13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 3,637 holding rows worth $57,059,439,000.
- Accession
- 0000950123-13-009822
- Filer
- CIK 927971
- 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 holdings report, 9,610 entries on the cover page, a total value of $57,059,439,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $57,059,439,000 with VALUE read as thousands by filing date, 13F file number 028-07640. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerBMO HARRIS BANK NA
- included managerBMO ASSET MANAGEMENT CORP
- included managerSTOKER OSTLER WEALTH ADVISORS, INC
- included managerBMO NESBITT BURNS INC
- included managerBMO HARRIS INVESTMENT MANAGEMENT INC
- included managerBMO ASSET MANAGEMENT INC
- included managerSULLIVAN, BRUYETTE, SPEROS & BLANEY, INC
- included managerBMO HARRIS FINANCIAL ADVISORS, INC
- included managerBMO INVESTOR LINE INC
- included managerBANK OF MONTREAL IRELAND PLC
- included managerPYRFORD INTERNATIONAL LTD
- included managerBMO CAPITAL MARKETS CORP
- included managerBMO DELAWARE TRUST COMPANY
- included managerLLOYD GEORGE MANAGEMENT
- included managerNORTH STAR TRUST COMPANY
- included managerTAPLIN CANIDA & HABACHT LLC
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 |
|---|---|---|---|---|---|---|
| GEO GROUP INC | 36159R103 | COMMON STOCK | 1,783 | $59,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 2,335 | $59,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 3,630 | $59,000 | thousands by filing date | |
| OFFICEMAX INC DEL | 67622P101 | COM | 4,675 | $59,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 2,250 | $58,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 5,000 | $58,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 6,000 | $58,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 29,390 | $58,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 1,119 | $57,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 952 | $57,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 2,160 | $57,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 1,781 | $57,000 | thousands by filing date | |
| PROSHARES | 74347X237 | EXCHANGE TRADED | 3,000 | $57,000 | thousands by filing date | |
| BELO CORP | 080555105 | COM SER A | 4,165 | $57,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 11,559 | $57,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 6,800 | $56,000 | thousands by filing date | call |
| BOSTON BEER INC CL A | 100557107 | Stock | 226 | $56,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 1,047 | $56,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 1,320 | $56,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 4,092 | $56,000 | thousands by filing date | |
| BANCORPSOUTH INC | 059692103 | COM | 2,786 | $56,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 464 | $55,000 | thousands by filing date | |
| APPLIED INDL TECHNOLOGIES INC COM | 03820C105 | Stock | 1,069 | $55,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 1,461 | $55,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 3,600 | $55,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233101 | COMMON STOCK | 2,500 | $55,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 3,236 | $55,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 13,703 | $55,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 1,350 | $55,000 | thousands by filing date | |
| VALUECLICK INC | 92046N102 | COM | 2,641 | $55,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 10,232 | $55,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 3,581 | $54,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 700 | $54,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 1,330 | $54,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 2,305 | $54,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 3,176 | $54,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 1,404 | $54,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 3,062 | $54,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 603 | $54,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 13,854 | $54,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 2,814 | $54,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 3,980 | $54,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 3,550 | $54,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 2,920 | $53,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 2,327 | $53,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 2,055 | $53,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 1,557 | $53,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 8,694 | $53,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 2,797 | $53,000 | thousands by filing date | |
| FIRST CASH FINL SVCS INC | 31942D107 | COM | 912 | $53,000 | thousands by filing date | |
| TORTOISE ENERGY CAP CORP | 89147U100 | COM | 1,681 | $53,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,456 | $53,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 1,970 | $52,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 1,948 | $52,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 931 | $52,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 5,000 | $52,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 1,279 | $52,000 | thousands by filing date | |
| Trunkbow Intl Holdings | 89818A102 | COM | 45,961 | $52,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 947 | $51,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 2,800 | $51,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 2,500 | $51,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 7,500 | $51,000 | thousands by filing date | |
| ISOFTSTONE HLDGS LTD | 46489B108 | SPONSORED ADS | 10,450 | $51,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 2,660 | $51,000 | thousands by filing date | |
| H & Q HEALTHCARE INVESTORS | 404052102 | SH BEN INT | 2,146 | $51,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 1,000 | $50,000 | thousands by filing date | put |
| SEMTECH CORP COM | 816850101 | Stock | 1,662 | $50,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 1,000 | $50,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 2,340 | $50,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 2,682 | $50,000 | thousands by filing date | |
| LAMAR ADVERTISING | 512815101 | COMMON STOCK | 1,054 | $50,000 | thousands by filing date | |
| Lowes Companies Inc | 42222G108 | LOW | 1,591 | $50,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 710 | $49,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 1,727 | $49,000 | thousands by filing date | |
| EASTGROUP PPTYS INC | 277276101 | COM | 828 | $49,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 845 | $49,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 469 | $49,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 1,000 | $49,000 | thousands by filing date | put |
| CAMBREX CORP | 132011107 | COM | 3,676 | $49,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 1,747 | $49,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 8,920 | $49,000 | thousands by filing date | |
| LONCOR RESOURCES INC | 54179W101 | COM | 277,350 | $49,000 | thousands by filing date | |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 592 | $48,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 1,937 | $48,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 2,119 | $48,000 | thousands by filing date | |
| MWI VETERINARY SUPPLY INC | 55402X105 | COM | 319 | $48,000 | thousands by filing date | |
| SMITHFIELD FOODS INC | 832248108 | COM | 1,410 | $48,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 2,156 | $48,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,760 | $48,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 1,764 | $47,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 924 | $47,000 | thousands by filing date | |
| ELAN PLC | 284131208 | ADR | 3,000 | $47,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 4,375 | $47,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 7,125 | $47,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 615 | $46,000 | thousands by filing date | |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 1,624 | $46,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 1,500 | $46,000 | thousands by filing date | put |
| PPL CORP COM | 69351T106 | Stock | 1,500 | $46,000 | thousands by filing date | call |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 2,420 | $46,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 2,250 | $46,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 1,459 | $46,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 2,447 | $46,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 813 | $46,000 | thousands by filing date | |
| CITY NATL CORP | 178566105 | COM | 684 | $46,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 831 | $45,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 485 | $45,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 1,073 | $45,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 732 | $45,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 4,061 | $45,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 4,000 | $45,000 | thousands by filing date | |
| STERIS CORP | 859152100 | COMMON STOCK | 1,065 | $45,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 1,094 | $45,000 | thousands by filing date | |
| DST SYS INC DEL | 233326107 | COM | 595 | $45,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 2,500 | $45,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 1,500 | $44,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,700 | $44,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 665 | $44,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 1,343 | $44,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 554 | $44,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 7,254 | $44,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 1,800 | $44,000 | thousands by filing date | principal |
| COMPUWARE CORP | 205638109 | COM | 3,952 | $44,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 1,770 | $44,000 | thousands by filing date | principal |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 3,095 | $43,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 2,867 | $43,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 500 | $43,000 | thousands by filing date | put |
| OXFORD INDS INC | 691497309 | COM | 636 | $43,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 2,000 | $43,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 1,100 | $43,000 | thousands by filing date | |
| OPENTABLE INC | 68372A104 | COM | 619 | $43,000 | thousands by filing date | |
| OUTERWALL INC | 690070107 | COM | 864 | $43,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 1,000 | $43,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 2,000 | $43,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 1,100 | $42,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,645 | $42,000 | thousands by filing date | |
| ICU MED INC | 44930G107 | COM | 618 | $42,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 2,375 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 650 | $42,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 1,063 | $42,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 1,309 | $42,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 1,500 | $42,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 1,818 | $42,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 12,113 | $42,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 6,000 | $41,000 | thousands by filing date | |
| WEX INC | 96208T104 | COM | 472 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 2,720 | $41,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 10,000 | $41,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 7,500 | $41,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 1,295 | $41,000 | thousands by filing date | |
| NORDION INC | 65563c105 | COM | 4,731 | $41,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 38,000 | $41,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 450 | $40,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 1,581 | $40,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 727 | $40,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 444 | $40,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 1,485 | $40,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 1,800 | $40,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 570 | $40,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 5,000 | $40,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 798 | $39,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 498 | $39,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 4,150 | $39,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 909 | $39,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 940 | $39,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 1,094 | $39,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 1,288 | $39,000 | thousands by filing date | |
| DWS | 23338W104 | EXCHANGE TRADED | 4,865 | $39,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 1,156 | $39,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 323 | $39,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 2,910 | $39,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 8,000 | $39,000 | thousands by filing date | call |
| GIGAMON INC | 37518B102 | COM | 1,000 | $39,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 2,100 | $39,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 952 | $38,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 970 | $38,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 4,100 | $38,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 771 | $38,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 1,829 | $38,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 1,112 | $38,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 820 | $38,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 2,424 | $38,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 3,500 | $38,000 | thousands by filing date | |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 2,720 | $38,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 10,000 | $38,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 1,215 | $37,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 1,221 | $37,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 2,967 | $37,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 1,463 | $37,000 | thousands by filing date | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 1,239 | $37,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 1,633 | $37,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 1,683 | $37,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 1,500 | $37,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 3,000 | $37,000 | thousands by filing date | |
| TECHE HLDG CO | 878330109 | COM | 800 | $37,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 2,000 | $36,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 1,625 | $36,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 3,496 | $36,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 331 | $36,000 | thousands by filing date | |
| CAPLEASE INC | 140288101 | COM | 4,207 | $36,000 | thousands by filing date | |
| ISHARES INC MSCI UTD KINGD | 464286699 | COM | 1,833 | $36,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 601 | $36,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 1,500 | $36,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 1,425 | $36,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 6,048 | $36,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 700 | $35,000 | thousands by filing date | call |
| BUCKLE INC COM | 118440106 | Stock | 646 | $35,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 1,858 | $35,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 634 | $35,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 1,400 | $35,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 338 | $35,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 2,062 | $35,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 5,400 | $35,000 | thousands by filing date | put |
| NEONODE INC | 64051M402 | COM NEW | 5,400 | $35,000 | thousands by filing date | call |
| HITTITE MICROWAVE CORP | 43365Y104 | COM | 537 | $35,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 1,000 | $35,000 | thousands by filing date | |
| BLACKROCK STRTGC BOND TR | 09249G106 | COM | 2,700 | $35,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 9,000 | $35,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 5,050 | $34,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 780 | $34,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 1,414 | $34,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 1,900 | $34,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 850 | $34,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 1,119 | $34,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 1,120 | $34,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 3,803 | $34,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 2,249 | $34,000 | thousands by filing date | |
| GREATBATCH INC | 39153L106 | COM | 1,000 | $34,000 | thousands by filing date | |
| DRESSER-RAND GROUP INC | 261608103 | COM | 545 | $34,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 500 | $34,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 317 | $33,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 4,000 | $33,000 | thousands by filing date | put |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 855 | $33,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 766 | $33,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 750 | $33,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 860 | $33,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 1,030 | $33,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 1,724 | $33,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 1,850 | $33,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,250 | $33,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 1,221 | $33,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 5,260 | $33,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 864 | $32,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 1,308 | $32,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 764 | $32,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 1,650 | $32,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 307 | $32,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 2,372 | $32,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 2,000 | $32,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 1,335 | $32,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 687 | $32,000 | thousands by filing date | |
| PINNACLE ENTMT INC | 723456109 | COM | 1,275 | $32,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 3,260 | $32,000 | thousands by filing date | |
| UNION FIRST MKT BANKSH CP | 90662P104 | COM | 1,390 | $32,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 3,206 | $32,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 1,230 | $32,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 552 | $31,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 400 | $31,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 480 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 1,000 | $31,000 | thousands by filing date | |
| QUAKER HOUGHTON | 747316107 | COM | 427 | $31,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 285 | $31,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 3,500 | $31,000 | thousands by filing date | |
| BLACKROCK | 09250E107 | EXCHANGE TRADED | 15,000 | $31,000 | thousands by filing date | |
| WARNER CHILCOTT PLC IRELAND | G94368100 | SHS A | 1,350 | $31,000 | thousands by filing date | |
| PHILIPPINE LONG DISTANCE TEL | 718252604 | SPONSORED ADR | 450 | $31,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 2,000 | $31,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X764 | S&PINTL MC ETF | 914 | $31,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 979 | $30,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 803 | $30,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 337 | $30,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 562 | $30,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 400 | $30,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 1,900 | $30,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 4,426 | $30,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 1,600 | $30,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 2,488 | $30,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 696 | $30,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 648 | $30,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 475 | $30,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 984 | $30,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 2,713 | $30,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 1,733 | $30,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 10,000 | $30,000 | thousands by filing date | |
| HARRIS TEETER SUPERMARKETS I | 414585109 | COM | 616 | $30,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 360 | $30,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 1,604 | $30,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 955 | $30,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 485 | $29,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 727 | $29,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 1,500 | $29,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,553 | $29,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 389 | $29,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 2,050 | $29,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 1,425 | $29,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 3,900 | $29,000 | thousands by filing date | put |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 1,500 | $29,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 2,104 | $29,000 | thousands by filing date | |
| IGATE CORP | 45169U105 | COM | 1,050 | $29,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 828 | $29,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 813 | $29,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 1,197 | $28,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 1,026 | $28,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 840 | $28,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 2,350 | $28,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 800 | $28,000 | thousands by filing date | put |
| Inergy, LP | 456615103 | LTD | 2,000 | $28,000 | thousands by filing date | |
| COLONIAL PROPERTIES TRUST | 195872106 | COM | 1,252 | $28,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 335 | $27,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 995 | $27,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 6,331 | $27,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 700 | $27,000 | thousands by filing date | put |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 700 | $27,000 | thousands by filing date | call |
| HOME BANCSHARES INC COM | 436893200 | Stock | 894 | $27,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 395 | $27,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 2,999 | $27,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 798 | $27,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 444 | $27,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 954 | $27,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 1,354 | $27,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 1,850 | $27,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 1,155 | $27,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 2,850 | $27,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 928 | $27,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 500 | $27,000 | thousands by filing date | put |
| ENSCO PLC | G3157S106 | SHS CLASS A | 500 | $27,000 | thousands by filing date | call |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 1,103 | $27,000 | thousands by filing date | |
| Cynosure, Inc. | 232577205 | COM | 1,184 | $27,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 5,500 | $27,000 | thousands by filing date | call |
| PHH CORP | 693320202 | COM NEW | 1,135 | $27,000 | thousands by filing date | |
| ARBITRON INC | 03875Q108 | COM | 560 | $27,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T107 | COM | 1,017 | $27,000 | thousands by filing date | |
| ORBITAL SCIENCES CORP | 685564106 | COM | 1,305 | $27,000 | thousands by filing date | |
| NEWPORT CORP | 651824104 | COM | 1,670 | $27,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 1,100 | $27,000 | thousands by filing date | principal |
| AMREIT INC | 03216B208 | CL B | 1,549 | $27,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 2,382 | $26,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 1,000 | $26,000 | thousands by filing date | put |
| CSX Corporation | 126408103 | COM | 1,000 | $26,000 | thousands by filing date | call |
| STEWART ENTERPRISES INC | 860370105 | CL A | 2,000 | $26,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 688 | $26,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 1,071 | $26,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 155 | $26,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 525 | $26,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 449 | $26,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 640 | $26,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 531 | $26,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 1,832 | $26,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,500 | $26,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 2,000 | $26,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 700 | $26,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 3,250 | $26,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 472 | $26,000 | thousands by filing date | |
| DREW INDS INC | 26168L205 | COM NEW | 572 | $26,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 1,641 | $26,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 448 | $26,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 539 | $26,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 2,223 | $26,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 950 | $26,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 600 | $26,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 1,400 | $25,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 545 | $25,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 234 | $25,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 1,300 | $25,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 400 | $25,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 1,028 | $25,000 | thousands by filing date | |
| EXPONENT INC | 30214U102 | COM | 340 | $25,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 2,210 | $25,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 712 | $25,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 993 | $25,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 1,000 | $25,000 | thousands by filing date | put |
| U S SILICA HLDGS INC | 90346E103 | COM | 1,000 | $25,000 | thousands by filing date | call |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 2,000 | $25,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 914 | $25,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 980 | $25,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 2,504 | $25,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 1,049 | $25,000 | thousands by filing date | |
| ZILLOW INC | 98954A107 | COMMON STOCK | 300 | $25,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 7,000 | $25,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 5,000 | $25,000 | thousands by filing date | |
| RIVERBED TECHNOLOGY INC | 768573107 | COM | 1,658 | $25,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 20,660 | $25,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 300 | $25,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 1,261 | $25,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 920 | $24,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 500 | $24,000 | thousands by filing date | call |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 969 | $24,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 802 | $24,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 3,215 | $24,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 1,286 | $24,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 891 | $24,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 970 | $24,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,286 | $24,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 1,369 | $24,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 2,000 | $24,000 | thousands by filing date | |
| TCF FINL CORP | 872275102 | COM | 1,698 | $24,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 1,180 | $24,000 | thousands by filing date | |
| WILSHIRE BANCORP INC | 97186T108 | COM | 2,842 | $24,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 1,000 | $24,000 | thousands by filing date | |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 1,249 | $24,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 2,150 | $24,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268100 | COM | 3,039 | $24,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 2,700 | $24,000 | thousands by filing date | |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 15,875 | $24,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 3,000 | $24,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 941 | $24,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 3,925 | $24,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 270 | $23,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 533 | $23,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 271 | $23,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 1,000 | $23,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 873 | $23,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 650 | $23,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 568 | $23,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 346 | $23,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 2,891 | $23,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 2,780 | $23,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,700 | $23,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 836 | $23,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 2,151 | $23,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 1,270 | $23,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 1,294 | $23,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 8,000 | $23,000 | thousands by filing date | |
| INTERMUNE INC | 45884X103 | COM | 1,515 | $23,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 1,500 | $23,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 223 | $22,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 511 | $22,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 1,252 | $22,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 2,190 | $22,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 815 | $22,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 2,500 | $22,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 884 | $22,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 3,762 | $22,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 2,250 | $22,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 1,000 | $22,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 1,000 | $22,000 | thousands by filing date | |
| CANTEL MEDICAL CORP | 138098108 | COM | 691 | $22,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 3,000 | $22,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 1,395 | $22,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 1,171 | $22,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,660 | $22,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 1,599 | $22,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 1,000 | $22,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 927 | $22,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097754 | ADR PREF SHS Q | 1,000 | $22,000 | thousands by filing date | principal |
| DYNAMIC MATLS CORP | 267888105 | COM | 958 | $22,000 | thousands by filing date | |
| MOLYCORP INC $0.055 PFD | 608753208 | PREFERRED | 1,100 | $22,000 | thousands by filing date | principal |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 6,000 | $22,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 378 | $21,000 | thousands by filing date | call |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 312 | $21,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 971 | $21,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 580 | $21,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 565 | $21,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 600 | $21,000 | thousands by filing date | call |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,472 | $21,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 430 | $21,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 593 | $21,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 336 | $21,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 456 | $21,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 1,215 | $21,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 500 | $21,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 800 | $21,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 2,000 | $21,000 | thousands by filing date | call |
| VANGUARD | 92205F106 | Domestic Common | 750 | $21,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 2,350 | $21,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 475 | $20,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,595 | $20,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 568 | $20,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 484 | $20,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 527 | $20,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 469 | $20,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 730 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 403 | $20,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,500 | $20,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 305 | $20,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 1,000 | $20,000 | thousands by filing date | principal |
| VERIS RESIDENTIAL INC | 554489104 | COM | 904 | $20,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 1,256 | $20,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 6,047 | $20,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,000 | $20,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 1,300 | $19,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 589 | $19,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 310 | $19,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 295 | $19,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 3,000 | $19,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 572 | $19,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 310 | $19,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 1,151 | $19,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 500 | $19,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 2,379 | $19,000 | thousands by filing date | |
| INTERACTIVE INTELLIGENCE GROUP | 45841V109 | COMMON STOCK | 305 | $19,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 300 | $19,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 9,900 | $19,000 | thousands by filing date | call |
| CALPINE CORP | 131347304 | COM | 1,000 | $19,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 3,000 | $19,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 351 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U191 | OIL SVCS ETF | 400 | $19,000 | thousands by filing date | |
| SAKS INC | 79377W108 | COM | 1,176 | $19,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 800 | $19,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 1,300 | $19,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 1,425 | $19,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-13-009822 | this filing | 2013-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-14-000067 | base | 2014-01-08 | acceptance time not in the bulk data set |