, 4,024 entries on the cover page, a total value of $7,711,993,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $7,711,993,000 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 |
|---|---|---|---|---|---|---|
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 2,000 | $20,000 | thousands by filing date | call |
| MOVE INC | 62458M207 | COM NEW | 1,350 | $20,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 12,300 | $20,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 568 | $20,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,363 | $20,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 400 | $20,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 875 | $20,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 1,635 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 400 | $20,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571W109 | COM SHS | 753 | $20,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 700 | $20,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 2,000 | $19,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 5,000 | $19,000 | thousands by filing date | call |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 324 | $19,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 305 | $19,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 407 | $19,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 850 | $19,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 736 | $19,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 541 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 557 | $19,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 2,140 | $19,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 460 | $19,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,503 | $19,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 540 | $19,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 250 | $19,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 465 | $19,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 325 | $19,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 1,380 | $19,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 2,500 | $19,000 | thousands by filing date | call |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 408 | $19,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 550 | $19,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 1,500 | $19,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 592 | $19,000 | thousands by filing date | |
| ASSOCIATED ESTATES RLTY CORP | 045604105 | COM | 1,072 | $19,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 1,400 | $19,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 200 | $19,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 2,590 | $19,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 7,750 | $19,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 15,000 | $19,000 | thousands by filing date | principal |
| DANAOS CORP | Y1968P105 | SHS | 3,211 | $19,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 900 | $19,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 445 | $18,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 700 | $18,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 273 | $18,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 287 | $18,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 125 | $18,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 242 | $18,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 280 | $18,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,350 | $18,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 392 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 500 | $18,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 649 | $18,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 500 | $18,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 980 | $18,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,600 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 249 | $18,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 200 | $18,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 700 | $18,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 1,000 | $18,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,400 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 413 | $18,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 16,000 | $18,000 | thousands by filing date | principal |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 1,100 | $18,000 | thousands by filing date | call |
| CZR | 127686103 | Stock | 1,000 | $18,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 1,700 | $18,000 | thousands by filing date | |
| EXTERRAN HLDGS INC | 30225X103 | COM | 400 | $18,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 705 | $18,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 322 | $18,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 204 | $18,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 7,150 | $18,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 1,000 | $18,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 1,345 | $18,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 17,000 | $18,000 | thousands by filing date | principal |
| SYNERGETICS USA INC | 87160G107 | COM | 5,938 | $18,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 861 | $18,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 500 | $18,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 4,194 | $17,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 1,646 | $17,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 10,833 | $17,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 270 | $17,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 775 | $17,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 481 | $17,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 272 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 190 | $17,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 900 | $17,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 410 | $17,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 224 | $17,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 3,000 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 443 | $17,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 600 | $17,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 1,282 | $17,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 500 | $17,000 | thousands by filing date | |
| BIOMED REALTY TRUST COM | 09063h107 | COM | 767 | $17,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 4,100 | $17,000 | thousands by filing date | call |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 294 | $17,000 | thousands by filing date | |
| VALARIS ORD | 920355104 | COM | 222 | $17,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 1,700 | $17,000 | thousands by filing date | |
| MICROS SYS INC | 594901100 | COM | 254 | $17,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 1,300 | $17,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 650 | $17,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 400 | $17,000 | thousands by filing date | |
| BROWN SHOE COMPANY INC | 115736100 | COM | 612 | $17,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 5,602 | $17,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 668 | $17,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 662 | $17,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 600 | $17,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 500 | $17,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 4,554 | $17,000 | thousands by filing date | |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 250 | $17,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 4,000 | $16,000 | thousands by filing date | call |
| Netflix, Inc | 64110L106 | COM | 800 | $16,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 10,000 | $16,000 | thousands by filing date | call |
| COSTAR GROUP INC COM | 22160N109 | Stock | 103 | $16,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 1,050 | $16,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 1,129 | $16,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 800 | $16,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 2,049 | $16,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 400 | $16,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 505 | $16,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 805 | $16,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 600 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 390 | $16,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 275 | $16,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 1,480 | $16,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 500 | $16,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,200 | $16,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 1,000 | $16,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,320 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 400 | $16,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 440 | $16,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 330 | $16,000 | thousands by filing date | |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 119 | $16,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 500 | $16,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 1,695 | $16,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 1,747 | $16,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 15,000 | $16,000 | thousands by filing date | principal |
| TEXAS | 882610108 | COMMON STOCK | 100 | $16,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 1,444 | $16,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 766 | $16,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 415 | $16,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 1,369 | $16,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 2,945 | $16,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 375 | $16,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 4,100 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 1,100 | $16,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 13,000 | $16,000 | thousands by filing date | principal |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 1,167 | $16,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 1,148 | $16,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 3,000 | $16,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 4,000 | $16,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 2,000 | $15,000 | thousands by filing date | call |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 296 | $15,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,635 | $15,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 204 | $15,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 1,160 | $15,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 243 | $15,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 354 | $15,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 539 | $15,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 750 | $15,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 1,005 | $15,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 202 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 430 | $15,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 1,070 | $15,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 600 | $15,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 300 | $15,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 500 | $15,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 600 | $15,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 6,000 | $15,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 550 | $15,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 600 | $15,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 892 | $15,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 1,373 | $15,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 153 | $15,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 4,092 | $15,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 655 | $15,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 710 | $15,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 2,000 | $15,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 705 | $15,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 14,000 | $15,000 | thousands by filing date | principal |
| PRIMERO MNG CORP | 74164W106 | COM | 1,931 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 550 | $15,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 1,490 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 600 | $15,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 500 | $15,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 33,000 | $15,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 1,000 | $15,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 11,000 | $15,000 | thousands by filing date | principal |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 14,000 | $15,000 | thousands by filing date | principal |
| Schwab US REIT ETF | 808524847 | SHS | 387 | $14,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 3,890 | $14,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 291 | $14,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 300 | $14,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 921 | $14,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 640 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 409 | $14,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 49 | $14,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 642 | $14,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 150 | $14,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 566 | $14,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 487 | $14,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 472 | $14,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 759 | $14,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,000 | $14,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 690 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 423 | $14,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 500 | $14,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 3,000 | $14,000 | thousands by filing date | call |
| CHICOS FAS INC | 168615102 | COM | 803 | $14,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 1,500 | $14,000 | thousands by filing date | |
| ZEP INC | 98944B108 | COMMON STOCK | 815 | $14,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 606 | $14,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 14,000 | $14,000 | thousands by filing date | principal |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 1,615 | $14,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 450 | $14,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 969 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 247 | $14,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 4,050 | $14,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 851 | $14,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 13,000 | $14,000 | thousands by filing date | principal |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 1,000 | $14,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 30,000 | $14,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 700 | $14,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,000 | $14,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 2,222 | $14,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,000 | $13,000 | thousands by filing date | |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 700 | $13,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 2,000 | $13,000 | thousands by filing date | call |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 286 | $13,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 233 | $13,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 925 | $13,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 532 | $13,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 800 | $13,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 300 | $13,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 1,780 | $13,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 400 | $13,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 1,000 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 1,000 | $13,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 500 | $13,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 396 | $13,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 487 | $13,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 400 | $13,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 514 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 500 | $13,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,007 | $13,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,000 | $13,000 | thousands by filing date | call |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 462 | $13,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 4,000 | $13,000 | thousands by filing date | call |
| O-I GLASS, INC. | 690768403 | COM | 380 | $13,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $13,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 920 | $13,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 1,891 | $13,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 204 | $13,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 1,819 | $13,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,000 | $13,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 1,167 | $13,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 695 | $13,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 6,468 | $13,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 2,039 | $13,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 4,089 | $13,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 150 | $13,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 200 | $13,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 5,000 | $13,000 | thousands by filing date | principal |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 436 | $13,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 917 | $13,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 1,200 | $13,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,000 | $12,000 | thousands by filing date | call |
| EPAM SYS INC COM | 29414B104 | Stock | 4,000 | $12,000 | thousands by filing date | call |
| SOUTHERN COPPER CORP | 84265V105 | COM | 3,000 | $12,000 | thousands by filing date | call |
| EASTMAN KODAK CO | 277461406 | COM NEW | 500 | $12,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 397 | $12,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 122 | $12,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 508 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 780 | $12,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 406 | $12,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 625 | $12,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 1,000 | $12,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 753 | $12,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 290 | $12,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,000 | $12,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 1,432 | $12,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 507 | $12,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 504 | $12,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 148 | $12,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 1,500 | $12,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 304 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 860 | $12,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 4,620 | $12,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 500 | $12,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 146 | $12,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 700 | $12,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 459 | $12,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 900 | $12,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 1,300 | $12,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 2,000 | $12,000 | thousands by filing date | call |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 900 | $12,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 500 | $12,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 1,156 | $12,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 500 | $12,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 257 | $12,000 | thousands by filing date | |
| GREATBATCH INC | 39153L106 | COM | 250 | $12,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 315 | $12,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 742 | $12,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 13,500 | $12,000 | thousands by filing date | call |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 3,000 | $12,000 | thousands by filing date | call |
| LUCAS ENERGY INC | 549333201 | COM NEW | 20,000 | $12,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 481 | $12,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 194 | $12,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526203 | PFD CONV SER A | 2,100 | $12,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,000 | $12,000 | thousands by filing date | call |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 11,000 | $12,000 | thousands by filing date | principal |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 1,000 | $12,000 | thousands by filing date | |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 7,000 | $12,000 | thousands by filing date | principal |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 290 | $11,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 1,000 | $11,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 4,300 | $11,000 | thousands by filing date | call |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 700 | $11,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 94 | $11,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 639 | $11,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 395 | $11,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 200 | $11,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 630 | $11,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 300 | $11,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 491 | $11,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 256 | $11,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 850 | $11,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 500 | $11,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,112 | $11,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 1,400 | $11,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 675 | $11,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 100 | $11,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 1,400 | $11,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 421 | $11,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 1,535 | $11,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 11,000 | $11,000 | thousands by filing date | principal |
| RPX CORP | 74972G103 | COM | 600 | $11,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 2,911 | $11,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 6,000 | $11,000 | thousands by filing date | call |
| HOME PROPERTIES INC | 437306103 | COM | 176 | $11,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 410 | $11,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 2,700 | $11,000 | thousands by filing date | call |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 500 | $11,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 1,000 | $11,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 900 | $11,000 | thousands by filing date | |
| UNS ENERGY CORP | 903119105 | COM | 183 | $11,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 400 | $11,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 880 | $11,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 18,000 | $11,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 1,000 | $11,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 400 | $11,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 400 | $11,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 700 | $11,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,000 | $11,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 11,000 | $11,000 | thousands by filing date | principal |
| NEW YORK REIT INC | 64976L109 | COM | 1,000 | $11,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 10,000 | $11,000 | thousands by filing date | principal |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 11,000 | $11,000 | thousands by filing date | principal |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $11,000 | thousands by filing date | principal |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 417 | $10,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 8,000 | $10,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 3,150 | $10,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 200 | $10,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 300 | $10,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 169 | $10,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 200 | $10,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 805 | $10,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 145 | $10,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 900 | $10,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 151 | $10,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 125 | $10,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 2,000 | $10,000 | thousands by filing date | call |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 2,000 | $10,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 2,800 | $10,000 | thousands by filing date | call |
| MITEK SYS INC | 606710200 | COM NEW | 3,000 | $10,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 397 | $10,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 326 | $10,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 316 | $10,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 900 | $10,000 | thousands by filing date | call |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 810 | $10,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 193 | $10,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 500 | $10,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 500 | $10,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 583 | $10,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 700 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 387 | $10,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 1,712 | $10,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 600 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 310 | $10,000 | thousands by filing date | |
| BALLY TECHNOLOGIES | 05874B107 | COMMON STOCK | 150 | $10,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 1,300 | $10,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 600 | $10,000 | thousands by filing date | |
| FOSTER WHEELER AG | H27178104 | COM | 300 | $10,000 | thousands by filing date | |
| TW TELECOM INC | 87311L104 | COM | 250 | $10,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 10,000 | $10,000 | thousands by filing date | principal |
| OM GROUP INC | 670872100 | COM | 320 | $10,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 1,000 | $10,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 10,000 | $10,000 | thousands by filing date | principal |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 1,000 | $10,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 2,000 | $10,000 | thousands by filing date | |
| TOWER GROUP INTERNATIONAL LT | G8988C105 | COM | 5,551 | $10,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 194 | $10,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 921 | $10,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 585 | $10,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 200 | $10,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 707 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 300 | $10,000 | thousands by filing date | |
| CHINA HYDROELECTRIC CP-ADS | 16949D101 | COM | 2,766 | $10,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 107 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 9,000 | $10,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 9,000 | $10,000 | thousands by filing date | principal |
| CSX CORP | 126408GA5 | US DOMESTIC | 3,000 | $10,000 | thousands by filing date | principal |
| CHIPOTLE MEXICAN GRILL INC | 73937B738 | COM | 200 | $10,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 2,286 | $10,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 10,000 | $10,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 8,000 | $10,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 9,000 | $10,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 9,000 | $10,000 | thousands by filing date | principal |
| ConocoPhillips | 20825C104 | COM | 2,000 | $9,000 | thousands by filing date | call |
| ISHARES TR | 464287523 | COM | 100 | $9,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 1,000 | $9,000 | thousands by filing date | call |
| SPY | 78462F103 | SHS | 15,800 | $9,000 | thousands by filing date | put |
| T-Mobile US,Inc. | 872590104 | COM | 270 | $9,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 100 | $9,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 600 | $9,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 2,000 | $9,000 | thousands by filing date | call |
| PTC INC COM | 69370C100 | Stock | 234 | $9,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 256 | $9,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 13 | $9,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 1,200 | $9,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 200 | $9,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 235 | $9,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 2,000 | $9,000 | thousands by filing date | call |
| WISDOMTREE INC | 97717P104 | COM | 730 | $9,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 335 | $9,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 129 | $9,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 500 | $9,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 600 | $9,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 145 | $9,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 607 | $9,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 584 | $9,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,000 | $9,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 641 | $9,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,000 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 250 | $9,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 204 | $9,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 649 | $9,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 1,000 | $9,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 400 | $9,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 300 | $9,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 631 | $9,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 194 | $9,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 431 | $9,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 10,000 | $9,000 | thousands by filing date | call |
| CHEMTURA CORP | 163893209 | COM NEW | 358 | $9,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 200 | $9,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 2,800 | $9,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 255 | $9,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 100 | $9,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 1,200 | $9,000 | thousands by filing date | call |
| RUBICON MINERALS CORP | 780911103 | COM | 5,800 | $9,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 180 | $9,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 7,000 | $9,000 | thousands by filing date | principal |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 5,100 | $9,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 134 | $9,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 1,000 | $9,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 589 | $9,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,112 | $9,000 | thousands by filing date | |
| AMERN STRATEGIC INCOME PTFL | 030099105 | COM | 977 | $9,000 | thousands by filing date | |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 500 | $9,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 300 | $9,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 428 | $9,000 | thousands by filing date | |
| DB-X FUNDS | 233052208 | XTRAK 2020TGT DT | 316 | $9,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 700 | $9,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,000 | $9,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 900 | $9,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 9,000 | $9,000 | thousands by filing date | principal |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 8,000 | $9,000 | thousands by filing date | principal |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 633 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 110 | $8,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 100 | $8,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 357 | $8,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 200 | $8,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 496 | $8,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 300 | $8,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 151 | $8,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 5,000 | $8,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,000 | $8,000 | thousands by filing date | call |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 309 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 320 | $8,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 200 | $8,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 150 | $8,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 178 | $8,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 213 | $8,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 200 | $8,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 367 | $8,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 100 | $8,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 975 | $8,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 1,000 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000910472-14-003507 | this filing | 2014-08-20 | acceptance time not in the bulk data set |