13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-01-08, with 3,760 holding rows worth $73,078,931,000.
- Accession
- 0000950123-14-000074
- 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 Q4 2013
A holdings report, 10,554 entries on the cover page, a total value of $73,078,931,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $73,078,931,000 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 N.A.
- 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 INVESTORLINE INC.
- included managerBANK OF MONTREAL IRELAND P.L.C.
- included managerPYRFORD INTERNATIONAL LIMITED
- included managerBMO CAPITAL MARKETS CORP.
- included managerBMO DELAWARE TRUST COMPANY
- included managerLGM (BERMUDA) LIMITED
- 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 |
|---|---|---|---|---|---|---|
| AVALON RARE METALS INC | 053470100 | COM | 13,620 | $7,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 107 | $6,000 | thousands by filing date | call |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 400 | $6,000 | thousands by filing date | call |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 1,301 | $6,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 200 | $6,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 190 | $6,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 237 | $6,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 202 | $6,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 458 | $6,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 235 | $6,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 500 | $6,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 100 | $6,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 100 | $6,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 192 | $6,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 1,012 | $6,000 | thousands by filing date | |
| CBEYOND INC | 149847105 | COM | 808 | $6,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 100 | $6,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 680 | $6,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 250 | $6,000 | thousands by filing date | |
| BURGER KING WORLDWIDE INC | 121220107 | COM | 250 | $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 | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 1,000 | $6,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 2,000 | $6,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 200 | $6,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 132 | $6,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 4,563 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 130 | $6,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,632 | $6,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 150 | $6,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 266 | $5,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 494 | $5,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 500 | $5,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 306 | $5,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 105 | $5,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 500 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 50 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 103 | $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 | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 600 | $5,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 150 | $5,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 133 | $5,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 100 | $5,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 545 | $5,000 | thousands by filing date | |
| Alamos Gold, Inc. | 011527108 | COM | 435 | $5,000 | thousands by filing date | call |
| E2OPEN INC | 29788A104 | COM | 200 | $5,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 647 | $5,000 | thousands by filing date | |
| AFC ENTERPRISES INC | 00104Q107 | COM | 120 | $5,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 630 | $5,000 | thousands by filing date | |
| TAYLOR CAPITAL GROUP INC | 876851106 | COM | 180 | $5,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 2,000 | $5,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 200 | $5,000 | thousands by filing date | principal |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 7,523 | $5,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 168 | $5,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 400 | $5,000 | thousands by filing date | |
| QUATERRA RES INC | 747952109 | COM | 50,000 | $5,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 370 | $5,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 231 | $4,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 235 | $4,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 100 | $4,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 500 | $4,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 100 | $4,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 218 | $4,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,028 | $4,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 241 | $4,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 91 | $4,000 | thousands by filing date | |
| HI-TECH PHARMACAL CO INC | 42840B101 | COMMON STOCK | 81 | $4,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 5,000 | $4,000 | thousands by filing date | principal |
| ZION OIL & GAS INC | 989696109 | COM | 3,000 | $4,000 | thousands by filing date | |
| 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 | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 122 | $4,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 215 | $4,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 505 | $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 | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 300 | $4,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 241 | $4,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 265 | $4,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 184 | $4,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 100 | $4,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 352 | $4,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 1,000 | $4,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 40 | $3,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 430 | $3,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 87 | $3,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 65 | $3,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 150 | $3,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 101 | $3,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,075 | $3,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 1,500 | $3,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 280 | $3,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 115 | $3,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 95 | $3,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 113 | $3,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 151 | $3,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 200 | $3,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 56 | $3,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 30 | $3,000 | thousands by filing date | put |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 200 | $3,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 84 | $3,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 1,500 | $3,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 178 | $3,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 500 | $3,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 115 | $3,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 950 | $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 | 97 | $3,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 300 | $3,000 | thousands by filing date | |
| THERMOGENESIS CORP | 883623308 | COM | 2,500 | $3,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 1,000 | $3,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 700 | $3,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 100 | $3,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| NEW SOURCE ENERGY PARTNERS L | 64881E109 | CMN | 122 | $3,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 24 | $2,000 | thousands by filing date | put |
| Southern Company | 842587107 | COM | 53 | $2,000 | thousands by filing date | put |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 26 | $2,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 1,500 | $2,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 30 | $2,000 | thousands by filing date | put |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 30 | $2,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 200 | $2,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 32 | $2,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 114 | $2,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 100 | $2,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 53 | $2,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 89 | $2,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 400 | $2,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 100 | $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 | |
| REALD INC | 75604L105 | COMMON STOCK | 291 | $2,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 215 | $2,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 100 | $2,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 190 | $2,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 200 | $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 | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 115 | $2,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,100 | $2,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 1,365 | $2,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 333 | $2,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 200 | $2,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 120 | $2,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 1,300 | $2,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 100 | $2,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 250 | $2,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 400 | $2,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 100 | $2,000 | thousands by filing date | principal |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 2,000 | $2,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 200 | $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 | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 12 | $1,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 32 | $1,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 34 | $1,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 30 | $1,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 42 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 19 | $1,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 38 | $1,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 100 | $1,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 92 | $1,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 40 | $1,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 25 | $1,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 250 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 8 | $1,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 63 | $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 | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 25 | $1,000 | thousands by filing date | |
| MAGNETEK INC | 559424403 | COMMON STOCK | 50 | $1,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 2,000 | $1,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 38 | $1,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 100 | $1,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 14 | $1,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 315 | $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 | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 140 | $1,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 14 | $1,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 111 | $1,000 | thousands by filing date | |
| PHARMACYCLICS INC | 716933106 | COM | 7 | $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 | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 350 | $1,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 260 | $1,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 19 | $1,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 27 | $1,000 | thousands by filing date | principal |
| ROYAL BK SCOTLAND GROUP PL | 780097796 | SP ADR PREF M | 71 | $1,000 | thousands by filing date | principal |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 602 | $1,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 175 | $1,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 340 | $1,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 7,400 | $1,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 25 | $1,000 | thousands by filing date | |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 1,100 | $1,000 | thousands by filing date | |
| TRI-TECH HOLDING | G9103F106 | SHS | 600 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 1,000 | $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 | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 230 | $1,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 152 | $1,000 | thousands by filing date | |
| IVANHOE ENERGY INC | 465790301 | COM NEW | 2,166 | $1,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 200 | $1,000 | thousands by filing date | |
| VRINGO INC | 92911N112 | W EXP 06/21/201 | 1,000 | $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. |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 9 | $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. |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 18 | $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. |
| LENNAR CORP CL B | 526057302 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 42 | $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. |
| Abrdn Emerging Markets | 00301W105 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 20 | $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 | 12 | $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. |
| SANOFI | 80105N113 | COMMON STOCK-FO | 487 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 25 | $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. |
| ASANKO GOLD INC | 04341Y105 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNAGEVA BIOPHARMA CORP | 87159A103 | COM | 5 | $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. |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 261 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SHUTTERFLY INC | 82568P304 | COM | 3 | $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 | 1 | $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. |
| Delcath Systems Inc | 24661p104 | COM | 500 | $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. |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 11 | $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. |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 10 | $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. |
| 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. |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 1,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OXIGENE INC | 691828404 | COM PAR$.001 | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QAD INC-B | 74727D207 | Common | 30 | $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. |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED ONLINE INC | 911268209 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LOOKSMART LTD | 543442602 | COM PAR $0.001 | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-14-000074 | this filing | 2014-01-08 | acceptance time not in the bulk data set |