13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-10-10, with 4,180 holding rows worth $8,621,098,000.
- Accession
- 0000910472-14-004539
- Filer
- CIK 1540235
- Filed
- 2014-10-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 4,288 entries on the cover page, a total value of $8,621,098,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $8,621,098,000 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 |
|---|---|---|---|---|---|---|
| AG MTG INVT TR INC | 001228105 | COM | 1,262 | $22,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 10,500 | $22,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 5,900 | $22,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 900 | $22,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 660 | $22,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 6,600 | $21,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 1,653 | $21,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 592 | $21,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 2,500 | $21,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 287 | $21,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 452 | $21,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 500 | $21,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 79 | $21,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 650 | $21,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 1,200 | $21,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 862 | $21,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 1,420 | $21,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 1,968 | $21,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 481 | $21,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 319 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 350 | $21,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 600 | $21,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 2,600 | $21,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 2,000 | $21,000 | thousands by filing date | call |
| BBCN BANCORP INC | 073295107 | COM | 1,469 | $21,000 | thousands by filing date | |
| MWI VETERINARY SUPPLY INC | 55402X105 | COM | 142 | $21,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 796 | $21,000 | thousands by filing date | |
| PROTECTIVE LIFE CORP | 743674103 | COM | 300 | $21,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 265 | $21,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 2,270 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 638 | $21,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 689 | $21,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 3,497 | $21,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 1,700 | $21,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 3,100 | $21,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 350 | $20,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 340 | $20,000 | thousands by filing date | |
| TELEFLEX INCORPORATED | 879369106 | COM | 191 | $20,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 560 | $20,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 1,000 | $20,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 1,130 | $20,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,262 | $20,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 800 | $20,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 456 | $20,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 996 | $20,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 906 | $20,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 900 | $20,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 28,400 | $20,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 500 | $20,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 655 | $20,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 1,146 | $20,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 2,050 | $20,000 | thousands by filing date | |
| ZEP INC | 98944B108 | COMMON STOCK | 1,398 | $20,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 1,037 | $20,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 2,500 | $20,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 630 | $20,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 10,000 | $20,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 2,710 | $20,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 2,000 | $20,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 300 | $20,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 1,250 | $20,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 1,200 | $20,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 5,938 | $20,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 897 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 400 | $20,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 1,250 | $20,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571W109 | COM SHS | 761 | $20,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 200 | $19,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 600 | $19,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 270 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 633 | $19,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 894 | $19,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 700 | $19,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 1,380 | $19,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,517 | $19,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 700 | $19,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 2,879 | $19,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 4,000 | $19,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 560 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 496 | $19,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 100 | $19,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 5,300 | $19,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 17,275 | $19,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 1,149 | $19,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 2,700 | $19,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 1,062 | $19,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 908 | $19,000 | thousands by filing date | |
| ADVISORY BOARD CO/THE | 00762W107 | Domestic Common | 400 | $19,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 1,400 | $19,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 1,000 | $19,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,363 | $19,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 668 | $19,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 260 | $19,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 3,000 | $19,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 700 | $19,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 200 | $18,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,000 | $18,000 | thousands by filing date | call |
| BP PLC SPONSORED ADR | 055622104 | ADR | 84,000 | $18,000 | thousands by filing date | call |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 371 | $18,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 850 | $18,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 1,707 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 500 | $18,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 395 | $18,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 500 | $18,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,095 | $18,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 194 | $18,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 883 | $18,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,000 | $18,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 1,116 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 529 | $18,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 2,636 | $18,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 1,915 | $18,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 725 | $18,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 1,405 | $18,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 1,673 | $18,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 5,192 | $18,000 | thousands by filing date | |
| EXTERRAN HLDGS INC | 30225X103 | COM | 400 | $18,000 | thousands by filing date | |
| THORATEC CORP | 885175307 | COM | 678 | $18,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 1,367 | $18,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 31,900 | $18,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 9,100 | $18,000 | thousands by filing date | |
| DAWSON GEOPHYSICAL CO | 239359102 | COM | 1,000 | $18,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 2,400 | $18,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 2,000 | $18,000 | thousands by filing date | |
| Market Vectors Small Cap India | 57061r551 | COM | 400 | $18,000 | thousands by filing date | |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 250 | $18,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 20,000 | $18,000 | thousands by filing date | principal |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 7,338 | $18,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 1,000 | $17,000 | thousands by filing date | call |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 1,000 | $17,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 4,300 | $17,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 299 | $17,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,503 | $17,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 352 | $17,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,600 | $17,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 906 | $17,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 2,500 | $17,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 3,471 | $17,000 | thousands by filing date | |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 119 | $17,000 | thousands by filing date | |
| BIOMED REALTY TRUST COM | 09063h107 | COM | 821 | $17,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 16,000 | $17,000 | thousands by filing date | principal |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 2,300 | $17,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 342 | $17,000 | thousands by filing date | |
| ACTAVIS PLC | G0083B108 | SHS | 500 | $17,000 | thousands by filing date | call |
| COTT CORP QUE | 22163N106 | COM | 2,543 | $17,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 5,000 | $17,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 2,241 | $17,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 1,400 | $17,000 | thousands by filing date | |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 1,000 | $17,000 | thousands by filing date | |
| BROWN SHOE COMPANY INC | 115736100 | COM | 613 | $17,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 1,000 | $17,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 1,192 | $17,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 2,119 | $17,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 600 | $17,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 4,089 | $17,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 4,946 | $17,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 861 | $17,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 1,090 | $17,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 500 | $17,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 5,000 | $17,000 | thousands by filing date | principal |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 17,500 | $17,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526203 | PFD CONV SER A | 2,100 | $17,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 600 | $17,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 800 | $16,000 | thousands by filing date | call |
| CNH INDL N V SHS | N20944109 | Stock | 2,028 | $16,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 4,000 | $16,000 | thousands by filing date | call |
| TARGET CORP COM | 87612E106 | Stock | 6,000 | $16,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,350 | $16,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 1,800 | $16,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 376 | $16,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 272 | $16,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 600 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 190 | $16,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 250 | $16,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 255 | $16,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 5,950 | $16,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 1,007 | $16,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 224 | $16,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 390 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 443 | $16,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,400 | $16,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 500 | $16,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $16,000 | thousands by filing date | principal |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 1,695 | $16,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 642 | $16,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 423 | $16,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D571 | EXCHANGE TRADED | 1,000 | $16,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 1,000 | $16,000 | thousands by filing date | |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 600 | $16,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 1,300 | $16,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 11,227 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 1,100 | $16,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 20,000 | $16,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 15,000 | $16,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 15,000 | $16,000 | thousands by filing date | principal |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 662 | $16,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 13,000 | $16,000 | thousands by filing date | principal |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 1,205 | $16,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 4,399 | $15,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,000 | $15,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 2,000 | $15,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 775 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 180 | $15,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 742 | $15,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 354 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 252 | $15,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 539 | $15,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 275 | $15,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 733 | $15,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 1,000 | $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 | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,320 | $15,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 682 | $15,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 500 | $15,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 1,708 | $15,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 450 | $15,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 767 | $15,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 650 | $15,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 3,212 | $15,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 3,000 | $15,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 322 | $15,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 1,200 | $15,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 502 | $15,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 400 | $15,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 262 | $15,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 200 | $15,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 13,000 | $15,000 | thousands by filing date | principal |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 4,100 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 397 | $15,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 800 | $15,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 14,000 | $15,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 8,000 | $15,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,500 | $15,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 1,129 | $15,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 600 | $15,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 1,650 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 157 | $14,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 1,000 | $14,000 | thousands by filing date | call |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 337 | $14,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 11,033 | $14,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 204 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 409 | $14,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 350 | $14,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 649 | $14,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 618 | $14,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 725 | $14,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 332 | $14,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 400 | $14,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 400 | $14,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 1,154 | $14,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 203 | $14,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 847 | $14,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,050 | $14,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 442 | $14,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 518 | $14,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 320 | $14,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 13,000 | $14,000 | thousands by filing date | principal |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 7,000 | $14,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 1,700 | $14,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 127 | $14,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 1,650 | $14,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 700 | $14,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 606 | $14,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 375 | $14,000 | thousands by filing date | |
| FOSTER WHEELER AG | H27178104 | COM | 450 | $14,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 14,000 | $14,000 | thousands by filing date | principal |
| CASH AMER INTL INC | 14754D100 | COM | 325 | $14,000 | thousands by filing date | |
| LEXMARK INTL NEW | 529771107 | CL A | 320 | $14,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 178 | $14,000 | thousands by filing date | |
| SOLARWINDS INC | 83416B109 | COM | 339 | $14,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 550 | $14,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 1,490 | $14,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 10,200 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 247 | $14,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 1,175 | $14,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 1,667 | $14,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 7,750 | $14,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 528 | $14,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 4,000 | $14,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 11,000 | $14,000 | thousands by filing date | principal |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 3,890 | $13,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 215 | $13,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 1,000 | $13,000 | thousands by filing date | call |
| ARAMARK COM | 03852U106 | Stock | 500 | $13,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 925 | $13,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 585 | $13,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 1,000 | $13,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 150 | $13,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 487 | $13,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 800 | $13,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 472 | $13,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 1,797 | $13,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 759 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 1,000 | $13,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 340 | $13,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,000 | $13,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 296 | $13,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 800 | $13,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 530 | $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 | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 500 | $13,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,011 | $13,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 443 | $13,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 10 | $13,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 1,373 | $13,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 1,000 | $13,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 1,310 | $13,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 1,400 | $13,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 153 | $13,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 600 | $13,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 500 | $13,000 | thousands by filing date | |
| BABCOCK & WILCOX CO NEW | 05615F102 | COM | 471 | $13,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 3,762 | $13,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 2,000 | $13,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 4,600 | $13,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 1,000 | $13,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 4,500 | $13,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 880 | $13,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,000 | $13,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 1,100 | $13,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 150 | $13,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 190 | $13,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 250 | $13,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 186 | $13,000 | thousands by filing date | |
| ISHARES TR | 464289701 | S&P TARGET 35 | 290 | $13,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 13,000 | $13,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 800 | $13,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 14,000 | $13,000 | thousands by filing date | principal |
| GENERAL ELEC CO | 369604103 | COM | 10,100 | $12,000 | thousands by filing date | call |
| WALKER&DUNLOPINC | 93148P102 | STOK | 900 | $12,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 300 | $12,000 | thousands by filing date | |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 700 | $12,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 102 | $12,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 2,000 | $12,000 | thousands by filing date | call |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 167 | $12,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 397 | $12,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 275 | $12,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 122 | $12,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 320 | $12,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 483 | $12,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 50 | $12,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 772 | $12,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 400 | $12,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 600 | $12,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 948 | $12,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 300 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 167 | $12,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 500 | $12,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 488 | $12,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 1,300 | $12,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 602 | $12,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 900 | $12,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $12,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 360 | $12,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 920 | $12,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 455 | $12,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 410 | $12,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 299 | $12,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 2,000 | $12,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 882 | $12,000 | thousands by filing date | |
| MADISON SQUARE GARDEN CO | 55826P100 | CL A | 174 | $12,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 450 | $12,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 1,819 | $12,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 10,165 | $12,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 1,167 | $12,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 481 | $12,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 1,635 | $12,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 200 | $12,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 1,000 | $12,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 1,400 | $12,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 927 | $12,000 | thousands by filing date | |
| TEKMIRA PHARMACEUTICALS COR | 87911B209 | COM NEW | 550 | $12,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 5,500 | $12,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 12,000 | $12,000 | thousands by filing date | principal |
| NEOSTEM INC | 640650404 | Common equity shares | 2,222 | $12,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 340 | $12,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 227 | $11,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 350 | $11,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 6,000 | $11,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 1,600 | $11,000 | thousands by filing date | call |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 982 | $11,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 1,105 | $11,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 1,343 | $11,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 153 | $11,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 132 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 500 | $11,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 778 | $11,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 521 | $11,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 395 | $11,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 373 | $11,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 381 | $11,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 885 | $11,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 625 | $11,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 300 | $11,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 857 | $11,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 1,000 | $11,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 300 | $11,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 753 | $11,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 257 | $11,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 800 | $11,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 456 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 860 | $11,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 205 | $11,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 500 | $11,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 768 | $11,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 146 | $11,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 3,510 | $11,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 421 | $11,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 4,384 | $11,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 1,000 | $11,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 295 | $11,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 244 | $11,000 | thousands by filing date | |
| GREATBATCH INC | 39153L106 | COM | 250 | $11,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 535 | $11,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 698 | $11,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 1,000 | $11,000 | thousands by filing date | |
| CYTEC INDS INC | 232820100 | COM | 242 | $11,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 200 | $11,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 2,039 | $11,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 750 | $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 | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 900 | $11,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 417 | $10,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 290 | $10,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 259 | $10,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 199 | $10,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 1,000 | $10,000 | thousands by filing date | call |
| PAYCHEX INC | 704326107 | COM | 5,000 | $10,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 5,150 | $10,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 200 | $10,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 300 | $10,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 209 | $10,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 100 | $10,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 2,000 | $10,000 | thousands by filing date | call |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 1,201 | $10,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 233 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 220 | $10,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 530 | $10,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 419 | $10,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 185 | $10,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 400 | $10,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 1,400 | $10,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 400 | $10,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 993 | $10,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 400 | $10,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 500 | $10,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,112 | $10,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,000 | $10,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 4,620 | $10,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 583 | $10,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 750 | $10,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 1,200 | $10,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 729 | $10,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 500 | $10,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 14,290 | $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 |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 101 | $10,000 | thousands by filing date | |
| HOME PROPERTIES INC | 437306103 | COM | 178 | $10,000 | thousands by filing date | |
| IHS INC | 451734107 | CL A | 77 | $10,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 500 | $10,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 2,000 | $10,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 390 | $10,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 1,290 | $10,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 33,000 | $10,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 698 | $10,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 10,100 | $10,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 1,000 | $10,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 585 | $10,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 400 | $10,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 32,100 | $10,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 4,634 | $10,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 127 | $10,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 4,419 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 9,000 | $10,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 300 | $10,000 | thousands by filing date | |
| CSX CORP | 126408GA5 | US DOMESTIC | 3,000 | $10,000 | thousands by filing date | principal |
| VOXELJET AG | 92912L107 | ADS | 750 | $10,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 1,000 | $10,000 | thousands by filing date | |
| Janus Velocity Tail Risk Hdgd Lg Cp ETF | 00162Q817 | com | 350 | $10,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 2,000 | $9,000 | thousands by filing date | call |
| ISHARES TR | 464287523 | COM | 100 | $9,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 2,900 | $9,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 2,000 | $9,000 | thousands by filing date | call |
| GORMAN RUPP CO COM | 383082104 | Stock | 300 | $9,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 300 | $9,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 234 | $9,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 454 | $9,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 13 | $9,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 404 | $9,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 46 | $9,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 158 | $9,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 94 | $9,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 2,000 | $9,000 | thousands by filing date | call |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 500 | $9,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 1,000 | $9,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000910472-14-004539 | this filing | 2014-10-10 | acceptance time not in the bulk data set |