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 |
|---|---|---|---|---|---|---|
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 1,350 | $19,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 2,000 | $19,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 15,000 | $19,000 | thousands by filing date | |
| INERGY MIDSTREAM LP | 45671U106 | U LTD PARTNERS | 864 | $19,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 213 | $19,000 | thousands by filing date | principal |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 200 | $19,000 | thousands by filing date | put |
| COHEN & STEERS DIV MJRS FDIN | 19248G106 | COM | 1,400 | $19,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 1,200 | $18,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 1,200 | $18,000 | thousands by filing date | call |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,750 | $18,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,162 | $18,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 304 | $18,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 1,472 | $18,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 1,500 | $18,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 716 | $18,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 2,050 | $18,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 350 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 244 | $18,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 1,326 | $18,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 575 | $18,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 919 | $18,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 500 | $18,000 | thousands by filing date | call |
| MOBILE MINI INC | 60740F105 | COM | 520 | $18,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 33 | $18,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 832 | $18,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 646 | $18,000 | thousands by filing date | |
| RUE21 INC | 781295100 | COM | 456 | $18,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 450 | $18,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 600 | $18,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 10,000 | $18,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 500 | $17,000 | thousands by filing date | call |
| EXELIXIS INC COM | 30161Q104 | Stock | 3,000 | $17,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 59 | $17,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,035 | $17,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 3,200 | $17,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 247 | $17,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 296 | $17,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 1,000 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 295 | $17,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 293 | $17,000 | thousands by filing date | |
| BOULDER BRANDS INC | 101405108 | COMMON STOCK | 1,047 | $17,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 1,600 | $17,000 | thousands by filing date | |
| GRAFTECH INTERNATIONAL LTD | 384313102 | COMMON STOCK | 2,000 | $17,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 1,030 | $17,000 | thousands by filing date | |
| ZOLTEK COS INC | 98975W104 | COM | 1,000 | $17,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 187 | $17,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 1,000 | $17,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 8,600 | $17,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 251 | $16,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 1,116 | $16,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 500 | $16,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 532 | $16,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 378 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 350 | $16,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,450 | $16,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 1,182 | $16,000 | thousands by filing date | |
| BOULDER BRANDS INC | 101405108 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | put |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 143 | $16,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 832 | $16,000 | thousands by filing date | |
| MEASUREMENT SPECIALTIES INC | 583421102 | COM | 299 | $16,000 | thousands by filing date | |
| VOLCANO CORPORATION | 928645100 | COM | 654 | $16,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 1,201 | $16,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 718 | $16,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 375 | $16,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 900 | $16,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 1,100 | $15,000 | thousands by filing date | call |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 2,000 | $15,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 878 | $15,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 295 | $15,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 380 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 466 | $15,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 395 | $15,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 247 | $15,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 300 | $15,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 935 | $15,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 731 | $15,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC COM | 92672A101 | Stock | 711 | $15,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 3,672 | $15,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 5,252 | $15,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 600 | $15,000 | thousands by filing date | |
| WATERSTONE FINANCIAL INC | 941888109 | COM | 1,500 | $15,000 | thousands by filing date | |
| GENTIVA HEALTH SERVICES | 37247A102 | COM | 1,186 | $15,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 8,000 | $15,000 | thousands by filing date | |
| ALLIANZGI GLOBAL EQUITY & CO | 01882W100 | COM | 1,000 | $15,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 1,900 | $15,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 2,000 | $15,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 3,000 | $15,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 1,100 | $15,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 285 | $15,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 375 | $14,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 1,897 | $14,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 430 | $14,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 785 | $14,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 3,100 | $14,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 599 | $14,000 | thousands by filing date | |
| CONSOLIDATED GRAPHICS INC | 209341106 | COMMON STOCK | 252 | $14,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 474 | $14,000 | thousands by filing date | |
| AFC ENTERPRISES INC | 00104Q107 | COM | 330 | $14,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 1,352 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C188 | IPATH S&P500 VIX | 927 | $14,000 | thousands by filing date | |
| ZYGO CORP | 989855101 | COM | 900 | $14,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 133 | $13,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 1,200 | $13,000 | thousands by filing date | call |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 266 | $13,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 535 | $13,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 100 | $13,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 500 | $13,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 348 | $13,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 219 | $13,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 1,267 | $13,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 535 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 448 | $13,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 584 | $13,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 1,000 | $13,000 | thousands by filing date | |
| JOS A BANK CLOTHIERS INC | 480838101 | COM | 287 | $13,000 | thousands by filing date | |
| UNITED STATIONERS INC | 913004107 | COM | 300 | $13,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 3,500 | $13,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 879 | $13,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 766 | $13,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 482 | $13,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 714 | $13,000 | thousands by filing date | |
| SALIENT MLP & ENERGY INFRSTR | 79471T100 | COM SH BEN INT | 500 | $13,000 | thousands by filing date | |
| ARABIAN AMERICAN DEVELOPMENT | 038465100 | COM | 1,446 | $13,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 1,207 | $13,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 1,200 | $13,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 13,620 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 589 | $13,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 867 | $12,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 1,500 | $12,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,680 | $12,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 307 | $12,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 189 | $12,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 500 | $12,000 | thousands by filing date | call |
| NEWS CORP NEW | 65249B208 | CL B | 700 | $12,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 400 | $12,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,000 | $12,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 670 | $12,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 800 | $12,000 | thousands by filing date | call |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 1,000 | $12,000 | thousands by filing date | call |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 401 | $12,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 1,630 | $12,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 1,102 | $12,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 700 | $12,000 | thousands by filing date | put |
| TECO ENERGY INC | 872375100 | COM | 700 | $12,000 | thousands by filing date | call |
| OM GROUP INC | 670872100 | COM | 355 | $12,000 | thousands by filing date | |
| ROCKWOOD HLDGS INC | 774415103 | COM | 176 | $12,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 345 | $12,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 653 | $12,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 6,000 | $12,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 1,000 | $12,000 | thousands by filing date | |
| RICK'S CABARET INTL INC | 765641303 | COM | 1,000 | $12,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 4,320 | $12,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 1,000 | $12,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 630 | $11,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 235 | $11,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 7,786 | $11,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 143 | $11,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 425 | $11,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 300 | $11,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 1,000 | $11,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 305 | $11,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 200 | $11,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 1,010 | $11,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 245 | $11,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 208 | $11,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 1,184 | $11,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 439 | $11,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 242 | $11,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,500 | $11,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 1,328 | $11,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 776 | $11,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 552 | $11,000 | thousands by filing date | |
| KNIGHT TRANSN INC | 499064103 | COM | 663 | $11,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 428 | $11,000 | thousands by filing date | |
| Hologic | 436440AA9 | CONV | 10,000 | $11,000 | thousands by filing date | principal |
| SUPERTEX INC | 868532102 | COM | 420 | $11,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 500 | $11,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 500 | $11,000 | thousands by filing date | |
| CARDERO RES CORP | 14140U105 | COM | 63,645 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 95 | $10,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 179 | $10,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 615 | $10,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 1,030 | $10,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 113 | $10,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 418 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 200 | $10,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 763 | $10,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 1,049 | $10,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 958 | $10,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 314 | $10,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 598 | $10,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 368 | $10,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 450 | $10,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 2,540 | $10,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 225 | $10,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 485 | $10,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 732 | $10,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 260 | $10,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 464 | $10,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 824 | $10,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,455 | $10,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 800 | $10,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,000 | $10,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,000 | $10,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 811 | $10,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 295 | $10,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 364 | $10,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 589 | $10,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 1,000 | $10,000 | thousands by filing date | put |
| MENS WEARHOUSE INC | 587118100 | COM | 281 | $10,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 2,375 | $10,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 70 | $10,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 2,500 | $10,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 1,903 | $10,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 700 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 250 | $10,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 737 | $9,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 150 | $9,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 1,340 | $9,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 248 | $9,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 648 | $9,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 500 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 153 | $9,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 739 | $9,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 245 | $9,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 305 | $9,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 500 | $9,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 450 | $9,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,500 | $9,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 296 | $9,000 | thousands by filing date | |
| ZEP INC | 98944B108 | COMMON STOCK | 585 | $9,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 1,130 | $9,000 | thousands by filing date | |
| INFINITY PROPERTY & CASUALTY | 45665Q103 | COMMON STOCK | 127 | $9,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 364 | $9,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 375 | $9,000 | thousands by filing date | |
| FOSTER WHEELER AG | H27178104 | COM | 350 | $9,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 2,000 | $9,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 392 | $9,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 7,000 | $9,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 969 | $9,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 820 | $9,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 8,000 | $9,000 | thousands by filing date | principal |
| NEWLINK GENETICS CORP | 651511107 | COM | 490 | $9,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 214 | $9,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 1,028 | $9,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 2,500 | $9,000 | thousands by filing date | |
| WAGEWORKS INC | 930427109 | COM | 172 | $9,000 | thousands by filing date | |
| Brigus Gold Corp | 109490102 | COM | 14,948 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 400 | $9,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 375 | $9,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 500 | $9,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 396 | $8,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 175 | $8,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 416 | $8,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 125 | $8,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 1,041 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 150 | $8,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 889 | $8,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 500 | $8,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 344 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 400 | $8,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 688 | $8,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 1,344 | $8,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 1,300 | $8,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST | 49803T102 | COMMON STOCK | 1,360 | $8,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 400 | $8,000 | thousands by filing date | principal |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 926 | $8,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 400 | $8,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 358 | $8,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 1,100 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 200 | $8,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097796 | SP ADR PREF M | 400 | $8,000 | thousands by filing date | principal |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 5,622 | $8,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 1,123 | $8,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 316 | $8,000 | thousands by filing date | |
| ETFS WHITE METALS BASKET TR | 26923B104 | PHY WM BSK SHS | 200 | $8,000 | thousands by filing date | |
| QUATERRA RES INC | 747952109 | COM | 54,500 | $8,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 150 | $7,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 200 | $7,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 533 | $7,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 500 | $7,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 692 | $7,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 1,000 | $7,000 | thousands by filing date | call |
| CABELAS INC | 126804301 | COM | 104 | $7,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 509 | $7,000 | thousands by filing date | |
| UNIVERSAL FST PRODS INC | 913543104 | COM | 170 | $7,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 250 | $7,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 374 | $7,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 1,400 | $7,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 446 | $7,000 | thousands by filing date | |
| PIONEER SOUTHWEST ENERGY | 72388B106 | COMMON STOCK | 154 | $7,000 | thousands by filing date | |
| WASHINGTON BANKING CO | 937303105 | COMMON STOCK | 500 | $7,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 594 | $7,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 506 | $7,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 5,000 | $7,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 509 | $7,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 1,075 | $7,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 600 | $7,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 428 | $7,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 2,264 | $7,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 200 | $7,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 617 | $7,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 402 | $7,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 1,000 | $7,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 590 | $7,000 | thousands by filing date | |
| MEADOWBROOK INS GROUP INC | 58319P108 | COM | 1,145 | $7,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 325 | $7,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 1,003 | $7,000 | thousands by filing date | |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 30,000 | $7,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 250 | $7,000 | thousands by filing date | |
| MAIDENFORM BRANDS INC | 560305104 | COM | 295 | $7,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 610 | $7,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 825 | $7,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 6,000 | $7,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 7,623 | $7,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 375 | $7,000 | thousands by filing date | |
| HELIOS HIGH YIELD FD | 42328Q109 | COM | 740 | $7,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 4,563 | $7,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 65 | $6,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 235 | $6,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 200 | $6,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 237 | $6,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 500 | $6,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 300 | $6,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 1,000 | $6,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 364 | $6,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 500 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 300 | $6,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 300 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 279 | $6,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 235 | $6,000 | thousands by filing date | |
| EVERBANK FINANCIAL CORPORATION | 29977G102 | COMMON STOCK | 387 | $6,000 | thousands by filing date | |
| MEDIA GENERAL INC | 584404107 | COMMON STOCK | 400 | $6,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 100 | $6,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 261 | $6,000 | thousands by filing date | |
| ATLAS ENERGY LP | 04930A104 | COM UNITS LP | 105 | $6,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 200 | $6,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 192 | $6,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 1,284 | $6,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 174 | $6,000 | thousands by filing date | |
| ASSOCIATED ESTATES RLTY CORP | 045604105 | COM | 400 | $6,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 200 | $6,000 | thousands by filing date | |
| TELLABS INC | 879664100 | COM | 2,647 | $6,000 | thousands by filing date | |
| NUVERRA ENVIRNMNTL SOLUTIO | 67091K104 | COM | 2,500 | $6,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 400 | $6,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 300 | $6,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 2,000 | $6,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 168 | $6,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 494 | $5,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 400 | $5,000 | thousands by filing date | call |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 500 | $5,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 66 | $5,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 132 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 98 | $5,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 202 | $5,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 491 | $5,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 284 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 50 | $5,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 131 | $5,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 305 | $5,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 516 | $5,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 366 | $5,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 1,030 | $5,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 127 | $5,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 133 | $5,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 311 | $5,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,384 | $5,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 3,000 | $5,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 545 | $5,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 100 | $5,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 11 | $5,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 5,000 | $5,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 249 | $5,000 | thousands by filing date | |
| AMSURG CORP | 03232P405 | COM | 129 | $5,000 | thousands by filing date | |
| CBEYOND INC | 149847105 | COM | 808 | $5,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 240 | $5,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 620 | $5,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 250 | $5,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 696 | $5,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 500 | $5,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 2,000 | $5,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 400 | $5,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 250 | $5,000 | thousands by filing date | |
| BURGER KING WORLDWIDE INC | 121220107 | COM | 250 | $5,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 1,958 | $5,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 200 | $5,000 | thousands by filing date | principal |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 312 | $5,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 720 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 86 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 100 | $5,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 231 | $4,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 500 | $4,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 235 | $4,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 220 | $4,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,075 | $4,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 111 | $4,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 153 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 50 | $4,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 218 | $4,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 241 | $4,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 132 | $4,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 600 | $4,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 150 | $4,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 1,500 | $4,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 5,000 | $4,000 | thousands by filing date | principal |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 150 | $4,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 75 | $4,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 166 | $4,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 200 | $4,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 100 | $4,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 712 | $4,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 479 | $4,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 1,000 | $4,000 | thousands by filing date | |
| DIGITAL RIV INC | 25388B104 | COM | 180 | $4,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 241 | $4,000 | thousands by filing date | |
| NASH FINCH CO | 631158102 | COM | 156 | $4,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 100 | $4,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD III | 09255M104 | COM | 500 | $4,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 1,000 | $4,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 132 | $4,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 436 | $4,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 1,000 | $4,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A301 | ULTRASHORT EUROP | 230 | $4,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 1,000 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 400 | $4,000 | thousands by filing date | |
| COAST DISTR SYS | 190345108 | COM | 1,000 | $4,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 2,571 | $4,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 370 | $4,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 430 | $3,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 91 | $3,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 150 | $3,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 100 | $3,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 100 | $3,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 505 | $3,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,028 | $3,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 574 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 24 | $3,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 151 | $3,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 1,200 | $3,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 200 | $3,000 | thousands by filing date | |
| HI-TECH PHARMACAL CO INC | 42840B101 | COMMON STOCK | 81 | $3,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 84 | $3,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 174 | $3,000 | thousands by filing date | |
| JOURNAL COMMUNICATIONS INC-A | 481130102 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| SYMETRA FINANCIAL CORP | 87151Q106 | COMMON STOCK | 150 | $3,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 605 | $3,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 1,012 | $3,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 111 | $3,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 950 | $3,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 300 | $3,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 25 | $3,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 102 | $3,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 840 | $3,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 1,072 | $3,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 150 | $3,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 1,365 | $3,000 | thousands by filing date | |
| THERMOGENESIS CORP | 883623308 | COM | 2,500 | $3,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 352 | $3,000 | thousands by filing date | |
| BLACKROCK HIGH YIELD TR | 09248N102 | SHS | 500 | $3,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 1,300 | $3,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 188 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 57 | $3,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 40 | $2,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 14 | $2,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 26 | $2,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 39 | $2,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 18 | $2,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 50 | $2,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 30 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 17 | $2,000 | thousands by filing date | |
| INTERFACE INC | 458665304 | COM | 120 | $2,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 6,169 | $2,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 200 | $2,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 134 | $2,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 114 | $2,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 400 | $2,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 131 | $2,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 100 | $2,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 64 | $2,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 95 | $2,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 1,100 | $2,000 | thousands by filing date | put |
| Spectra Energy Partners | 84756N109 | COM | 56 | $2,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 150 | $2,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 772 | $2,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 2,000 | $2,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 215 | $2,000 | thousands by filing date | |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 216 | $2,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 500 | $2,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 190 | $2,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 100 | $2,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 2,412 | $2,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 110 | $2,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 198 | $2,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 1,000 | $2,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 300 | $2,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 400 | $2,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 333 | $2,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 1,000 | $2,000 | 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 |