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 |
|---|---|---|---|---|---|---|
| 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 | |
| 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 | |
| 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 | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 1,075 | $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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| DENISON MINES CORP | 91688T104 | COM | 5,000 | $5,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 86 | $5,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 249 | $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 | |
| 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 | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 114 | $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 | |
| 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 | |
| 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 |
| 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 | |
| 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 | |
| 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 | |
| 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 | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 505 | $3,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 278 | $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 | |
| 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 | |
| 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 | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 6 | $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 | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 27 | $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 | |
| 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 | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 176 | $2,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 120 | $2,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 7,400 | $2,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 50 | $2,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 100 | $2,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R204 | COM | 10,000 | $2,000 | thousands by filing date | |
| IVANHOE ENERGY INC | 465790301 | COM NEW | 2,166 | $2,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 200 | $1,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 20 | $1,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 18 | $1,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 48 | $1,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 37 | $1,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 13 | $1,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 32 | $1,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 10 | $1,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 41 | $1,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 9 | $1,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 7 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 19 | $1,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 70 | $1,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 38 | $1,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 32 | $1,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 100 | $1,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 33 | $1,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 23 | $1,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 25 | $1,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 100 | $1,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 18 | $1,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 250 | $1,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 89 | $1,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 100 | $1,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 63 | $1,000 | thousands by filing date | |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 6 | $1,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 50 | $1,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 118 | $1,000 | thousands by filing date | |
| MAGNETEK INC | 559424403 | COMMON STOCK | 50 | $1,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 508 | $1,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 72 | $1,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 100 | $1,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 22 | $1,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 315 | $1,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 28 | $1,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 10 | $1,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 40 | $1,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 65 | $1,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 200 | $1,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 333 | $1,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 156 | $1,000 | thousands by filing date | |
| TRULIA INC | 897888103 | COM | 30 | $1,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 200 | $1,000 | thousands by filing date | call |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 500 | $1,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 260 | $1,000 | thousands by filing date | |
| NETSUITE INC | 64118Q107 | COM | 7 | $1,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 19 | $1,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 55 | $1,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 1,000 | $1,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 340 | $1,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 65 | $1,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 100 | $1,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 700 | $1,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 5 | $1,000 | thousands by filing date | |
| SUNTECH PWR HLDGS CO LTD | 86800C104 | ADR | 660 | $1,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 45 | $1,000 | thousands by filing date | |
| TRI-TECH HOLDING | G9103F106 | SHS | 600 | $1,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 285 | $1,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 500 | $1,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 152 | $1,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 250 | $1,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 200 | $1,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 70 | $1,000 | thousands by filing date | |
| VRINGO INC | 92911N112 | W EXP 06/21/201 | 1,000 | $1,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 210 | $1,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARQ INC | 00770C101 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLUG PWR INC | 72919P202 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KOPIN CORP | 500600101 | COMMON STOCK | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KOSS CORP | 500692108 | COM | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 135 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 95 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREAT PANTHER MINING | 39115V101 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RARE ELEMENT RES LTD | 75381M102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 68 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMATION CORP | 45245A107 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LONE PINE RES INC | 54222A106 | COM | 306 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RICHMONT MINES INC | 76547T106 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROUSE PPTYS INC | 779287101 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 348 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 86 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVACOPPER INC | 66988K102 | COM | 184 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRONTLINE LTD | G3682E127 | COM | 175 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Delcath Systems Inc | 24661p104 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CNH GLOBAL N V | N20935206 | SHS NEW | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OI S.A. | 670851104 | SPONSORED ADR | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEMCELLS INC | 85857R204 | COM NEW | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZAZA ENERGY CORP | 98919T100 | COM | 53 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 53 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORD MTR CO DEL | 345370CF5 | NOTE 4.250%12/1 | 5,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| OXIGENE INC | 691828404 | COM PAR$.001 | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LOOKSMART LTD | 543442503 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SINGAPORE FUND | 82929L109 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QAD INC-B | 74727D207 | Common | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 230 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MANAGEMENT NETWORK GROUP INC | 561693201 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTREMED INC | 29382F202 | COM | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06739F176 | COM | 130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |