13F-HR/A filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR/A for the quarter ended 2013-09-30, filed 2014-01-08, with 3,829 holding rows worth $64,367,352,000.
- Accession
- 0000950123-14-000067
- Filer
- CIK 927971
- Filed
- 2014-01-08
- 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, amendment of type restatement, 10,234 entries on the cover page, a total value of $64,367,352,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $64,367,352,000 with VALUE read as thousands by filing date, 13F file number 028-07640. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| 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 | |
| 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 | |
| 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 | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 5,260 | $33,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 2,325 | $33,000 | 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 | |
| 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 | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 3,206 | $32,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 4,602 | $32,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 392 | $32,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 1,230 | $32,000 | 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 | |
| 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 | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 3,913 | $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 | |
| EASTERN INSURANCE HOLDINGS | 276534104 | COM | 1,256 | $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 | 344 | $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 | |
| OSI SYSTEMS INC | 671044105 | COM | 398 | $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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| DIAMOND FOODS INC | 252603105 | COM | 1,000 | $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 | |
| 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 | |
| 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 | |
| VALLEY NATL BANCORP | 919794107 | COM | 2,190 | $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 |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| ELECSYS CORP | 28473M100 | COM | 2,467 | $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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| INVENTURE FOODS INC | 461212102 | COM | 1,437 | $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 | |
| 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 | |
| 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 | |
| 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 | |
| ROCKWOOD HLDGS INC | 774415103 | COM | 192 | $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 | |
| 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 |
| 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 |
| 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 | |
| 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 | |
| LIVEPERSON, INC. | 538146101 | COM | 1,184 | $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 | |
| COHU INC | 192576106 | COM | 958 | $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 | |
| 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 | |
| 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 | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 1,340 | $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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-13-009822 | superseded | 2013-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-14-000067 | this filing | 2014-01-08 | acceptance time not in the bulk data set |