13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 5,979 holding rows worth $152,439,593,000.
- Accession
- 0000950123-13-009529
- Filer
- CIK 820027
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A combination report, 8,892 entries on the cover page, a total value of $152,439,593,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $152,439,593,000 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 Limited 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 Limited 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 |
|---|---|---|---|---|---|---|
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 700 | $18,000 | thousands by filing date | |
| PIONEER SOUTHWEST ENERGY | 72388B106 | COMMON STOCK | 400 | $18,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 3,180 | $18,000 | thousands by filing date | |
| QBE INSURANCE GROUP SPN ADR | 74728G605 | COM | 1,278 | $18,000 | thousands by filing date | |
| LUFTHANSA-SPONS ADR | 251561304 | COM | 910 | $18,000 | thousands by filing date | |
| STORA ENSO OYJ - SPONS ADR | 86210M106 | COM | 2,098 | $18,000 | thousands by filing date | |
| METLIFE INC | 59156R504 | Common Stock | 800 | $18,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,603 | $18,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 1,876 | $18,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 8,724 | $18,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 2,395 | $18,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 650 | $18,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 1,933 | $18,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 1,434 | $18,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 665 | $18,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 1,000 | $18,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 3,328 | $18,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 5,518 | $18,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 6,849 | $18,000 | thousands by filing date | |
| ING ASIA PAC HGH DIVID EQ IN | 44983J107 | COM | 1,331 | $18,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 1,658 | $18,000 | thousands by filing date | |
| UPM-KYMMENE OYJ-SPONS ADR | 915436109 | ADR | 1,280 | $18,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 500 | $18,000 | thousands by filing date | |
| DORAL FINL CORP COM | 25811P852 | COM | 925 | $18,000 | thousands by filing date | |
| Metso ADS | 592671101 | ADR | 459 | $18,000 | thousands by filing date | |
| PENSECO FINANCIAL SVCS | 709570105 | COM | 400 | $18,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,408 | $17,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,144 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 132 | $17,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 1,000 | $17,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 570 | $17,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 894 | $17,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 854 | $17,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 1,235 | $17,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 650 | $17,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 240 | $17,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 723 | $17,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 664 | $17,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,360 | $17,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 1,150 | $17,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 335 | $17,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 3,585 | $17,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,413 | $17,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 624 | $17,000 | thousands by filing date | |
| MEDIA GENERAL INC | 584404107 | COMMON STOCK | 1,222 | $17,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 8,946 | $17,000 | thousands by filing date | |
| ARKEMA SPO | 041232109 | USD | 149 | $17,000 | thousands by filing date | |
| HENDERSON LAND DEV ADR | 425166303 | COM | 2,738 | $17,000 | thousands by filing date | |
| Inergy, LP | 456615103 | LTD | 1,247 | $17,000 | thousands by filing date | |
| PACER INTL INC TENN | 69373H106 | COM | 2,684 | $17,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 896 | $17,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 1,278 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 900 | $17,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 539 | $17,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 1,074 | $17,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 610 | $17,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 2,840 | $17,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 887 | $17,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,356 | $17,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 2,348 | $17,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 3,198 | $17,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 2,213 | $17,000 | thousands by filing date | |
| ESSEX RENT CORP COM | 297187106 | Common | 5,130 | $17,000 | thousands by filing date | |
| Li & Fung Ltd | 501897102 | Com | 5,869 | $17,000 | thousands by filing date | |
| DEUTSCHE BANK CAPITAL FUNDING VIII 6.375% | 25153U204 | PREFERRED | 706 | $17,000 | thousands by filing date | |
| BARLOWORLD LTD ADR F 1 ADR REP | 067680207 | ADR | 1,802 | $17,000 | thousands by filing date | |
| IMPERIAL HOLDINGS LTD ADR | 452833205 | ADR | 751 | $17,000 | thousands by filing date | |
| ISHARES BAA-BA | 46432F107 | COM | 345 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 758 | $16,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 1,600 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 199 | $16,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 2,227 | $16,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 420 | $16,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 624 | $16,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 433 | $16,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 1,190 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 217 | $16,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,646 | $16,000 | thousands by filing date | |
| Koninklijke KPN NV | 780641205 | ADR | 5,088 | $16,000 | thousands by filing date | |
| Isuzu Motors Ltd. | 465254209 | COM | 240 | $16,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,189 | $16,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 2,130 | $16,000 | thousands by filing date | |
| AVIV REIT INC | 05381L101 | COMMON STOCK | 717 | $16,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 604 | $16,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 319 | $16,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 817 | $16,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 758 | $16,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 2,200 | $16,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 187 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 1,056 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 700 | $16,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 12,582 | $16,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 4,976 | $16,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 578 | $16,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 1,059 | $16,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 2,584 | $16,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 351 | $16,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 450 | $16,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 1,200 | $16,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 710 | $16,000 | thousands by filing date | |
| SCE TR I TR PREF SECS $1.40625 PFD | 78406T201 | PREFERRED | 800 | $16,000 | thousands by filing date | |
| CUSHING ROYALTY | 23164R104 | COM SH BEN INT | 950 | $16,000 | thousands by filing date | |
| Hutchison Whampoa | Y38024108 | COM | 1,375 | $16,000 | thousands by filing date | |
| PUBLIC STORAGE PFD T 1/1000TH | 74460W404 | PFD | 700 | $16,000 | thousands by filing date | |
| CHINA OILFIELD SERVICES-ADR | 168909109 | COM | 310 | $16,000 | thousands by filing date | |
| LIGHTSTREAM RESOURCES LTD | 53227k101 | COM | 2,165 | $16,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 762 | $15,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 891 | $15,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 485 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 198 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 253 | $15,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 1,411 | $15,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,300 | $15,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 280 | $15,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 500 | $15,000 | thousands by filing date | |
| TECHTRONIC INDS LTD SPONSORED ADR | 87873R101 | COM | 1,131 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 214 | $15,000 | thousands by filing date | |
| Sodexo | 833792104 | COM | 166 | $15,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 1,041 | $15,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 851 | $15,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 680 | $15,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 2,034 | $15,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 1,115 | $15,000 | thousands by filing date | |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 5,000 | $15,000 | thousands by filing date | |
| SEACOAST BKG CORP FL | 811707306 | COMMON STOCK | 6,652 | $15,000 | thousands by filing date | |
| SEGA SAMMY HLDGS INC FSPONSORED ADR 1 ADR REP 0.25 ORD SHS | 815794102 | SPONSORED ADR | 2,074 | $15,000 | thousands by filing date | |
| TREND MICRO ADR | 89486M206 | COM | 404 | $15,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 2,073 | $15,000 | thousands by filing date | |
| PCCW ADR | 70454G207 | Common Stock | 3,560 | $15,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 1,755 | $15,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 711 | $15,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 369 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 288 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 600 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 350 | $15,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 4,916 | $15,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 5,889 | $15,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 1,425 | $15,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 1,252 | $15,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 1,142 | $15,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 897 | $15,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 797 | $15,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 720 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 436 | $15,000 | thousands by filing date | |
| CHORUS LTD ADR | 17040V107 | ADR | 1,260 | $15,000 | thousands by filing date | |
| HELIOS ADVANTAGE INCOME FD I | 42327W206 | COM NEW | 1,800 | $15,000 | thousands by filing date | |
| PT INDOSAT-ADR | 744383100 | COM | 620 | $15,000 | thousands by filing date | |
| INFORMA PLC ADR | 45672B206 | EQUITY | 920 | $15,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 775 | $14,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 6,004 | $14,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 3,143 | $14,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 371 | $14,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,013 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 1,549 | $14,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 970 | $14,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 1,704 | $14,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 1,305 | $14,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 339 | $14,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 2,067 | $14,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 414 | $14,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,024 | $14,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 314 | $14,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 1,720 | $14,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 3,229 | $14,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 564 | $14,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 365 | $14,000 | thousands by filing date | |
| Bunzl PLC ADR | 120738406 | USD | 132 | $14,000 | thousands by filing date | |
| KERING S A UNSPONSORED ADR | 492089107 | USD | 619 | $14,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 915 | $14,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 4,876 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 765 | $14,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 500 | $14,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 989 | $14,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 8,109 | $14,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 3,274 | $14,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 2,935 | $14,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 1,237 | $14,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 5,764 | $14,000 | thousands by filing date | |
| COLEMAN CABLE INC | 193459302 | COM | 677 | $14,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 434 | $14,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,041 | $14,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 2,534 | $14,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 6,172 | $14,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 1,341 | $14,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,055 | $14,000 | thousands by filing date | |
| FLOW INTL CORP | 343468104 | COM | 3,638 | $14,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 10,244 | $14,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 4,120 | $14,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 874 | $14,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 629 | $14,000 | thousands by filing date | |
| METROCORP BANCSHARES INC | 591650106 | COM | 994 | $14,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 847 | $14,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 791 | $14,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 961 | $14,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 1,760 | $14,000 | thousands by filing date | |
| BofA Preferred | 060505740 | PFD | 544 | $14,000 | thousands by filing date | |
| DOUBLE EAGLE 9.25% A | 258570407 | PREFERR | 580 | $14,000 | thousands by filing date | |
| ABERTIS INFRAESTR-UNSPON ADR | 003381100 | COM | 1,350 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS SATURNS | 80412A200 | PRF | 576 | $14,000 | thousands by filing date | |
| ADELPHIA CONTINGENT VALUE | 00685R706 | COM | 1,410,902 | $14,000 | thousands by filing date | |
| DNB ASA-SPONSOR ADR | 23328E106 | COM | 90 | $14,000 | thousands by filing date | |
| BANK AMERICA CORP | 06052K240 | PRF | 1,250 | $14,000 | thousands by filing date | |
| Deutsche Bk Tst 6.55%Perp Cl 5 | 25153x208 | PFD | 566 | $14,000 | thousands by filing date | |
| Alabama Power 5.20% Div Qualif | 010392595 | PFD | 550 | $14,000 | thousands by filing date | |
| CTB US 11/16/13 P28 | CM0020072 | OPT | 100 | $14,000 | thousands by filing date | put |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 275 | $13,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 196 | $13,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,654 | $13,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 374 | $13,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 800 | $13,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 638 | $13,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 915 | $13,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 727 | $13,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 893 | $13,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 1,794 | $13,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 1,107 | $13,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,000 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 200 | $13,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 1,885 | $13,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 542 | $13,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 680 | $13,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,078 | $13,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 580 | $13,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 533 | $13,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 967 | $13,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 5,120 | $13,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 261 | $13,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,890 | $13,000 | thousands by filing date | |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 270 | $13,000 | thousands by filing date | |
| ALSTOM SA UNSPON ADR | 021244207 | COM | 3,659 | $13,000 | thousands by filing date | |
| COMMERCIAL INTL BANK-ADR | 201712304 | COM | 2,397 | $13,000 | thousands by filing date | |
| KASIKORNBANK PCL UNSPON ADR | 485785109 | COM | 582 | $13,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 514 | $13,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 800 | $13,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 1,624 | $13,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 1,087 | $13,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 4,240 | $13,000 | thousands by filing date | |
| HORIZON PHARMA INC | 44047T109 | COM | 3,752 | $13,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 15,200 | $13,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 3,629 | $13,000 | thousands by filing date | |
| MAXYGEN INC | 577776107 | COM | 5,190 | $13,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 1,037 | $13,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 1,355 | $13,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 1,743 | $13,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 1,650 | $13,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 6,142 | $13,000 | thousands by filing date | |
| THOMAS PPTYS GROUP INC | 884453101 | COM | 1,885 | $13,000 | thousands by filing date | |
| CHELSEA THERAPEUTICS INTL LT | 163428105 | COM | 4,182 | $13,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 917 | $13,000 | thousands by filing date | |
| CHINDEX INTERNATIONAL INC | 169467107 | COM | 741 | $13,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 1,490 | $13,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,058 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 379 | $13,000 | thousands by filing date | |
| M&T CAPITAL TRUST IV $0.085 PFD | 55292C203 | PREFERRED | 500 | $13,000 | thousands by filing date | |
| PUBLIC STORAGE 6.875% $1.7188 PFD | 74460D182 | PREFERRED | 500 | $13,000 | thousands by filing date | |
| BELLE INTERNATIONAL | 078454105 | COM | 873 | $13,000 | thousands by filing date | |
| Nextera Energy Capital | 65339K506 | Preferred Stock | 500 | $13,000 | thousands by filing date | |
| JOHNSON MATTHEY PLC-SPON ADR | 479142408 | COM | 146 | $13,000 | thousands by filing date | |
| OIL SEARCH LTD-SPONSORED ADR | 677890303 | COM | 160 | $13,000 | thousands by filing date | |
| FINMECCANICA SPA-UNSPN ADR | 318027208 | COM | 4,298 | $13,000 | thousands by filing date | |
| VALLOUREC SA-SPN ADR | 92023R308 | COM | 1,100 | $13,000 | thousands by filing date | |
| MURRAY & ROBERTS-SPON ADR | 626805204 | COM | 4,811 | $13,000 | thousands by filing date | |
| GUOCO GROUP LTD-UNSPON ADR | 403227101 | COM | 540 | $13,000 | thousands by filing date | |
| ALLIANCE OIL COMPANY | G0252S106 | COM | 1,666 | $13,000 | thousands by filing date | |
| HOME RETAIL GROUP-SPON ADR | 43731T102 | COM | 1,179 | $13,000 | thousands by filing date | |
| NEW WORLD DEVELOP -SPONS ADR | 649274305 | COM | 4,162 | $13,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 2,317 | $13,000 | thousands by filing date | |
| AVITA MEDICAL LTD | Q1225T105 | COM | 114,500 | $13,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 9,736 | $12,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 1,185 | $12,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 446 | $12,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 1,800 | $12,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 500 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 1,000 | $12,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 825 | $12,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 543 | $12,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 206 | $12,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 795 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 400 | $12,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 401 | $12,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 300 | $12,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 680 | $12,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 763 | $12,000 | thousands by filing date | |
| RED ELECTRICA ADR | 756568101 | COM | 1,062 | $12,000 | thousands by filing date | |
| COCHLEAR LTD-UNSPON ADR | 191459205 | COM | 406 | $12,000 | thousands by filing date | |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 2,928 | $12,000 | thousands by filing date | |
| SIMS LTD SPON ADR EA | 829160100 | Common Stock | 1,332 | $12,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 529 | $12,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 759 | $12,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 457 | $12,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 430 | $12,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 1,500 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 500 | $12,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 2,259 | $12,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 7,021 | $12,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 361 | $12,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 4,139 | $12,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 6,030 | $12,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 6,614 | $12,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 369 | $12,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 603 | $12,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 4,975 | $12,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 810 | $12,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 5,252 | $12,000 | thousands by filing date | |
| MPG OFFICE TR INC | 553274101 | COM | 3,949 | $12,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 1,000 | $12,000 | thousands by filing date | |
| BLACKROCK CORPOR HIGH YLD FD | 09255L106 | COM | 1,600 | $12,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 4,375 | $12,000 | thousands by filing date | |
| INERGY MIDSTREAM LP | 45671U106 | U LTD PARTNERS | 541 | $12,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 1,612 | $12,000 | thousands by filing date | |
| PENFORD CORP | 707051108 | COM | 789 | $12,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 4,179 | $12,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,420 | $12,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,338 | $12,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 3,067 | $12,000 | thousands by filing date | |
| ESB FINANCIAL CORP | 26884F102 | COM | 944 | $12,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 2,542 | $12,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 1,346 | $12,000 | thousands by filing date | |
| BARRY (R.G.) | 068798107 | COM | 622 | $12,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 1,354 | $12,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 1,554 | $12,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 646 | $12,000 | thousands by filing date | |
| CORTS GS CAPITAL I $0.06 PFD | 22082P208 | PREFERRED | 500 | $12,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 2,835 | $12,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,000 | $12,000 | thousands by filing date | |
| Israel Chemicals Limited (ADR) | 465036200 | COM | 1,416 | $12,000 | thousands by filing date | |
| TATE & LYLE | 876570607 | COM | 255 | $12,000 | thousands by filing date | |
| TIGER BRANDS LTD ADR NEW | 88673M201 | ADR | 410 | $12,000 | thousands by filing date | |
| CABCO SER 2004-102 | 12679R204 | PRF | 600 | $12,000 | thousands by filing date | |
| MERRILL LYNCH CAPITAL | 59024T203 | PRF | 500 | $12,000 | thousands by filing date | |
| PREMIER FOODS PLC-UNSPON ADR | 74051J200 | COM | 962 | $12,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC | 539439802 | PRF | 442 | $12,000 | thousands by filing date | |
| PATRIOT COAL CORP | 70336TAA2 | CONV BND | 115,000 | $12,000 | thousands by filing date | principal |
| GABELLI DIVIDEND & | 36242H500 | PRF | 448 | $12,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T100 | EXCH TRAD SPVXSP | 250 | $12,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 1,292 | $11,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 896 | $11,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 200 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 204 | $11,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 302 | $11,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 637 | $11,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 751 | $11,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 1,123 | $11,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 860 | $11,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 1,995 | $11,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 1,175 | $11,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 634 | $11,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 409 | $11,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 676 | $11,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 496 | $11,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 936 | $11,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 1,812 | $11,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 1,387 | $11,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 4,346 | $11,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 422 | $11,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 2,349 | $11,000 | thousands by filing date | |
| RANDSTAD N.V. UNSP | 75279Q108 | Common Stock | 385 | $11,000 | thousands by filing date | |
| CLICKS GROUP LTD | 18682W205 | Common Stock | 990 | $11,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 843 | $11,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 958 | $11,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 490 | $11,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 2,316 | $11,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 2,227 | $11,000 | thousands by filing date | |
| VOCUS INC | 92858J108 | COM | 1,222 | $11,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 3,794 | $11,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 854 | $11,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 1,550 | $11,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 790 | $11,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 2,931 | $11,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 4,090 | $11,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 2,549 | $11,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 3,572 | $11,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R742 | AUSTRALIA BD | 116 | $11,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 899 | $11,000 | thousands by filing date | |
| ARABIAN AMERICAN DEVELOPMENT | 038465100 | COM | 1,239 | $11,000 | thousands by filing date | |
| CLIFTON SAVINGS BANCORP INC | 18712Q103 | COM | 865 | $11,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 1,346 | $11,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 733 | $11,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,548 | $11,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 630 | $11,000 | thousands by filing date | |
| ADVANCED CELL TECHNOLOGY INC. | 00752K105 | COM | 160,000 | $11,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 153 | $11,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 175 | $11,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 1,500 | $11,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 2,460 | $11,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 160 | $11,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 500 | $11,000 | thousands by filing date | |
| HEALTHCARE TR OF AMERICA | 42225P402 | cs | 1,092 | $11,000 | thousands by filing date | |
| WORLETYPARSONS LTD | 98161Q101 | COM | 478 | $11,000 | thousands by filing date | |
| CITIGROUP FUNDING INC | 17313T730 | PRF | 1,000 | $11,000 | thousands by filing date | |
| VORNADO REALTY TRUST * | 929042802 | PRF | 478 | $11,000 | thousands by filing date | |
| ING GROEP N V | 456837400 | PRF | 500 | $11,000 | thousands by filing date | |
| MERCK KGAA-UNSPONSORED ADR | 589339100 | COM | 216 | $11,000 | thousands by filing date | |
| PEUGEOT SA-SPONSORED ADR | 716825500 | COM | 697 | $11,000 | thousands by filing date | |
| COSTA INC | 22149T102 | CL A | 594 | $11,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 83 | $10,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,492 | $10,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 500 | $10,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 500 | $10,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 283 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 700 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 684 | $10,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 919 | $10,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 200 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 623 | $10,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 1,115 | $10,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 356 | $10,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 596 | $10,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 561 | $10,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 1,575 | $10,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 718 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 283 | $10,000 | thousands by filing date | |
| BARABOO BANCORP | 067021105 | COM | 4,800 | $10,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 637 | $10,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 1,424 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 652 | $10,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 508 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $10,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 7,770 | $10,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,298 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 500 | $10,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 373 | $10,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 3,641 | $10,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 1,652 | $10,000 | thousands by filing date | |
| INPEX CORP UNSPON ADR | 45790H101 | COM | 830 | $10,000 | thousands by filing date | |
| ENAGAS UNSPONSORED ADR | 29248L104 | COM | 836 | $10,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 551 | $10,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 302 | $10,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 942 | $10,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,865 | $10,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 600 | $10,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,591 | $10,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 1,102 | $10,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 641 | $10,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 1,590 | $10,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 3,678 | $10,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 2,531 | $10,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 616 | $10,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,294 | $10,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 3,288 | $10,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 734 | $10,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 872 | $10,000 | thousands by filing date | |
| EASTERN INSURANCE HOLDINGS | 276534104 | COM | 401 | $10,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 383 | $10,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 1,310 | $10,000 | thousands by filing date | |
| L+L ENERGY INC | 50162D100 | COM | 8,303 | $10,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 1,000 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 500 | $10,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 570 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD CBOE | 33733E609 | S\&P.* | 450 | $10,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 135 | $10,000 | thousands by filing date | |
| SINGAPORE FUND | 82929L109 | COM | 755 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 500 | $10,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 801 | $10,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 2,331 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 290 | $10,000 | thousands by filing date | |
| Vornado Realty Tr 6.625% Pfd Series I | 929042877 | com | 400 | $10,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL | 376536306 | PRF | 400 | $10,000 | thousands by filing date | |
| JUPITER TELECOM-UNSPON ADR | 48206M102 | COM | 840 | $10,000 | thousands by filing date | |
| PRUDENTIAL PLC PERPETUAL | G7293H189 | PRF | 400 | $10,000 | thousands by filing date | |
| ENTERGY ARKANSAS INC | 29364D779 | PRF | 414 | $10,000 | thousands by filing date | |
| CHINA MERCHANTS-UNSPON ADR | 1694EN103 | COM | 280 | $10,000 | thousands by filing date | |
| CenturyLink SnNotes 7.0% 2050 | 74913G402 | PFD | 400 | $10,000 | thousands by filing date | |
| NOKIAN TYRES OYJ-UNSPON ADR | 65528V107 | ADR | 378 | $10,000 | thousands by filing date | |
| GEORGIA PWR CO PFD 8.2% | 373334457 | COM | 400 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 500 | $10,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,065 | $9,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 1,000 | $9,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 550 | $9,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 245 | $9,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 630 | $9,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 1,346 | $9,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,532 | $9,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 363 | $9,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 156 | $9,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 790 | $9,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 1,424 | $9,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 788 | $9,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 255 | $9,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 257 | $9,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 617 | $9,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 475 | $9,000 | thousands by filing date | |
| RECEPTOS, INC. | 756207106 | COMMON STOCK | 360 | $9,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 3,652 | $9,000 | thousands by filing date | |
| NIPPON YUSEN KK ADR | 654633304 | COM | 1,454 | $9,000 | thousands by filing date | |
| ITV ADR | 45069P107 | Common Stock | 328 | $9,000 | thousands by filing date | |
| PT INDOFOOD SUSKSES | 45577X105 | Common Stock | 290 | $9,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,302 | $9,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 70 | $9,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 1,284 | $9,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 451 | $9,000 | thousands by filing date | |
| TARGACEPT INC | 87611R306 | COM | 1,830 | $9,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 2,159 | $9,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 547 | $9,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 502 | $9,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 886 | $9,000 | thousands by filing date | |
| CRIMSON EXPLORATION INC | 22662K207 | COM NEW | 2,881 | $9,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 2,616 | $9,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 648 | $9,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 894 | $9,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-13-009529 | this filing | 2013-11-14 | acceptance time not in the bulk data set |