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 |
|---|---|---|---|---|---|---|
| NIPPON STEEL CORP-SPON ADR | 65461T101 | COM | 1,079 | $37,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 3,553 | $37,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 600 | $37,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 840 | $37,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,415 | $37,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R700 | 7-15 YR US TRS | 447 | $37,000 | thousands by filing date | |
| DEUTSCHE BANK CAP FUND IX PFD | 25153Y206 | PREFERR | 1,500 | $37,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 2,500 | $37,000 | thousands by filing date | |
| GENERAL ELECTRIC CAP CORP 4.875% | 369622428 | PREFERRED | 1,697 | $37,000 | thousands by filing date | |
| EDF-UNSPON ADR | 285039103 | COM | 6,041 | $37,000 | thousands by filing date | |
| SHINSEI BANK LTD-SPON ADR | 824631105 | COM | 7,550 | $37,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 4,223 | $36,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,625 | $36,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 1,666 | $36,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 4,258 | $36,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 1,022 | $36,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 1,289 | $36,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 974 | $36,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 868 | $36,000 | thousands by filing date | |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 1,182 | $36,000 | thousands by filing date | |
| ISHARES TR | 464288455 | EPRA/NAR NA IN | 765 | $36,000 | thousands by filing date | |
| REXAM PLC-SPONSORED ADR | 761655505 | COM | 927 | $36,000 | thousands by filing date | |
| ING GROEP N V | 456837509 | PRF | 1,597 | $36,000 | thousands by filing date | |
| EISAI CO LTD-SPONSORED ADR | 282579309 | COM | 883 | $36,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 2,787 | $35,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 2,402 | $35,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 1,279 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 1,360 | $35,000 | thousands by filing date | |
| MURATA MANUFACTURING CO LTD | 626425102 | International Equities, EAFE, Large Cap | 1,836 | $35,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 1,362 | $35,000 | thousands by filing date | |
| Power Assets Holdings Ltd | 739197200 | Common Stock | 3,879 | $35,000 | thousands by filing date | |
| ROCHESTER MED CORP | 771497104 | COM | 1,776 | $35,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 30,485 | $35,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 2,493 | $35,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 777 | $35,000 | thousands by filing date | |
| TOWER FINANCIAL CORP | 891769101 | COM | 1,500 | $35,000 | thousands by filing date | |
| INDEPENDENT ALLIANCE | 45380E104 | COM | 1,500 | $35,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 1,810 | $34,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 4,620 | $34,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 1,198 | $34,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 2,457 | $34,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 1,093 | $34,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,702 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 606 | $34,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 1,546 | $34,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 2,172 | $34,000 | thousands by filing date | |
| KOC HOLDINGS AS UNSPONSORED TURK ADR | 49989A109 | COM | 1,504 | $34,000 | thousands by filing date | |
| WYNN MACAU LTD | 98313R106 | Common Stock | 985 | $34,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 11,484 | $34,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 6,836 | $34,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 1,248 | $34,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 8,492 | $34,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 5,335 | $34,000 | thousands by filing date | |
| JSC MMC NORILSK ADR | 46626D108 | COM | 2,376 | $34,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 800 | $34,000 | thousands by filing date | |
| Fiat SPA Sp ADR Ord | 315621888 | COM | 4,249 | $34,000 | thousands by filing date | |
| STAR TRIBUNE CO | 85519YC08 | COM | 1,098 | $34,000 | thousands by filing date | |
| PRUDENTIAL FINANCIAL INC | 744320409 | PRF | 1,300 | $34,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W308 | DB JAP GOV BD | 1,600 | $34,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 870 | $33,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 649 | $33,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 675 | $33,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 5,624 | $33,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,100 | $33,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 3,210 | $33,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 995 | $33,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 2,294 | $33,000 | thousands by filing date | |
| BIDVEST GROUP LTD | 088836309 | Common Stock | 653 | $33,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 1,489 | $33,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 3,804 | $33,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,024 | $33,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 645 | $33,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 16,898 | $33,000 | thousands by filing date | |
| SILICON IMAGE INC | 82705T102 | COM | 6,049 | $33,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 3,961 | $33,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 3,594 | $33,000 | thousands by filing date | |
| QWEST CORP | 74913G204 | PFD | 1,304 | $33,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 1,335 | $33,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,650 | $33,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 2,200 | $33,000 | thousands by filing date | |
| GALAXY ENTERTAINMENT GROUP | 36318L104 | COM | 475 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 950 | $33,000 | thousands by filing date | |
| Santos Limited ADR | 803021708 | COM | 2,326 | $33,000 | thousands by filing date | |
| RHODES COMPANIES | 762356XX6 | COM | 109,053 | $33,000 | thousands by filing date | |
| ASSURED GUARANTY MUNI | 04623A304 | PRF | 1,540 | $33,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 391 | $32,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 1,308 | $32,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 2,059 | $32,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 1,037 | $32,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 1,191 | $32,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 858 | $32,000 | thousands by filing date | |
| STELLARONE CORP | 85856G100 | COMMON STOCK | 1,416 | $32,000 | thousands by filing date | |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 1,691 | $32,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 450 | $32,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 6,309 | $32,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 3,287 | $32,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 4,297 | $32,000 | thousands by filing date | |
| ZOLTEK COS INC | 98975W104 | COM | 1,890 | $32,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 1,990 | $32,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 1,364 | $32,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 478 | $32,000 | thousands by filing date | |
| Penn REIT 8.25% Pfd Series A | 709102404 | com | 1,250 | $32,000 | thousands by filing date | |
| UNITED STATES CELLULAR | 911684405 | PRF | 1,321 | $32,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 1,207 | $31,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 532 | $31,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 968 | $31,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 3,369 | $31,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 4,973 | $31,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 3,399 | $31,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 656 | $31,000 | thousands by filing date | |
| ASM INTERNATIONAL NV | N07045102 | Common Stock | 890 | $31,000 | thousands by filing date | |
| Lenovo Group Ltd | 526250105 | Equity | 1,495 | $31,000 | thousands by filing date | |
| PORSCHE AUTOMOBILUNSP ADR | 73328P106 | COM | 3,513 | $31,000 | thousands by filing date | |
| TURKIYE GARANTI BANK | 900148701 | COM | 7,852 | $31,000 | thousands by filing date | |
| SWISSCOM AG-SPONSORED ADR | 871013108 | COM | 648 | $31,000 | thousands by filing date | |
| BOMBARDIER INC FCLASS B | 097751200 | COM | 6,521 | $31,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 1,400 | $31,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 2,396 | $31,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 1,839 | $31,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 3,510 | $31,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 2,000 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 2,135 | $31,000 | thousands by filing date | |
| BB&T CORP 5.625% PFD | 054937404 | ps | 1,499 | $31,000 | thousands by filing date | |
| GTECH S P A | 40053Q104 | COM | 1,073 | $31,000 | thousands by filing date | |
| RICOH CO LTD-SPONSORED ADR | 765658307 | COM | 545 | $31,000 | thousands by filing date | |
| WHARF HOLDINGS-UNSPON ADR | 962257408 | COM | 1,800 | $31,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 2,898 | $30,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 1,140 | $30,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,490 | $30,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 2,062 | $30,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 1,350 | $30,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 5,797 | $30,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 3,459 | $30,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 1,208 | $30,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 2,277 | $30,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 1,000 | $30,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 1,279 | $30,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 4,435 | $30,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 691 | $30,000 | thousands by filing date | |
| TOTO LIMITED ADR | 891515207 | ADUS | 1,074 | $30,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 275 | $30,000 | thousands by filing date | |
| INTERNTNL CONS AIRLS A FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 459348108 | AMERICAN DEPOSITORY | 1,113 | $30,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 3,650 | $30,000 | thousands by filing date | |
| SHISEIDO LTD-SPONSORED ADR | 824841407 | COM | 1,654 | $30,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 2,528 | $30,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 1,500 | $30,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 2,999 | $30,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 2,642 | $30,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 16,389 | $30,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 1,318 | $30,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 859 | $30,000 | thousands by filing date | |
| IPATH PURE BETA INDUSTRIALS | 06740P296 | ETP | 910 | $30,000 | thousands by filing date | |
| DANSKE BANK A/S-UNSPONS ADR | 236363107 | COM | 2,768 | $30,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 362 | $29,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 6,793 | $29,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 2,264 | $29,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 1,417 | $29,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 1,216 | $29,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 1,407 | $29,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 750 | $29,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 847 | $29,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 1,345 | $29,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 1,940 | $29,000 | thousands by filing date | |
| VALEO SA ADR | 919134304 | COM | 668 | $29,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 2,541 | $29,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 16,309 | $29,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 1,566 | $29,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 7,027 | $29,000 | thousands by filing date | |
| Dominion Res Inc Enhanced Jr Sub Notes 2009A | 25746U604 | Com | 1,119 | $29,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC 6.2% $1.55 PFD | 38144X500 | PREFERRED | 1,200 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E317 | GLBLX CEN ASIA | 2,074 | $29,000 | thousands by filing date | |
| WANT WANT CHINA HLDGS LTD ADR | 93370R107 | ADR | 380 | $29,000 | thousands by filing date | |
| WM MORRISON-UNSPON ADR | 92933J107 | COM | 1,277 | $29,000 | thousands by filing date | |
| ELECTROLUX AB -SPONS ADR B | 010198208 | COM | 555 | $29,000 | thousands by filing date | |
| BANK AMERICA CORP | 06052H635 | PRF | 2,360 | $29,000 | thousands by filing date | |
| ANTOFAGASTA PLC -SPON ADR | 037189107 | COM | 1,059 | $29,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 821 | $28,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 1,754 | $28,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 1,400 | $28,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 642 | $28,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,528 | $28,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 902 | $28,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 576 | $28,000 | thousands by filing date | |
| MITSUBISHI ELEC CORP ADR | 606776201 | COM | 1,324 | $28,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 829 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 975 | $28,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 959 | $28,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 864 | $28,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 3,156 | $28,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 1,035 | $28,000 | thousands by filing date | |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 1,995 | $28,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 971 | $28,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 1,450 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 659 | $28,000 | thousands by filing date | |
| WHEELOCK & CO LTD-UNSPON ADR | 963271200 | COM | 519 | $28,000 | thousands by filing date | |
| DAITO TRUST CONS-UNSPON ADR | 23405X100 | COM | 1,109 | $28,000 | thousands by filing date | |
| BANK AMERICA CORP MARKET | 06052E848 | PRF | 2,770 | $28,000 | thousands by filing date | |
| AMERIPRISE FINANCIAL INC | 03076C205 | PREFERRED STOCK | 1,100 | $28,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 1,286 | $27,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 3,810 | $27,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 1,872 | $27,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 2,689 | $27,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 2,100 | $27,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 1,421 | $27,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 1,790 | $27,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,369 | $27,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 1,213 | $27,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 1,750 | $27,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 1,901 | $27,000 | thousands by filing date | |
| SAFRAN S A SPON ADR | 786584102 | ADUS | 435 | $27,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 3,814 | $27,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 2,000 | $27,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,202 | $27,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 8,436 | $27,000 | thousands by filing date | |
| CHINA SHENHUA UNSPONS ADR | 16942A302 | COM | 2,157 | $27,000 | thousands by filing date | |
| LEGAL AND GEN GROUP SPON ADR | 52463H103 | COM | 1,714 | $27,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 2,236 | $27,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 690 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 1,125 | $27,000 | thousands by filing date | |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 4,255 | $27,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 743 | $27,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 3,575 | $27,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 6,676 | $27,000 | thousands by filing date | |
| GLOBECOMM SYSTEMS INC | 37956X103 | COM | 1,899 | $27,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 3,000 | $27,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 2,770 | $27,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 1,451 | $27,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 1,017 | $27,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L209 | US MC TRENDP ETN | 900 | $27,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 981 | $27,000 | thousands by filing date | |
| US Bancorp | 902973817 | PFD | 1,000 | $27,000 | thousands by filing date | |
| SEMEN GRESIK PERSERO TBK PT | 69367J100 | ADR | 1,206 | $27,000 | thousands by filing date | |
| BELGACOM SA-UNSPON ADR | 077701100 | COM | 5,013 | $27,000 | thousands by filing date | |
| TOKYO GAS CO LTD-UNSPON ADR | 889115101 | COM | 1,230 | $27,000 | thousands by filing date | |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 186,725 | $27,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 739 | $26,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 557 | $26,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 2,225 | $26,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 500 | $26,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 1,511 | $26,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 1,275 | $26,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 1,482 | $26,000 | thousands by filing date | |
| Credit Agricole Sa Unsponsored Adr | 225313105 | Equity | 4,677 | $26,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 32,000 | $26,000 | thousands by filing date | principal |
| BANK MANDIRI TBK ADR | 69367U105 | COM | 3,827 | $26,000 | thousands by filing date | |
| HELLENIC TELECOM ORG | 423325307 | Common Stock | 5,001 | $26,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 4,615 | $26,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 5,880 | $26,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 4,150 | $26,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 570 | $26,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 948 | $26,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 926 | $26,000 | thousands by filing date | |
| VIRGINIA COMM BANCORP INC | 92778Q109 | COM | 1,681 | $26,000 | thousands by filing date | |
| AMERICAN PACIFIC CORP | 028740108 | COM | 483 | $26,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,191 | $26,000 | thousands by filing date | |
| Qwest Corporation 7.50% Notes | 74913G303 | PFD | 806 | $26,000 | thousands by filing date | |
| SHENGDATECH INC | 823213AD5 | CONV BND | 2,610,000 | $26,000 | thousands by filing date | principal |
| PETROFAC LTD- UNSPON ADR | 716473103 | COM | 2,305 | $26,000 | thousands by filing date | |
| GENERAL AMERICAN | 368802401 | PRF | 1,026 | $26,000 | thousands by filing date | |
| VNB CAPITAL TR I VALLEY | 92856Q203 | PRF | 1,050 | $26,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 454 | $25,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 653 | $25,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 1,969 | $25,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,478 | $25,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 338 | $25,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,427 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 549 | $25,000 | thousands by filing date | |
| DEUTSCHE BOERSE UNSPONSORD ADR | 251542106 | COM | 3,309 | $25,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 4,800 | $25,000 | thousands by filing date | |
| Impala Platinum Holdings Ltd | 452553308 | Equity | 2,009 | $25,000 | thousands by filing date | |
| SEKISUI HOUSE SPONS ADR | 816078307 | COM | 1,856 | $25,000 | thousands by filing date | |
| SMITHS GROUP ADR | 83238P203 | COM | 1,121 | $25,000 | thousands by filing date | |
| SWIRE PACIFIC LTD SP ADR A | 870794302 | COM | 2,080 | $25,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 423 | $25,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 2,305 | $25,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 979 | $25,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 4,773 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 700 | $25,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 3,250 | $25,000 | thousands by filing date | |
| UNITED FINANCIAL BANCORP INC | 91030T109 | COM | 1,526 | $25,000 | thousands by filing date | |
| ROCKVILLE FINANCIAL INC | 774188106 | COM | 1,954 | $25,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 3,827 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,000 | $25,000 | thousands by filing date | |
| CITIGROUP CAP X 6.1% 9/30/3 | 173064205 | PFD | 1,000 | $25,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 2,573 | $25,000 | thousands by filing date | |
| ALLY FINANCIAL INC | 36186C400 | PREFERRED | 1,000 | $25,000 | thousands by filing date | |
| STRATEGIC HOTELS & * | 86272T403 | PRF | 1,100 | $25,000 | thousands by filing date | |
| HEIDELBERGCEMENT AG-UNSP ADR | 42281P205 | COM | 1,621 | $25,000 | thousands by filing date | |
| DEUTSCHE BANK CAPITAL | 25154D102 | PRF | 1,000 | $25,000 | thousands by filing date | |
| TABLE TRAC INC COM | 87336P106 | COM | 31,500 | $25,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 271 | $24,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 1,720 | $24,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 500 | $24,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 1,478 | $24,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 1,347 | $24,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 517 | $24,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 1,000 | $24,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 1,355 | $24,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 1,850 | $24,000 | thousands by filing date | |
| JOURNAL COMMUNICATIONS INC-A | 481130102 | COMMON STOCK | 2,749 | $24,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 1,469 | $24,000 | thousands by filing date | |
| SYSMEX COR | 87184P109 | USD | 731 | $24,000 | thousands by filing date | |
| ASSOC BRITISH FOODS UNSP ADR | 045519402 | COM | 785 | $24,000 | thousands by filing date | |
| SUBSEA 7 SA | 864323100 | COM | 1,140 | $24,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,004 | $24,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,897 | $24,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 3,000 | $24,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 5,000 | $24,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 1,350 | $24,000 | thousands by filing date | |
| WIECHAI POWER ADR | 948597109 | Common Stock | 1,541 | $24,000 | thousands by filing date | |
| NSK LTD-UNSPONSORED ADR | 670184100 | COM | 1,174 | $24,000 | thousands by filing date | |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 13,617 | $24,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 343 | $23,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 700 | $23,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 222 | $23,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 3,174 | $23,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 1,163 | $23,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 3,225 | $23,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 3,831 | $23,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 2,348 | $23,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 1,626 | $23,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,289 | $23,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 998 | $23,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 890 | $23,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 1,537 | $23,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 3,837 | $23,000 | thousands by filing date | |
| AKBANK TURK ANONIM SIRKETI ADR | 009719501 | COM | 3,066 | $23,000 | thousands by filing date | |
| UNITED UTILITIES GROUP ADR | 91311E102 | COM | 1,045 | $23,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 5,022 | $23,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 17,515 | $23,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 2,331 | $23,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 6,143 | $23,000 | thousands by filing date | |
| ANAREN INC | 032744104 | COM | 923 | $23,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $23,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 4,687 | $23,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 2,261 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 856 | $23,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 721 | $23,000 | thousands by filing date | |
| HICKORYTECH CORP | 429060106 | COM | 2,017 | $23,000 | thousands by filing date | |
| NORTHERN LTS ETF TR | 66537H105 | ARROW DJ GLOBL | 885 | $23,000 | thousands by filing date | |
| LEAR CORP WARRANTS | 521865113 | COMMON | 166 | $23,000 | thousands by filing date | |
| FPL GROUP CAP TR I 5.875% 3/15 | 30257V207 | PFD | 960 | $23,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 650 | $23,000 | thousands by filing date | |
| Tsingtao Brewery Ltd Sp ADR Cl | 898529102 | COM | 300 | $23,000 | thousands by filing date | |
| WISCONSIN PUBLIC SERVICE | 976843508 | PRF | 220 | $23,000 | thousands by filing date | |
| GABELLI CONV & INCOME | 36240B307 | PRF | 925 | $23,000 | thousands by filing date | |
| BBDBCN 6 1/4 | 097751705 | CONV PRF | 1,000 | $23,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 195 | $22,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,000 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 333 | $22,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 721 | $22,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 2,050 | $22,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 1,882 | $22,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 435 | $22,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 1,394 | $22,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 1,337 | $22,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 855 | $22,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 1,028 | $22,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 1,085 | $22,000 | thousands by filing date | |
| CRIMSON WINE GROUP LTD COM | 22662X100 | COM | 2,256 | $22,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 1,400 | $22,000 | thousands by filing date | |
| AEROFLEX HOLDING CORP | 007767106 | COMMON STOCK | 3,005 | $22,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 949 | $22,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 2,032 | $22,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 960 | $22,000 | thousands by filing date | |
| NUVERRA ENVIRNMNTL SOLUTIO | 67091K104 | COM | 9,961 | $22,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 913 | $22,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 1,212 | $22,000 | thousands by filing date | |
| DE Master Blenders 1753 NV | N2563N109 | COM | 1,300 | $22,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 8,170 | $22,000 | thousands by filing date | |
| ESPRIT HOLDINGS LTD-SPON ADR | 29666V204 | COM | 6,900 | $22,000 | thousands by filing date | |
| ACOM CO LTD-SPONSORED ADR | 004845202 | COM | 2,390 | $22,000 | thousands by filing date | |
| ATLANTIA SPA-UNSPONSORED ADR | 048173108 | COM | 2,146 | $22,000 | thousands by filing date | |
| TECHNICOLOR-SPON ADR | 878520204 | COM | 4,240 | $22,000 | thousands by filing date | |
| CORP BACKED TR CTFS 03-7 | 21988G262 | PRF | 860 | $22,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,390 | $21,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 216 | $21,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 912 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 300 | $21,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 364 | $21,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 1,275 | $21,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,694 | $21,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,100 | $21,000 | thousands by filing date | |
| TOKYO ELECTRON LTD ADR | 889110102 | COM | 1,544 | $21,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 196 | $21,000 | thousands by filing date | |
| Fortescue Ltd | 34959A206 | Equity | 2,369 | $21,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 1,550 | $21,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 2,311 | $21,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 3,925 | $21,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 843 | $21,000 | thousands by filing date | |
| KIRIN BREWERY CO ADR | 497350306 | COM | 1,406 | $21,000 | thousands by filing date | |
| ASTRA INTERNATIONAL ADR | 69367X109 | COM | 1,863 | $21,000 | thousands by filing date | |
| NOVOZYMES A/S-UNSPONS ADR | 670108109 | COM | 537 | $21,000 | thousands by filing date | |
| OMV AG-BEARER SHRS ADR | 670875509 | COM | 430 | $21,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,863 | $21,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 10,835 | $21,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 2,210 | $21,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 300 | $21,000 | thousands by filing date | |
| HARBINGER GROUP INC | 41146A106 | COM | 2,058 | $21,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 1,040 | $21,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 8,170 | $21,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 2,330 | $21,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 6,087 | $21,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 837 | $21,000 | thousands by filing date | |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 12,000 | $21,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 526 | $21,000 | thousands by filing date | |
| AEGON NV PFD | 007924509 | PREFERRED | 1,000 | $21,000 | thousands by filing date | |
| ***ERROR:MISSING*** | 739363AF6 | ***MISSING*** | 4,200,000 | $21,000 | thousands by filing date | principal |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 341 | $21,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 950 | $21,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 746 | $21,000 | thousands by filing date | |
| JARDINE STRATEGIC HLDGS UNSPON | 471122200 | Common | 1,246 | $21,000 | thousands by filing date | |
| TURKIYE VAKIFLAR-UNSPON ADR | 90015N103 | COM | 935 | $21,000 | thousands by filing date | |
| HACHIJUNI BANK LTD-UNS ADR | 404508202 | COM | 330 | $21,000 | thousands by filing date | |
| JBS SA-SPONSORED ADR | 466110103 | COM | 2,974 | $21,000 | thousands by filing date | |
| CTB US 11/16/13 P30 | CM0020064 | OPT | 112 | $21,000 | thousands by filing date | put |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 1,616 | $20,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 1,254 | $20,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 388 | $20,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 1,535 | $20,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 1,193 | $20,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 1,245 | $20,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 396 | $20,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 1,338 | $20,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 1,993 | $20,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 1,381 | $20,000 | thousands by filing date | |
| GOLDMAN SACHS PFD VARIABLE RAT | 38143Y665 | PREFERR | 1,000 | $20,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 1,500 | $20,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 1,610 | $20,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 1,496 | $20,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 1,993 | $20,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 1,209 | $20,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 4,885 | $20,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,053 | $20,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 1,500 | $20,000 | thousands by filing date | |
| GMAC LLC 7.375% Sr Notes | 36186C509 | Pfd Stk | 800 | $20,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 423 | $20,000 | thousands by filing date | |
| ZYGO CORP | 989855101 | COM | 1,237 | $20,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 1,561 | $20,000 | thousands by filing date | |
| PETROLEUM GEO-SERVICES-ADR | 716599105 | ADR | 1,619 | $20,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 900 | $20,000 | thousands by filing date | |
| PARTNERRE LTD 6.50% PFD SERIES | G68603409 | PREFERR | 854 | $20,000 | thousands by filing date | |
| TOSHIBA CORP-UNSPONSORED ADR | 891493306 | COM | 738 | $20,000 | thousands by filing date | |
| CORTS TR P | 22080R206 | Preferred Stock | 700 | $20,000 | thousands by filing date | |
| GRIFFIN | 398179101 | COMMON STOCK | 2,002 | $20,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 3,314 | $19,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 681 | $19,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 294 | $19,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 1,040 | $19,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 1,928 | $19,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 1,012 | $19,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 984 | $19,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 600 | $19,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 994 | $19,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 1,900 | $19,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 1,786 | $19,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 300 | $19,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 1,191 | $19,000 | thousands by filing date | |
| ERSTE GROUP BANK AG SPONS ADR | 296036304 | FOREIGN | 1,220 | $19,000 | thousands by filing date | |
| Burberry Group PLC | 12082W204 | COM | 365 | $19,000 | thousands by filing date | |
| Henkel AG & Co KGaA | 42550U109 | Equity | 215 | $19,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 2,612 | $19,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 5,432 | $19,000 | thousands by filing date | |
| SKF AB SPON ADR | 784375404 | COM | 690 | $19,000 | thousands by filing date | |
| BANK RAKYAT INDONESIA UNSPN ADR | 69366X100 | COM | 1,505 | $19,000 | thousands by filing date | |
| HANG LUNG PROPERTIES SP ADR | 41043M104 | COM | 1,105 | $19,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 492 | $19,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 3,018 | $19,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 5,687 | $19,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 1,261 | $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 | |
| SEQUENOM INC COM NEW | 817337405 | COM | 7,178 | $19,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 4,701 | $19,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 2,699 | $19,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 7,876 | $19,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 891 | $19,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 1,000 | $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 | |
| 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 | |
| WACHOVIA FND 7.25% $1.8125 PFD | 92977V206 | PREFERRED | 736 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 350 | $19,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461860 | EGSHARE ENGY GEM | 870 | $19,000 | thousands by filing date | |
| HANG SENG BANK-SPONSORED ADR | 41043C304 | COM | 1,171 | $19,000 | thousands by filing date | |
| TNT EXPRESS NV-ADR | 87262N109 | COM | 2,117 | $19,000 | thousands by filing date | |
| TORRINGTON WATER CO | 891466104 | COM | 534 | $19,000 | thousands by filing date | |
| YAHOO! JAPAN CORP-UNSPON ADR | 98433V102 | COM | 1,020 | $19,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 1,718 | $18,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 1,986 | $18,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 251 | $18,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 749 | $18,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 1,403 | $18,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 873 | $18,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 800 | $18,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 889 | $18,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 996 | $18,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 642 | $18,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 809 | $18,000 | 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 |