13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-14, with 5,928 holding rows worth $144,431,000,000.
- Accession
- 0000950123-13-006379
- Filer
- CIK 820027
- Filed
- 2013-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A combination report, 8,905 entries on the cover page, a total value of $144,431,000,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $144,431,000,000 with VALUE read as thousands by filing date, 13F file number 028-00139. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerAmeriprise Financial, Inc. 028-00139
- reports for this filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Company 028-01045
- reports for this filerAmeriprise Certificate Company 028-00140
- reports for this filerRiverSource Life Insurance Company 028-00143
- reports for this filerRiverSource Life Insurance Company of New York 028-01046
- reports for this filerThreadneedle Asset Management Holdings LTD 028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- included managerAmeriprise Financial, Inc. 028-00139
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Company 028-01045
- included managerAmeriprise Certificate Company 028-00140
- included managerRiverSource Life Insurance Company 028-00143
- included managerRiverSource Life Insurance Company of New York 028-01046
- included managerThreadneedle Asset Management Holdings LTD 028-10644
- included managerAmeriprise Financial Services, Inc. 028-14918
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 |
|---|---|---|---|---|---|---|
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 2,396 | $32,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 2,200 | $32,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 2,000 | $32,000 | thousands by filing date | |
| TULLOW OIL PLC-UNSPON ADR | 899415202 | ADR | 4,173 | $32,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 1,389 | $32,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 444 | $31,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 2,277 | $31,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 948 | $31,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 1,407 | $31,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,702 | $31,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 1,043 | $31,000 | thousands by filing date | |
| AMADEUS IT GROUP S A UNSPONSOR | 02263t104 | COM | 960 | $31,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 3,210 | $31,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 960 | $31,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 3,042 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 1,477 | $31,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 3,266 | $31,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 2,528 | $31,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 1,248 | $31,000 | thousands by filing date | |
| NUVERRA ENVIRNMNTL SOLUTIO | 67091K104 | COM | 10,431 | $31,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 1,026 | $31,000 | thousands by filing date | |
| L+L ENERGY INC | 50162D100 | COM | 8,503 | $31,000 | thousands by filing date | |
| ROYAL DSM N V SPON ADR | 780249108 | COM | 1,863 | $31,000 | thousands by filing date | |
| BELLE INTERNATIONAL | 078454105 | COM | 2,224 | $31,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 802 | $30,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,007 | $30,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 1,471 | $30,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 2,062 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 532 | $30,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 2,059 | $30,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 675 | $30,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 1,706 | $30,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 1,350 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 589 | $30,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 275 | $30,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 1,345 | $30,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 1,608 | $30,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 1,717 | $30,000 | thousands by filing date | |
| Lonza Group AG ADR | 54338V101 | USD | 4,034 | $30,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 1,108 | $30,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 2,541 | $30,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 1,990 | $30,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 1,839 | $30,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 1,450 | $30,000 | thousands by filing date | |
| S.Y. BANCORP INC | 785060104 | COM | 1,250 | $30,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 474 | $30,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 1,399 | $30,000 | thousands by filing date | |
| NSK LTD-UNSPONSORED ADR | 670184100 | COM | 1,550 | $30,000 | thousands by filing date | |
| LINE US 07/20/13 C32 | CM0018308 | OPT | 167 | $30,000 | thousands by filing date | call |
| METLIFE INC | 59156R405 | PRF | 1,156 | $30,000 | thousands by filing date | |
| UNITED STATES CELLULAR | 911684405 | PRF | 1,200 | $30,000 | thousands by filing date | |
| EDF-UNSPON ADR | 285039103 | COM | 6,254 | $30,000 | thousands by filing date | |
| BANK AMERICA CORP MARKET | 060900198 | PRF | 2,450 | $30,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 330 | $29,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 1,084 | $29,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 480 | $29,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 3,369 | $29,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 1,037 | $29,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,400 | $29,000 | thousands by filing date | |
| ASM INTERNATIONAL NV | N07045102 | Common Stock | 876 | $29,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 3,814 | $29,000 | thousands by filing date | |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 1,691 | $29,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 450 | $29,000 | thousands by filing date | |
| BANK RAKYAT INDONESIA UNSPN ADR | 69366X100 | COM | 1,842 | $29,000 | thousands by filing date | |
| BOMBARDIER INC FCLASS B | 097751200 | COM | 6,521 | $29,000 | thousands by filing date | |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 4,255 | $29,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 2,410 | $29,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 7,027 | $29,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,460 | $29,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 840 | $29,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 3,510 | $29,000 | thousands by filing date | |
| DANSKE BANK A/S-UNSPONS ADR | 236363107 | COM | 3,447 | $29,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,500 | $28,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 4,760 | $28,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,585 | $28,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 1,337 | $28,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 1,191 | $28,000 | thousands by filing date | |
| WOLTERS KLUWER N V SPONSORED A | 977874205 | COM | 1,324 | $28,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 819 | $28,000 | thousands by filing date | |
| MOLEX INC | 608554200 | COMMON STOCK | 1,135 | $28,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 216 | $28,000 | thousands by filing date | |
| STELLARONE CORP | 85856G100 | COMMON STOCK | 1,416 | $28,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 1,950 | $28,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 2,008 | $28,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 3,000 | $28,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 2,770 | $28,000 | thousands by filing date | |
| ELECTROLUX AB -SPONS ADR B | 010198208 | COM | 565 | $28,000 | thousands by filing date | |
| DAITO TRUST CONS-UNSPON ADR | 23405X100 | COM | 1,197 | $28,000 | thousands by filing date | |
| BANK AMERICA CORP MARKET | 06052E848 | PRF | 2,770 | $28,000 | thousands by filing date | |
| NEW WORLD DEVELOP -SPONS ADR | 649274305 | COM | 10,144 | $28,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 1,140 | $27,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 1,300 | $27,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 251 | $27,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 1,872 | $27,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 1,421 | $27,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 3,540 | $27,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 938 | $27,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,369 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 368 | $27,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 1,646 | $27,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 2,294 | $27,000 | thousands by filing date | |
| Julius Baer Group Ltd ADR | 48137C108 | USD | 3,478 | $27,000 | thousands by filing date | |
| ASAHI KASEI CORP UNSPON ADR | 043400100 | COM | 2,040 | $27,000 | thousands by filing date | |
| AKBANK TURK ANONIM SIRKETI ADR | 009719501 | COM | 3,391 | $27,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 1,631 | $27,000 | thousands by filing date | |
| WEBSENSE INC | 947684106 | COM | 1,075 | $27,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 1,035 | $27,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 960 | $27,000 | thousands by filing date | |
| BLACKROCK STRTGC BOND TR | 09249G106 | COM | 2,045 | $27,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 6,849 | $27,000 | thousands by filing date | |
| US Bancorp | 902973817 | PFD | 1,000 | $27,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 1,317 | $27,000 | thousands by filing date | |
| Fiat SPA Sp ADR Ord | 315621888 | COM | 3,828 | $27,000 | thousands by filing date | |
| Santos Limited ADR | 803021708 | COM | 2,331 | $27,000 | thousands by filing date | |
| HEIDELBERGCEMENT AG-UNSP ADR | 42281P205 | COM | 1,988 | $27,000 | thousands by filing date | |
| BANK AMERICA CORP | 06052H635 | PRF | 2,360 | $27,000 | thousands by filing date | |
| LBTYA US 07/20/13 P85 | CM0012772 | OPT | 24 | $27,000 | thousands by filing date | put |
| ANTOFAGASTA PLC -SPON ADR | 037189107 | COM | 1,110 | $27,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 1,009 | $26,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 480 | $26,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 739 | $26,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 245 | $26,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 1,286 | $26,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 435 | $26,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 1,226 | $26,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 1,511 | $26,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,338 | $26,000 | thousands by filing date | |
| TOKYO ELECTRON LTD ADR | 889110102 | COM | 2,024 | $26,000 | thousands by filing date | |
| Power Assets Holdings Ltd | 739197200 | Common Stock | 3,032 | $26,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 423 | $26,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 10,095 | $26,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 3,855 | $26,000 | thousands by filing date | |
| ROCHESTER MED CORP | 771497104 | COM | 1,776 | $26,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 971 | $26,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 15,439 | $26,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 1,014 | $26,000 | thousands by filing date | |
| QWEST CORP | 74913G204 | PFD | 1,000 | $26,000 | thousands by filing date | |
| SHENGDATECH INC | 823213AD5 | CONV BND | 2,610,000 | $26,000 | thousands by filing date | principal |
| GENERAL AMERICAN | 368802401 | PRF | 1,011 | $26,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 1,308 | $25,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 9,150 | $25,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 1,720 | $25,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 1,478 | $25,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 745 | $25,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 1,239 | $25,000 | thousands by filing date | |
| VESTAS WIND SYSTEMS AS | 925458101 | COM | 5,375 | $25,000 | thousands by filing date | |
| SECOM CO LTD UNSP ADR | 813113206 | COM | 1,788 | $25,000 | thousands by filing date | |
| NOVOZYMES A/S-UNSPONS ADR | 670108109 | COM | 797 | $25,000 | thousands by filing date | |
| Daiwa Securities Group Inc Sp | 234064301 | ADR | 2,992 | $25,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 1,615 | $25,000 | thousands by filing date | |
| DYAX CORP | 26746E103 | COM | 6,976 | $25,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,024 | $25,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 5,518 | $25,000 | thousands by filing date | |
| ROCKVILLE FINANCIAL INC | 774188106 | COM | 1,954 | $25,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 2,330 | $25,000 | thousands by filing date | |
| CITIGROUP CAP X 6.1% 9/30/3 | 173064205 | PFD | 1,000 | $25,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 896 | $25,000 | thousands by filing date | |
| TOWER FINANCIAL CORP | 891769101 | COM | 1,700 | $25,000 | thousands by filing date | |
| ALLY FINANCIAL INC | 36186C400 | PREFERRED | 1,000 | $25,000 | thousands by filing date | |
| CITIGROUP CAPITAL XVII | 17311H209 | PRF | 1,000 | $25,000 | thousands by filing date | |
| WHEELOCK & CO LTD-UNSPON ADR | 963271200 | COM | 490 | $25,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 653 | $24,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 1,246 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 550 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 830 | $24,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 3,225 | $24,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 1,882 | $24,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 500 | $24,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 1,856 | $24,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 500 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 444 | $24,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 4,800 | $24,000 | thousands by filing date | |
| AEROFLEX HOLDING CORP | 007767106 | COMMON STOCK | 3,040 | $24,000 | thousands by filing date | |
| KASIKORNBANK PCL UNSPON ADR | 485785109 | COM | 964 | $24,000 | thousands by filing date | |
| UNITED UTILITIES GROUP ADR | 91311E102 | COM | 1,108 | $24,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 864 | $24,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 979 | $24,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 3,575 | $24,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 4,297 | $24,000 | thousands by filing date | |
| ZOLTEK COS INC | 98975W104 | COM | 1,835 | $24,000 | thousands by filing date | |
| GLOBECOMM SYSTEMS INC | 37956X103 | COM | 1,899 | $24,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 539 | $24,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 1,891 | $24,000 | thousands by filing date | |
| UNITED FINANCIAL BANCORP INC | 91030T109 | COM | 1,526 | $24,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 1,350 | $24,000 | thousands by filing date | |
| FPL GROUP CAP TR I 5.875% 3/15 | 30257V207 | PFD | 960 | $24,000 | thousands by filing date | |
| JARDINE STRATEGIC HLDGS UNSPON | 471122200 | Common | 1,307 | $24,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 1,304 | $23,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,410 | $23,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 365 | $23,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 2,050 | $23,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 1,696 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 396 | $23,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 1,790 | $23,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 1,901 | $23,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 514 | $23,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 1,142 | $23,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 1,179 | $23,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 1,000 | $23,000 | thousands by filing date | |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 1,986 | $23,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 16,388 | $23,000 | thousands by filing date | |
| VIRGINIA COMM BANCORP INC | 92778Q109 | COM | 1,681 | $23,000 | thousands by filing date | |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 988 | $23,000 | thousands by filing date | |
| AEGON NV PFD | 007924509 | PREFERRED | 1,000 | $23,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 2,217 | $23,000 | thousands by filing date | |
| WISCONSIN PUBLIC SERVICE | 976843508 | PRF | 220 | $23,000 | thousands by filing date | |
| MPC US 07/20/13 P70 | CM0018258 | OPT | 125 | $23,000 | thousands by filing date | put |
| GABELLI CONV & INCOME | 36240B307 | PRF | 925 | $23,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 295 | $22,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 821 | $22,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 216 | $22,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,532 | $22,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 337 | $22,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 790 | $22,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 2,547 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 960 | $22,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 502 | $22,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 1,110 | $22,000 | thousands by filing date | |
| SAFRAN S A SPON ADR | 786584102 | ADUS | 415 | $22,000 | thousands by filing date | |
| INTERNTNL CONS AIRLS A FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 459348108 | AMERICAN DEPOSITORY | 1,084 | $22,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 1,850 | $22,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 32,000 | $22,000 | thousands by filing date | principal |
| GOLDMAN SACHS PFD VARIABLE RAT | 38143Y665 | PREFERR | 1,000 | $22,000 | thousands by filing date | |
| SONOVA HOLDING AG UNSPONSORED ADR | 83569C102 | USD | 1,036 | $22,000 | thousands by filing date | |
| INPEX CORP UNSPON ADR | 45790H101 | COM | 2,149 | $22,000 | thousands by filing date | |
| PORSCHE AUTOMOBILUNSP ADR | 73328P106 | COM | 2,857 | $22,000 | thousands by filing date | |
| QBE INSURANCE GROUP SPN ADR | 74728G605 | COM | 1,598 | $22,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 5,022 | $22,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 6,413 | $22,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 2,053 | $22,000 | thousands by filing date | |
| ANAREN INC | 032744104 | COM | 923 | $22,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 1,040 | $22,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 6,092 | $22,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 858 | $22,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 3,827 | $22,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 1,192 | $22,000 | thousands by filing date | |
| ESSEX RENT CORP COM | 297187106 | Common | 5,130 | $22,000 | thousands by filing date | |
| GTECH S P A | 40053Q104 | COM | 883 | $22,000 | thousands by filing date | |
| IPATH PURE BETA INDUSTRIALS | 06740P296 | ETP | 690 | $22,000 | thousands by filing date | |
| TURKIYE VAKIFLAR-UNSPON ADR | 90015N103 | COM | 895 | $22,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 3,409 | $21,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 261 | $21,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 201 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 380 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 298 | $21,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 1,394 | $21,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 1,275 | $21,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 1,786 | $21,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 998 | $21,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 1,496 | $21,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 1,337 | $21,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 855 | $21,000 | thousands by filing date | |
| CRIMSON WINE GROUP LTD COM | 22662X100 | COM | 2,402 | $21,000 | thousands by filing date | |
| STANDARD BANK GROUP LTD ADR | 853118206 | ADR | 1,895 | $21,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 800 | $21,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 1,551 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 750 | $21,000 | thousands by filing date | |
| JOURNAL COMMUNICATIONS INC-A | 481130102 | COMMON STOCK | 2,759 | $21,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 1,469 | $21,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 3,825 | $21,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 838 | $21,000 | thousands by filing date | |
| VALEO SA ADR | 919134304 | COM | 673 | $21,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 3,282 | $21,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 300 | $21,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,073 | $21,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 4,576 | $21,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 364 | $21,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 885 | $21,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 867 | $21,000 | thousands by filing date | |
| ***ERROR:MISSING*** | 739363AF6 | ***MISSING*** | 4,200,000 | $21,000 | thousands by filing date | principal |
| PARTNERRE LTD 6.50% PFD SERIES | G68603409 | PREFERR | 854 | $21,000 | thousands by filing date | |
| Qwest Corporation 7.50% Notes | 74913G303 | PFD | 795 | $21,000 | thousands by filing date | |
| Tsingtao Brewery Ltd Sp ADR Cl | 898529102 | COM | 300 | $21,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC | 539439802 | PRF | 768 | $21,000 | thousands by filing date | |
| TORRINGTON WATER CO | 891466104 | COM | 600 | $21,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 700 | $20,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 388 | $20,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 1,123 | $20,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 539 | $20,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 1,245 | $20,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 707 | $20,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 5,797 | $20,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 271 | $20,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 1,993 | $20,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 2,338 | $20,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 1,423 | $20,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 890 | $20,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,857 | $20,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 2,664 | $20,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 984 | $20,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 3,215 | $20,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 2,507 | $20,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 2,925 | $20,000 | thousands by filing date | |
| GMAC LLC 7.375% Sr Notes | 36186C509 | Pfd Stk | 800 | $20,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 913 | $20,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 2,452 | $20,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 7,450 | $20,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 3,076 | $20,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 525 | $20,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,143 | $20,000 | thousands by filing date | |
| GALAXY ENTERTAINMENT GROUP | 36318L104 | COM | 405 | $20,000 | thousands by filing date | |
| CITIGROUP CAPITAL XVI | 17310L201 | PRF | 800 | $20,000 | thousands by filing date | |
| STAR TRIBUNE CO | 85519Y100 | COM | 627 | $20,000 | thousands by filing date | |
| ESPRIT HOLDINGS LTD-SPON ADR | 29666V204 | COM | 6,823 | $20,000 | thousands by filing date | |
| VRX US 08/17/13 P87.5 | CM0017755 | OPT | 36 | $20,000 | thousands by filing date | put |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 275 | $19,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 2,062 | $19,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 600 | $19,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 790 | $19,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 1,725 | $19,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 1,153 | $19,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 984 | $19,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 994 | $19,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 1,328 | $19,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 3,288 | $19,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 1,150 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 212 | $19,000 | thousands by filing date | |
| DEUTSCHE BOERSE UNSPONSORD ADR | 251542106 | COM | 2,843 | $19,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 624 | $19,000 | thousands by filing date | |
| KOC HOLDINGS AS UNSPONSORED TURK ADR | 49989A109 | COM | 809 | $19,000 | thousands by filing date | |
| COMMERZBANK AG SPONS ADR | 202597605 | COM | 1,922 | $19,000 | thousands by filing date | |
| OMV AG-BEARER SHRS ADR | 670875509 | COM | 430 | $19,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 2,335 | $19,000 | thousands by filing date | |
| METLIFE INC | 59156R504 | Common Stock | 800 | $19,000 | thousands by filing date | |
| HELLENIC TELECOM ORG | 423325307 | Common Stock | 4,974 | $19,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,815 | $19,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 5,880 | $19,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 16,175 | $19,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 2,200 | $19,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 738 | $19,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 5,175 | $19,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 911 | $19,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 1,419 | $19,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 4,687 | $19,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 423 | $19,000 | thousands by filing date | |
| ZYGO CORP | 989855101 | COM | 1,237 | $19,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,832 | $19,000 | thousands by filing date | |
| DENALI FD INC | 24823A102 | COM | 1,001 | $19,000 | thousands by filing date | |
| NORTHERN LTS ETF TR | 66537H105 | ARROW DJ GLOBL | 725 | $19,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L407 | GOLD TRENDP ETN | 670 | $19,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 895 | $19,000 | thousands by filing date | |
| LEAR CORP WARRANTS | 521865113 | COMMON | 166 | $19,000 | thousands by filing date | |
| SCE TR I TR PREF SECS $1.40625 PFD | 78406T201 | PREFERRED | 800 | $19,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 8,180 | $19,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 950 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 350 | $19,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 590 | $19,000 | thousands by filing date | |
| DEUTSCHE BANK CAPITAL FUNDING VIII 6.375% | 25153U204 | PREFERRED | 770 | $19,000 | thousands by filing date | |
| ASAHI GLASS CO LTD-UNSP ADR | 043393206 | COM | 3,014 | $19,000 | thousands by filing date | |
| ACOM CO LTD-SPONSORED ADR | 004845202 | COM | 2,390 | $19,000 | thousands by filing date | |
| HACHIJUNI BANK LTD-UNS ADR | 404508202 | COM | 330 | $19,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,408 | $18,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,544 | $18,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 294 | $18,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,158 | $18,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 2,750 | $18,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 873 | $18,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 391 | $18,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 800 | $18,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 582 | $18,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 1,347 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 446 | $18,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,279 | $18,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 1,000 | $18,000 | thousands by filing date | |
| Credit Agricole Sa Unsponsored Adr | 225313105 | Equity | 4,202 | $18,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 385 | $18,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 2,034 | $18,000 | thousands by filing date | |
| AVIV REIT INC | 05381L101 | COMMON STOCK | 717 | $18,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 5,432 | $18,000 | thousands by filing date | |
| NIKON CORP UNSPONSORED ADR | 654111202 | ADR | 751 | $18,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 5,687 | $18,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 2,210 | $18,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 1,000 | $18,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,266 | $18,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 7,876 | $18,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 6,087 | $18,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 891 | $18,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 1,000 | $18,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 710 | $18,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 711 | $18,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 329 | $18,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 1,000 | $18,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 500 | $18,000 | thousands by filing date | |
| HANG SENG BANK-SPONSORED ADR | 41043C304 | COM | 1,207 | $18,000 | thousands by filing date | |
| BELGACOM SA-UNSPON ADR | 077701100 | COM | 4,127 | $18,000 | thousands by filing date | |
| VNB CAPITAL TR I VALLEY | 92856Q203 | PRF | 690 | $18,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 681 | $17,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 1,600 | $17,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 2,197 | $17,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 894 | $17,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 1,934 | $17,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 642 | $17,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 1,527 | $17,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 862 | $17,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 648 | $17,000 | thousands by filing date | |
| ERSTE GROUP BANK AG SPONS ADR | 296036304 | FOREIGN | 1,230 | $17,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 196 | $17,000 | thousands by filing date | |
| Henkel AG & Co KGaA | 42550U109 | Equity | 215 | $17,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 680 | $17,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 749 | $17,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 2,311 | $17,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 8,436 | $17,000 | thousands by filing date | |
| LEGAL AND GEN GROUP SPON ADR | 52463H103 | COM | 1,325 | $17,000 | thousands by filing date | |
| SWIRE PACIFIC LTD SP ADR A | 870794302 | COM | 1,428 | $17,000 | thousands by filing date | |
| PCCW ADR | 70454G207 | Common Stock | 3,560 | $17,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 500 | $17,000 | thousands by filing date | |
| BODY CENTRAL CORP | 09689U102 | COM | 1,230 | $17,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 1,993 | $17,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 1,744 | $17,000 | thousands by filing date | |
| PACER INTL INC TENN | 69373H106 | COM | 2,684 | $17,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 636 | $17,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 650 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 1,184 | $17,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 1,278 | $17,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 651 | $17,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 2,250 | $17,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 2,000 | $17,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 1,069 | $17,000 | thousands by filing date | |
| MARKET LEADER INC | 57056R103 | COM | 1,590 | $17,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 797 | $17,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 2,594 | $17,000 | thousands by filing date | |
| WIECHAI POWER ADR | 948597109 | Common Stock | 1,451 | $17,000 | thousands by filing date | |
| PUBLIC STORAGE PFD T 1/1000TH | 74460W404 | PFD | 700 | $17,000 | thousands by filing date | |
| STRATEGIC HOTELS & * | 86272T403 | PRF | 700 | $17,000 | thousands by filing date | |
| TECHNICOLOR-SPON ADR | 878520204 | COM | 4,240 | $17,000 | thousands by filing date | |
| ISHARES BAA-BA | 46432F107 | COM | 345 | $17,000 | thousands by filing date | |
| PENSECO FINANCIAL SVCS | 709570105 | COM | 400 | $17,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,068 | $16,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,000 | $16,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 912 | $16,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 315 | $16,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 854 | $16,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 1,411 | $16,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,300 | $16,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 2,219 | $16,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 651 | $16,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 533 | $16,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 1,455 | $16,000 | thousands by filing date | |
| Burberry Group PLC | 12082W204 | COM | 382 | $16,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 2,080 | $16,000 | thousands by filing date | |
| ALSTOM SA UNSPON ADR | 021244207 | COM | 5,020 | $16,000 | thousands by filing date | |
| SHISEIDO LTD-SPONSORED ADR | 824841407 | COM | 1,103 | $16,000 | thousands by filing date | |
| SKF AB SPON ADR | 784375404 | COM | 690 | $16,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,863 | $16,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 492 | $16,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 5,176 | $16,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 856 | $16,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 881 | $16,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 2,331 | $16,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,497 | $16,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 1,707 | $16,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 873 | $16,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 5,604 | $16,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 2,534 | $16,000 | thousands by filing date | |
| HARBINGER GROUP INC | 41146A106 | COM | 2,058 | $16,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 4,773 | $16,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 1,132 | $16,000 | thousands by filing date | |
| STEINWAY MUSICAL INSTRUMENTS | 858495104 | COM | 546 | $16,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 3,844 | $16,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 2,735 | $16,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 2,000 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 513 | $16,000 | thousands by filing date | |
| WACHOVIA FND 7.25% $1.8125 PFD | 92977V206 | PREFERRED | 614 | $16,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 800 | $16,000 | thousands by filing date | |
| Li & Fung Ltd | 501897102 | Com | 5,895 | $16,000 | thousands by filing date | |
| Metso ADS | 592671101 | ADR | 459 | $16,000 | thousands by filing date | |
| VRX US 08/17/13 P85 | CM0017961 | OPT | 36 | $16,000 | thousands by filing date | put |
| HFC US 07/20/13 P40.5 | CM0018084 | OPT | 300 | $16,000 | thousands by filing date | put |
| PT INDOSAT-ADR | 744383100 | COM | 620 | $16,000 | thousands by filing date | |
| YAHOO! JAPAN CORP-UNSPON ADR | 98433V102 | COM | 948 | $16,000 | thousands by filing date | |
| CORP BACKED TR CTFS 03-7 | 21988G262 | PRF | 610 | $16,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 1,718 | $15,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 223 | $15,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 2,063 | $15,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 928 | $15,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 1,276 | $15,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 800 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 245 | $15,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 603 | $15,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 1,393 | $15,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 465 | $15,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 2,050 | $15,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 1,225 | $15,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 970 | $15,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 240 | $15,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 433 | $15,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 1,273 | $15,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,360 | $15,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 500 | $15,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 310 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 900 | $15,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 314 | $15,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 346 | $15,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 1,033 | $15,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 682 | $15,000 | thousands by filing date | |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 334 | $15,000 | thousands by filing date | |
| ASSOC BRITISH FOODS UNSP ADR | 045519402 | COM | 550 | $15,000 | thousands by filing date | |
| LUFTHANSA-SPONS ADR | 251561304 | COM | 757 | $15,000 | thousands by filing date | |
| HANG LUNG PROPERTIES SP ADR | 41043M104 | COM | 876 | $15,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 604 | $15,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-13-006379 | this filing | 2013-08-14 | acceptance time not in the bulk data set |