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 |
|---|---|---|---|---|---|---|
| BUNGE LTD | G16962105 | COM | 103 | $9,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 380 | $9,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 329 | $9,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 1,500 | $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 | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 272 | $9,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 282 | $9,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 300 | $9,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 397 | $9,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 645 | $9,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 491 | $9,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 667 | $9,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 1,570 | $9,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 600 | $9,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 810 | $9,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,000 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 297 | $9,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 649 | $9,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 4,300 | $9,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 600 | $9,000 | thousands by filing date | |
| Waste Connections | 941053100 | COM | 182 | $9,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 3,945 | $9,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 2,700 | $9,000 | thousands by filing date | call |
| FRESH MKT INC | 35804H106 | COM | 255 | $9,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 1,000 | $9,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 5,000 | $9,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 1,500 | $9,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 660 | $9,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 194 | $9,000 | thousands by filing date | |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 300 | $9,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 933 | $9,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 969 | $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 |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 200 | $9,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 14,893 | $9,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 134 | $9,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 2,700 | $9,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,212 | $9,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 20,000 | $9,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 3,000 | $9,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 500 | $9,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 500 | $9,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 3,000 | $9,000 | thousands by filing date | principal |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 200 | $9,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 400 | $9,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 715 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 300 | $9,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 107 | $9,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 300 | $9,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 620 | $9,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 700 | $9,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 501 | $9,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 1,000 | $9,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 633 | $8,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 80 | $8,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 500 | $8,000 | thousands by filing date | call |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 159 | $8,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 2,000 | $8,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 140 | $8,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 600 | $8,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 200 | $8,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 200 | $8,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 240 | $8,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 174 | $8,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 680 | $8,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 207 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 200 | $8,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 235 | $8,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 425 | $8,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 516 | $8,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 150 | $8,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 409 | $8,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 400 | $8,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 225 | $8,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 1,000 | $8,000 | thousands by filing date | call |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 500 | $8,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 196 | $8,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 165 | $8,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 1,000 | $8,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 500 | $8,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 400 | $8,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 233 | $8,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 641 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 250 | $8,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,715 | $8,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 500 | $8,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 430 | $8,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 1,400 | $8,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 787 | $8,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 409 | $8,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 1,500 | $8,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 659 | $8,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 605 | $8,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,000 | $8,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 500 | $8,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 600 | $8,000 | thousands by filing date | |
| URS CORP NEW | 903236107 | COM | 136 | $8,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 7,000 | $8,000 | thousands by filing date | principal |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 2,882 | $8,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 1,000 | $8,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 600 | $8,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 6,000 | $8,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 284 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 250 | $8,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 1,000 | $8,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 500 | $8,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 300 | $8,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 428 | $8,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,288 | $8,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 1,000 | $8,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074QAF9 | CNV | 8,000 | $8,000 | thousands by filing date | principal |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 400 | $8,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 8,000 | $8,000 | thousands by filing date | principal |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 3,000 | $8,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 598 | $8,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 8,000 | $8,000 | thousands by filing date | principal |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 7,000 | $8,000 | thousands by filing date | principal |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 108 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 85 | $7,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 130 | $7,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 193 | $7,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 100 | $7,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 316 | $7,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 550 | $7,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 300 | $7,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 110 | $7,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 341 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 300 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 200 | $7,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 200 | $7,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 200 | $7,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,000 | $7,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 635 | $7,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 97 | $7,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 60 | $7,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 242 | $7,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 1,000 | $7,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 584 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 90 | $7,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 100 | $7,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 273 | $7,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 129 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 209 | $7,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 5,000 | $7,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 1,000 | $7,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 410 | $7,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 6,000 | $7,000 | thousands by filing date | principal |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 1,600 | $7,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 227 | $7,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 1,000 | $7,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 2,000 | $7,000 | thousands by filing date | |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 300 | $7,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,300 | $7,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 525 | $7,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 560 | $7,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 571 | $7,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 3,000 | $7,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 234 | $7,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 710 | $7,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 200 | $7,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 200 | $7,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 900 | $7,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 1,497 | $7,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 10,000 | $7,000 | thousands by filing date | call |
| PRIMERO MNG CORP | 74164W106 | COM | 1,494 | $7,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 10,016 | $7,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 2,000 | $7,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 1,300 | $7,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 427 | $7,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 300 | $7,000 | thousands by filing date | |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 277 | $7,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 219 | $7,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 1,035 | $7,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 226 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 300 | $7,000 | thousands by filing date | |
| SINOCOKING COAL & COKE CH IN | 829357102 | COM | 1,800 | $7,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 750 | $7,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 2,286 | $7,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 198 | $6,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 1,000 | $6,000 | thousands by filing date | call |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 500 | $6,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 100 | $6,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 571 | $6,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 98 | $6,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 110 | $6,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 136 | $6,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 155 | $6,000 | thousands by filing date | |
| ENERSYS COM | 29275Y102 | Stock | 101 | $6,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 3,000 | $6,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 273 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 119 | $6,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 400 | $6,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 600 | $6,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 100 | $6,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 1,000 | $6,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 500 | $6,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 301 | $6,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 300 | $6,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 230 | $6,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 789 | $6,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 1,000 | $6,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 137 | $6,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 400 | $6,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 344 | $6,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 279 | $6,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 4,100 | $6,000 | thousands by filing date | call |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 975 | $6,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 250 | $6,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 234 | $6,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 300 | $6,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 400 | $6,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 200 | $6,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 685 | $6,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 324 | $6,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 500 | $6,000 | thousands by filing date | call |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 500 | $6,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 300 | $6,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 200 | $6,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 211 | $6,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 253 | $6,000 | thousands by filing date | |
| SYMETRA FINANCIAL CORP | 87151Q106 | COMMON STOCK | 250 | $6,000 | thousands by filing date | |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 7,000 | $6,000 | thousands by filing date | principal |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 500 | $6,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 825 | $6,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,000 | $6,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 1,000 | $6,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 1,800 | $6,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 350 | $6,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 300 | $6,000 | thousands by filing date | |
| INGRAM MICRO INC | 457153104 | CL A | 249 | $6,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,000 | $6,000 | thousands by filing date | call |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 10,000 | $6,000 | thousands by filing date | call |
| KEYW HLDG CORP | 493723100 | COM | 500 | $6,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 300 | $6,000 | thousands by filing date | |
| DRESSER-RAND GROUP INC | 261608103 | COM | 70 | $6,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 500 | $6,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 1,150 | $6,000 | thousands by filing date | |
| NEWPORT CORP | 651824104 | COM | 365 | $6,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 2,000 | $6,000 | thousands by filing date | |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 6,000 | $6,000 | thousands by filing date | principal |
| HERSHA HOSPITALITY TR REIT | 427825104 | SH BEN INT A | 970 | $6,000 | thousands by filing date | |
| BURGER KING WORLDWIDE INC | 121220107 | COM | 200 | $6,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 5,000 | $6,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 500 | $6,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 4,500 | $6,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 300 | $6,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 6,000 | $6,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 6,000 | $6,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 500 | $6,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 500 | $6,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 1,200 | $6,000 | thousands by filing date | |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 256 | $6,000 | thousands by filing date | |
| AMER MUN INCOME PORT INC | 027649102 | COM | 400 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288232 | S&P NUCIDX ETF | 159 | $6,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 500 | $6,000 | thousands by filing date | |
| XRS CORP | 983845108 | COM | 1,100 | $6,000 | thousands by filing date | |
| ISHARES TR | 46429B432 | MSCI SING SMCP | 200 | $6,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,000 | $6,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 300 | $6,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 1,888 | $6,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 420 | $6,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 2,031 | $6,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 200 | $5,000 | thousands by filing date | call |
| American Express Company | 025816109 | COM | 2,000 | $5,000 | thousands by filing date | call |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 200 | $5,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 98 | $5,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 100 | $5,000 | thousands by filing date | call |
| COPART INC COM | 217204106 | Stock | 145 | $5,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 1,110 | $5,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 208 | $5,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 1,272 | $5,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 100 | $5,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 103 | $5,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 200 | $5,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 2,500 | $5,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 88 | $5,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 350 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 273 | $5,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 5,000 | $5,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 400 | $5,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 2,000 | $5,000 | thousands by filing date | call |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 254 | $5,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 293 | $5,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 200 | $5,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 200 | $5,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 4 | $5,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 200 | $5,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 364 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 1,051 | $5,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 200 | $5,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 203 | $5,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 202 | $5,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 196 | $5,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 1,000 | $5,000 | thousands by filing date | call |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 459 | $5,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 500 | $5,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 100 | $5,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 137 | $5,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 539 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 105 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 140 | $5,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,000 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 70 | $5,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 66 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 120 | $5,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 1,500 | $5,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 157 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 303 | $5,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 250 | $5,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 140 | $5,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 450 | $5,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 405 | $5,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 124 | $5,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 1,200 | $5,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 1,100 | $5,000 | thousands by filing date | call |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 300 | $5,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 150 | $5,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 434 | $5,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 675 | $5,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 500 | $5,000 | thousands by filing date | |
| NIELSEN HOLDINGS N V | N63218106 | COM | 104 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 200 | $5,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,000 | $5,000 | thousands by filing date | call |
| TIVO INC | 888706108 | COM | 376 | $5,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 690 | $5,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892507 | CV 8% CUM PFD-D | 200 | $5,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 300 | $5,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 2,000 | $5,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 5,000 | $5,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 400 | $5,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 187 | $5,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 4,967 | $5,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 2,000 | $5,000 | thousands by filing date | call |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 2,300 | $5,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 350 | $5,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 1,525 | $5,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 300 | $5,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 400 | $5,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 700 | $5,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 1,395 | $5,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 2,900 | $5,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 4,000 | $5,000 | thousands by filing date | principal |
| CHEROKEE INC | 16444H102 | COM | 300 | $5,000 | thousands by filing date | |
| FIRSTSERVICE CORP | 33761N109 | SUB VTG SH | 100 | $5,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 1,200 | $5,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 419 | $5,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 92 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 200 | $5,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 1,429 | $5,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 200 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287135 | NYSE 100INX FD | 60 | $5,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 1,278 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 272 | $5,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 405 | $5,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 5,125 | $5,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 200 | $5,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 300 | $5,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 331 | $5,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 300 | $5,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 5,000 | $5,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 5,000 | $5,000 | thousands by filing date | principal |
| Dws Strategic Muni Incm | 25159F102 | COM | 400 | $5,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 1,000 | $5,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 5,000 | $5,000 | thousands by filing date | principal |
| Salesforce.com, Inc | 79466L302 | COM | 1,000 | $4,000 | thousands by filing date | call |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 66 | $4,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 30 | $4,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 5,000 | $4,000 | thousands by filing date | call |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 2,000 | $4,000 | thousands by filing date | call |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 200 | $4,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 58 | $4,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 302 | $4,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 300 | $4,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 375 | $4,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 300 | $4,000 | thousands by filing date | call |
| AECOM COM | 00766T100 | Stock | 112 | $4,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 200 | $4,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 80 | $4,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 26 | $4,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 96 | $4,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 800 | $4,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 46 | $4,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 500 | $4,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 200 | $4,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 153 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 38 | $4,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 97 | $4,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 50 | $4,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 200 | $4,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 86 | $4,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 500 | $4,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 2,000 | $4,000 | thousands by filing date | call |
| GNC HLDGS INC | 36191G107 | COM CL A | 100 | $4,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 1,063 | $4,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 400 | $4,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 92 | $4,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 166 | $4,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 48 | $4,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 200 | $4,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 650 | $4,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 1,000 | $4,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 42 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 82 | $4,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 366 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 68 | $4,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 1,000 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 46 | $4,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 258 | $4,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 912 | $4,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 35 | $4,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 200 | $4,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 203 | $4,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 52 | $4,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 305 | $4,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 100 | $4,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 204 | $4,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 6,000 | $4,000 | thousands by filing date | principal |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 196 | $4,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 411 | $4,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 900 | $4,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 1,333 | $4,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 521 | $4,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397184 | RIGHT 10/20/2014 | 71,372 | $4,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 1,000 | $4,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 2,100 | $4,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| 22ND CENTY GROUP INC | 90137F103 | COM | 1,500 | $4,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 300 | $4,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 300 | $4,000 | thousands by filing date | |
| ROVI CORP | 779376102 | COM | 196 | $4,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AH5 | NOTE 3.250% 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| CUMULUS MEDIA INC | 231082108 | CL A | 910 | $4,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 1,163 | $4,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 118 | $4,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 350 | $4,000 | thousands by filing date | |
| ARUBA NETWORKS INC | 043176106 | COM | 200 | $4,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 500 | $4,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 3,350 | $4,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 4,000 | $4,000 | thousands by filing date | principal |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 4,000 | $4,000 | thousands by filing date | principal |
| APOLLO GROUP INC | 037604105 | CL A | 143 | $4,000 | thousands by filing date | |
| RYANAIR HLDGS PLC | 783513104 | SPONSORED ADR | 65 | $4,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T107 | COM | 124 | $4,000 | thousands by filing date | |
| INTEGRATED SILICON SOLUTION | 45812P107 | COM | 300 | $4,000 | thousands by filing date | |
| ALLIED WRLD ASSUR COM HLDG A | H01531104 | SHS | 117 | $4,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 164 | $4,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 67 | $4,000 | thousands by filing date | |
| HARBINGER GROUP INC | 41146A106 | COM | 325 | $4,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 500 | $4,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 150 | $4,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 301 | $4,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 84 | $4,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 92 | $4,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| VRINGO INC | 92911N104 | COM | 4,050 | $4,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 360 | $4,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 64 | $4,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 4,000 | $4,000 | thousands by filing date | principal |
| WHITING USA TRUST I | 966389108 | TR U | 1,600 | $4,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 4,378 | $4,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 1,000 | $4,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 400 | $4,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 3,800 | $4,000 | thousands by filing date | put |
| INTERMOUNTAIN COMMUNITY BANCOR NEW | 45881M308 | COM | 189 | $4,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 395 | $4,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 200 | $4,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 300 | $4,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 1,000 | $4,000 | thousands by filing date | |
| CSR PLC | 12640Y205 | SPONSORED ADR | 73 | $4,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 181 | $4,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 2,425 | $4,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 2,000 | $4,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 159 | $4,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 500 | $4,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 900 | $4,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 6,000 | $4,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 200 | $4,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 4,000 | $4,000 | thousands by filing date | principal |
| MELA SCIENCES INC | 55277R308 | COM NEW | 2,500 | $4,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 1,170 | $4,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 4,000 | $4,000 | thousands by filing date | principal |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 515 | $4,000 | thousands by filing date | |
| ATHLON ENERGY INC | 047477104 | COM | 76 | $4,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 223 | $3,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 25,000 | $3,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,000 | $3,000 | thousands by filing date | call |
| ConocoPhillips | 20825C104 | COM | 2,000 | $3,000 | thousands by filing date | call |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 46 | $3,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 35 | $3,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 55 | $3,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 50 | $3,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 108 | $3,000 | 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 |