13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-13, with 6,060 holding rows worth $169,492,528,000.
- Accession
- 0000950123-14-008691
- Filer
- CIK 820027
- Filed
- 2014-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A combination report, 9,309 entries on the cover page, a total value of $169,492,528,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $169,492,528,000 with VALUE read as thousands by filing date, 13F file number 028-00139. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerAmeriprise Financial, Inc. 028-00139
- reports for this filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Company 028-01045
- reports for this filerAmeriprise Certificate Company 028-00140
- reports for this filerRiverSource Life Insurance Company 028-00143
- reports for this filerRiverSource Life Insurance Company of New York 028-01046
- reports for this filerThreadneedle Asset Management Holdings LTD 028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- included managerAmeriprise Financial, Inc. 028-00139
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Company 028-01045
- included managerAmeriprise Certificate Company 028-00140
- included managerRiverSource Life Insurance Company 028-00143
- included managerRiverSource Life Insurance Company of New York 028-01046
- included managerThreadneedle Asset Management Holdings LTD 028-10644
- included managerAmeriprise Financial Services, Inc. 028-14918
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 |
|---|---|---|---|---|---|---|
| ING GROEP N V | 456837509 | PRF | 1,630 | $41,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 2,205 | $40,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 1,934 | $40,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 425 | $40,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 520 | $40,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 1,541 | $40,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 6,830 | $40,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 1,600 | $40,000 | thousands by filing date | |
| ASSOC BRITISH FOODS UNSP ADR | 045519402 | COM | 773 | $40,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 1,500 | $40,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 1,985 | $40,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 2,880 | $40,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 4,642 | $40,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 8,150 | $40,000 | thousands by filing date | |
| FPL GROUP CAP TR I 5.875% 3/15 | 30257V207 | PFD | 1,560 | $40,000 | thousands by filing date | |
| CBL & Associates 7.375% Pfd Series D | 124830605 | com | 1,585 | $40,000 | thousands by filing date | |
| WM MORRISON-UNSPON ADR | 92933J107 | COM | 2,550 | $40,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 1,300 | $39,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 3,228 | $39,000 | thousands by filing date | |
| SUSSER HOLDINGS CORP | 869233106 | COMMON STOCK | 480 | $39,000 | thousands by filing date | |
| RED ELECTRICA ADR | 756568101 | COM | 2,049 | $39,000 | thousands by filing date | |
| CLICKS GROUP LTD | 18682W205 | Common Stock | 3,273 | $39,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 745 | $39,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 1,450 | $39,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 1,735 | $39,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 6,870 | $39,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 1,151 | $39,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 272 | $39,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 1,935 | $39,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 1,500 | $39,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P150 | CHINA TRNDP ETF | 1,359 | $39,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 300 | $39,000 | thousands by filing date | |
| ING GROEP N V | 456837400 | PRF | 1,521 | $39,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 594 | $38,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 5,000 | $38,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 955 | $38,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 1,500 | $38,000 | thousands by filing date | |
| REALTY INCOME CORP PFD CL F | 756109807 | PFD | 1,458 | $38,000 | thousands by filing date | |
| GENERAL AMERICAN | 368802401 | PRF | 1,471 | $38,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 4,360 | $37,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 2,041 | $37,000 | thousands by filing date | |
| CLP HOLDINGS LTD SPONS ADR | 18946Q101 | COM | 4,543 | $37,000 | thousands by filing date | |
| LEGAL AND GEN GROUP SPON ADR | 52463H103 | COM | 1,907 | $37,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 3,300 | $37,000 | thousands by filing date | |
| ISHARES TR | 464289701 | S&P TARGET 35 | 824 | $37,000 | thousands by filing date | |
| OLD MUTUAL PLC-UNSPON ADR | 680031309 | COM | 1,383 | $37,000 | thousands by filing date | |
| INVESCO MORTGAGE CAP INC | 46131B209 | PRF | 1,500 | $37,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 2,929 | $36,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 483 | $36,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 1,300 | $36,000 | thousands by filing date | |
| Pitney Bowes Inc. Notes Sr | 724479506 | PFD | 1,400 | $36,000 | thousands by filing date | |
| ASM INTERNATIONAL NV | N07045102 | Common Stock | 862 | $36,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 3,133 | $36,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 910 | $36,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 1,000 | $36,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 565 | $36,000 | thousands by filing date | |
| GEA GROUP AG ADR | 361592108 | COM | 758 | $36,000 | thousands by filing date | |
| MORGAN STANLEY 6.6% C11 | 61750K208 | PRF | 1,422 | $36,000 | thousands by filing date | |
| INDEPENDENT ALLIANCE | 45380E104 | COM | 1,500 | $36,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 438 | $35,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 3,495 | $35,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 641 | $35,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 1,375 | $35,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 1,108 | $35,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,203 | $35,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 3,353 | $35,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 308 | $35,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 704 | $35,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 4,201 | $35,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 1,020 | $35,000 | thousands by filing date | |
| JARDINE STRATEGIC HLDGS UNSPON | 471122200 | Common | 1,947 | $35,000 | thousands by filing date | |
| ELECTROLUX AB -SPONS ADR B | 010198208 | COM | 692 | $35,000 | thousands by filing date | |
| Allied Capital ARCC6.875% 4/20 | 01903q207 | PFD | 1,396 | $35,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 2,080 | $34,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 939 | $34,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 587 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 775 | $34,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 1,419 | $34,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 10,527 | $34,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 946 | $34,000 | thousands by filing date | |
| SEKISUI HOUSE SPONS ADR | 816078307 | COM | 2,487 | $34,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 869 | $34,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 1,322 | $34,000 | thousands by filing date | |
| ISHARES TR | 464288455 | EPRA/NAR NA IN | 640 | $34,000 | thousands by filing date | |
| Santos Limited ADR | 803021708 | COM | 2,501 | $34,000 | thousands by filing date | |
| TECHNICOLOR-SPON ADR | 878520204 | COM | 4,240 | $34,000 | thousands by filing date | |
| TOSHIBA CORP-UNSPONSORED ADR | 891493306 | COM | 1,208 | $34,000 | thousands by filing date | |
| SHINSEI BANK LTD-SPON ADR | 824631105 | COM | 7,550 | $34,000 | thousands by filing date | |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 13,490 | $34,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 1,100 | $33,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 3,230 | $33,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 2,579 | $33,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 327 | $33,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 857 | $33,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 16,900 | $33,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,150 | $33,000 | thousands by filing date | |
| ISHARES TR | 464289503 | S&P TARGET 25 | 769 | $33,000 | thousands by filing date | |
| DEUTSCHE BANK CAP FUND IX PFD | 25153Y206 | PREFERR | 1,300 | $33,000 | thousands by filing date | |
| Penn REIT 8.25% Pfd Series A | 709102404 | com | 1,250 | $33,000 | thousands by filing date | |
| IPATH PURE BETA INDUSTRIALS | 06740P296 | ETP | 985 | $33,000 | thousands by filing date | |
| AMP LTD - SP ADR | 0017EP202 | COM | 1,662 | $33,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 797 | $32,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 278 | $32,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 3,420 | $32,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 1,220 | $32,000 | thousands by filing date | |
| SAPIENT CORPORATION | 803062108 | COMMON STOCK | 1,965 | $32,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 1,320 | $32,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 3,470 | $32,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 1,147 | $32,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097754 | ADR PREF SHS Q | 1,300 | $32,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 2,570 | $32,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 5,389 | $32,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 2,329 | $32,000 | thousands by filing date | |
| MOTORS LIQ CO GUC TRUST | 62010U101 | cs | 1,232 | $32,000 | thousands by filing date | |
| DEUTSCHE BANK CAPITAL FUNDING VIII 6.375% | 25153U204 | PREFERRED | 1,239 | $32,000 | thousands by filing date | |
| SEMEN GRESIK PERSERO TBK PT | 69367J100 | ADR | 1,249 | $32,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 2,778 | $31,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 1,638 | $31,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 1,089 | $31,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 2,487 | $31,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 553 | $31,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 3,426 | $31,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 7,655 | $31,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 6,200 | $31,000 | thousands by filing date | |
| HSBC Hldgs PLC Sub Cap 8.125% | 404280703 | Pfd Stk | 1,200 | $31,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 9,972 | $31,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R700 | 7-15 YR US TRS | 373 | $31,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 3,438 | $31,000 | thousands by filing date | |
| RHODES COMPANIES | 762356XX6 | COM | 109,053 | $31,000 | thousands by filing date | |
| WHEELOCK & CO LTD-UNSPON ADR | 963271200 | COM | 740 | $31,000 | thousands by filing date | |
| AES TIETE SA-ADR PREF | 00808P108 | COM | 3,482 | $31,000 | thousands by filing date | |
| EDF-UNSPON ADR | 285039103 | COM | 4,765 | $31,000 | thousands by filing date | |
| CHINA RAILWAY CONS-UNSPN ADR | 16947L105 | COM | 3,565 | $31,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38145G308 | PRF | 1,267 | $31,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233507 | STOCK | 1,500 | $31,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 970 | $30,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 7,232 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 440 | $30,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 430 | $30,000 | thousands by filing date | |
| Air Liquide SA | F01764103 | ADR | 221 | $30,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 1,049 | $30,000 | thousands by filing date | |
| Julius Baer Group Ltd ADR | 48137C108 | USD | 3,691 | $30,000 | thousands by filing date | |
| QBE INSURANCE GROUP SPN ADR | 74728G605 | COM | 2,967 | $30,000 | thousands by filing date | |
| NIPPON STEEL CORP-SPON ADR | 65461T101 | COM | 938 | $30,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 3,390 | $30,000 | thousands by filing date | |
| ITV ADR | 45069P107 | Common Stock | 963 | $30,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 4,620 | $30,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 1,630 | $30,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 345 | $30,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 7,795 | $30,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 3,051 | $30,000 | thousands by filing date | |
| First Republic Bank 6.2% Cl 6/ | 33616c407 | PFD | 1,200 | $30,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 653 | $29,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 1,170 | $29,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 596 | $29,000 | thousands by filing date | |
| TOTO LIMITED ADR | 891515207 | ADUS | 1,074 | $29,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,372 | $29,000 | thousands by filing date | |
| SHOPRITE HOLDINGS-SPN ADR | 82510E209 | ADR | 2,022 | $29,000 | thousands by filing date | |
| BIDVEST GROUP LTD | 088836309 | Common Stock | 538 | $29,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 8,063 | $29,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 11,290 | $29,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 1,507 | $29,000 | thousands by filing date | |
| LEAR CORP WARRANTS | 521865113 | COMMON | 166 | $29,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,094 | $29,000 | thousands by filing date | |
| ANTOFAGASTA PLC -SPON ADR | 037189107 | COM | 1,110 | $29,000 | thousands by filing date | |
| Scana Corp 7.70% 2065 Cl1/2015 | 80589m201 | PFD | 1,106 | $29,000 | thousands by filing date | |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 186,725 | $29,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 1,635 | $28,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 2,404 | $28,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 545 | $28,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 663 | $28,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 3,180 | $28,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 4,994 | $28,000 | thousands by filing date | |
| CHINA SHENHUA UNSPONS ADR | 16942A302 | COM | 2,485 | $28,000 | thousands by filing date | |
| CYRELA BRAZIL REALTY-SPO ADR | 23282C401 | COM | 4,301 | $28,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 300 | $28,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 14,970 | $28,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 2,000 | $28,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 405 | $28,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP | 74251V300 | PFD | 1,090 | $28,000 | thousands by filing date | |
| BG&E Cap Trust II 6.20% Prefer | 05541Q206 | PFD | 1,115 | $28,000 | thousands by filing date | |
| STRATEGIC HOTELS & * | 86272T403 | PRF | 1,100 | $28,000 | thousands by filing date | |
| ACOM CO LTD-SPONSORED ADR | 004845202 | COM | 2,390 | $28,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 635 | $27,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 825 | $27,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 1,740 | $27,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,775 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 575 | $27,000 | thousands by filing date | |
| DAITO TRUST CONSTRUCTION CO SP | 23405X209 | ADR | 929 | $27,000 | thousands by filing date | |
| SONOVA HOLDING AG UNSPONSORED ADR | 83569C102 | USD | 857 | $27,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 1,055 | $27,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 6,880 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 1,815 | $27,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 1,250 | $27,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 1,660 | $27,000 | thousands by filing date | |
| PETROLEUM GEO-SERVICES-ADR | 716599105 | ADR | 2,511 | $27,000 | thousands by filing date | |
| MORGAN STANLEY CAPITAL TRUST 6.45% $1.6125 PFD | 61753R200 | PREFERRED | 1,060 | $27,000 | thousands by filing date | |
| IMPERIAL HOLDINGS LTD ADR | 452833205 | ADR | 1,458 | $27,000 | thousands by filing date | |
| ARTHROCARE CORP | BAX4S8NE0 | COM | 82,114 | $27,000 | thousands by filing date | |
| WEIR GROUP PLC ADR | 94876Q106 | ADR | 1,227 | $27,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 3,360 | $26,000 | thousands by filing date | |
| TECHTRONIC INDS LTD SPONSORED ADR | 87873R101 | COM | 1,618 | $26,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 2,583 | $26,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 2,173 | $26,000 | thousands by filing date | |
| Lonza Group AG ADR | 54338V101 | USD | 2,374 | $26,000 | thousands by filing date | |
| SKF AB SPON ADR | 784375404 | COM | 1,015 | $26,000 | thousands by filing date | |
| SUMITOMO METAL MININ UNS ADR | 86563T104 | COM | 1,574 | $26,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,680 | $26,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 5,094 | $26,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 2,071 | $26,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 3,860 | $26,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 1,165 | $26,000 | thousands by filing date | |
| REGENCY CTRS CORP $1.65625 PFD | 758849707 | PREFERRED | 1,029 | $26,000 | thousands by filing date | |
| ASAHI GLASS CO LTD-UNSP ADR | 043393206 | COM | 4,422 | $26,000 | thousands by filing date | |
| EISAI CO LTD-SPONSORED ADR | 282579309 | COM | 613 | $26,000 | thousands by filing date | |
| SHENGDATECH INC | 823213AD5 | CONV BND | 2,610,000 | $26,000 | thousands by filing date | principal |
| KKR Financial7.375% Perp Call | 48248a603 | PFD | 1,000 | $26,000 | thousands by filing date | |
| Citigroup 5.8% B1 Call 4/18 QD | 172967366 | PFD | 1,070 | $26,000 | thousands by filing date | |
| HERCULES TECH GRW 7% | 427096870 | PREFERR | 1,000 | $26,000 | thousands by filing date | |
| TRIANGLE CAP 6.375% E | 895848307 | PREFERR | 1,000 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 600 | $26,000 | thousands by filing date | |
| TEG 5 | 976843201 | PRF | 250 | $26,000 | thousands by filing date | |
| ACT US 08/16/14 P190 | CM3417514 | OPT | 157 | $26,000 | thousands by filing date | put |
| MYL US 08/16/14 P45 | CM3471854 | OPT | 499 | $26,000 | thousands by filing date | put |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 2,140 | $25,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 500 | $25,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 775 | $25,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 2,950 | $25,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 523 | $25,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,220 | $25,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 4,960 | $25,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,803 | $25,000 | thousands by filing date | |
| Power Assets Holdings Ltd | 739197200 | Common Stock | 2,873 | $25,000 | thousands by filing date | |
| SEIKO EPSON CORP FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 81603X108 | AMERICAN DEPOSITORY | 1,156 | $25,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 409 | $25,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 5,187 | $25,000 | thousands by filing date | |
| Santander Finance PFD SA Unipersonal GTD | 80281R888 | Pfd Stk | 1,191 | $25,000 | thousands by filing date | |
| SPY US 08/16/14 P185 | CM3433492 | OPT | 358 | $25,000 | thousands by filing date | put |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 2,515 | $24,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 677 | $24,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 238 | $24,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 305 | $24,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 389 | $24,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 1,685 | $24,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,588 | $24,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,666 | $24,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 470 | $24,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 1,218 | $24,000 | thousands by filing date | |
| Henkel AG & Co KGaA | 42550U109 | Equity | 235 | $24,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 3,970 | $24,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 32,000 | $24,000 | thousands by filing date | principal |
| SIMS LTD SPON ADR EA | 829160100 | Common Stock | 2,609 | $24,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 1,497 | $24,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 2,629 | $24,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 565 | $24,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,124 | $24,000 | thousands by filing date | |
| UPM-KYMMENE OYJ-SPONS ADR | 915436109 | ADR | 1,394 | $24,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 950 | $24,000 | thousands by filing date | |
| EPR PROPERTIES PFD SER F 6.625 | 26884U406 | PFD | 1,000 | $24,000 | thousands by filing date | |
| JTEKT CORP UNSPNSORED ADR | 48124H102 | ADR | 465 | $24,000 | thousands by filing date | |
| ENVENTIS CORP | 29402J101 | COM | 1,512 | $24,000 | thousands by filing date | |
| SPY US 08/16/14 P175 | CM3433490 | OPT | 894 | $24,000 | thousands by filing date | put |
| Schwab US TIPS ETF | 808524870 | SHS | 407 | $23,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 257 | $23,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 216 | $23,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 1,369 | $23,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,885 | $23,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 3,225 | $23,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 790 | $23,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 1,100 | $23,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 420 | $23,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 1,090 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 460 | $23,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,665 | $23,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 2,147 | $23,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,172 | $23,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,309 | $23,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 1,300 | $23,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 4,800 | $23,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 1,360 | $23,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 710 | $23,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 7,538 | $23,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 2,710 | $23,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 1,400 | $23,000 | thousands by filing date | |
| TITAN MEDICAL INC. | 88830X108 | COM | 9,500 | $23,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 2,883 | $23,000 | thousands by filing date | |
| PARTNERRE LTD 6.50% PFD SERIES | G68603409 | PREFERR | 901 | $23,000 | thousands by filing date | |
| Tsingtao Brewery Ltd Sp ADR Cl | 898529102 | COM | 300 | $23,000 | thousands by filing date | |
| RICOH CO LTD-SPONSORED ADR | 765658307 | COM | 385 | $23,000 | thousands by filing date | |
| WISCONSIN PUBLIC SERVICE | 976843508 | PRF | 220 | $23,000 | thousands by filing date | |
| Gabelli Dividend & Income Trust Preferred Series A | 36242H203 | preferred stock | 900 | $23,000 | thousands by filing date | |
| Connecticut Lt & Pwr Co PFD | 207597790 | Pfd Stk | 450 | $23,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 310 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 429 | $22,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 575 | $22,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 1,879 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 347 | $22,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 990 | $22,000 | thousands by filing date | |
| Koninklijke KPN NV | 780641205 | ADR | 6,103 | $22,000 | thousands by filing date | |
| Fortescue Ltd | 34959A206 | Equity | 2,628 | $22,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 2,000 | $22,000 | thousands by filing date | |
| KBC GROUP | 48241F104 | USD | 796 | $22,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 3,550 | $22,000 | thousands by filing date | |
| CITIGROUP INC 8.125% $2.03125 PFD | 172967572 | PREFERRED | 763 | $22,000 | thousands by filing date | |
| VORNADO RLTY L P PINES 7.875%3 | 929043602 | PFD | 862 | $22,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 4,620 | $22,000 | thousands by filing date | |
| Metso ADS | 592671101 | ADR | 584 | $22,000 | thousands by filing date | |
| KATAHDIN BANKSHARES CORP | 485835102 | COM | 1,800 | $22,000 | thousands by filing date | |
| HANG SENG BANK-SPONSORED ADR | 41043C304 | COM | 1,365 | $22,000 | thousands by filing date | |
| DUPONT PFD B | 263534307 | PFD | 236 | $22,000 | thousands by filing date | |
| CHINA COMMUNICATIONS | 168926103 | SPON AD | 1,623 | $22,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 1,119 | $22,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 188,062 | $22,000 | thousands by filing date | |
| JNPR US 08/16/14 P22 | CM3468823 | OPT | 868 | $22,000 | thousands by filing date | put |
| GENPACT LIMITED SHS | G3922B107 | Stock | 1,190 | $21,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 1,300 | $21,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 3,046 | $21,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 1,450 | $21,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 1,968 | $21,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 1,150 | $21,000 | thousands by filing date | |
| INPEX CORP UNSPON ADR | 45790H101 | COM | 1,379 | $21,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,000 | $21,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 770 | $21,000 | thousands by filing date | |
| TRULIA INC | 897888103 | COM | 438 | $21,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 17,000 | $21,000 | thousands by filing date | principal |
| SIGMA DESIGNS INC | 826565103 | COM | 4,575 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 1,257 | $21,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 2,600 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,500 | $21,000 | thousands by filing date | |
| PUBLIC STORAGE DEP $1.475 PFD | 74460W206 | PREFERRED | 843 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 350 | $21,000 | thousands by filing date | |
| FINMECCANICA SPA-UNSPN ADR | 318027208 | COM | 4,329 | $21,000 | thousands by filing date | |
| TNT EXPRESS NV-ADR | 87262N109 | COM | 2,291 | $21,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 1,988 | $21,000 | thousands by filing date | |
| JACKSONVILLE BANCORP INC FLA | 469249205 | COM NEW | 2,001 | $21,000 | thousands by filing date | |
| BBDBCN 6 1/4 | 097751705 | CONV PRF | 1,000 | $21,000 | thousands by filing date | |
| MTG CORP | 313400301 | COM | 5,239 | $20,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,553 | $20,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,270 | $20,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 1,120 | $20,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 388 | $20,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 856 | $20,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 1,615 | $20,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,616 | $20,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 1,985 | $20,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 213 | $20,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 290 | $20,000 | thousands by filing date | |
| Sodexo | 833792104 | COM | 186 | $20,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 1,740 | $20,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 870 | $20,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097796 | SP ADR PREF M | 827 | $20,000 | thousands by filing date | |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 725 | $20,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 740 | $20,000 | thousands by filing date | |
| ESPRIT HOLDINGS LTD-SPON ADR | 29666V204 | COM | 6,978 | $20,000 | thousands by filing date | |
| KONICA MINOLTA INC -UNS ADR | 50048B104 | COM | 1,022 | $20,000 | thousands by filing date | |
| TOPDANMARK A/S-UNSPON ADR | 89054C101 | ADR | 6,520 | $20,000 | thousands by filing date | |
| SPY US 08/16/14 P180 | CM3077308 | OPT | 480 | $20,000 | thousands by filing date | put |
| CVEO US 08/16/14 P20 | CM3417813 | OPT | 576 | $20,000 | thousands by filing date | put |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 2,062 | $19,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 428 | $19,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,616 | $19,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 1,481 | $19,000 | thousands by filing date | |
| OTSUKA HOLDINGS CO LTD UNSPONS ADR | 689164101 | FOREIGN | 1,219 | $19,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 546 | $19,000 | thousands by filing date | |
| SHISEIDO LTD-SPONSORED ADR | 824841407 | COM | 1,060 | $19,000 | thousands by filing date | |
| STORA ENSO OYJ - SPONS ADR | 86210M106 | COM | 1,994 | $19,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 1,321 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 625 | $19,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 1,500 | $19,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 608 | $19,000 | thousands by filing date | |
| SCE TR I TR PREF SECS $1.40625 PFD | 78406T201 | PREFERRED | 800 | $19,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 357 | $19,000 | thousands by filing date | |
| UNITED RENTALS INC | 911363AL3 | NOTE 4.000% | 2,000 | $19,000 | thousands by filing date | principal |
| GTECH S P A | 40053Q104 | COM | 783 | $19,000 | thousands by filing date | |
| Hutchison Whampoa | Y38024108 | COM | 1,375 | $19,000 | thousands by filing date | |
| JBS SA-SPONSORED ADR | 466110103 | COM | 2,814 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E267 | GBLX JR MNRS NEW | 1,100 | $19,000 | thousands by filing date | |
| TOPPAN PRTG LTD ADR | 890747306 | ADR | 2,500 | $19,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 732 | $19,000 | thousands by filing date | |
| G4S PLC UNSPONSORD ADR | 37441W108 | ADR | 850 | $19,000 | thousands by filing date | |
| SUNCORP GROUP LTD SPONSORED ADR | 86723Y209 | Stock | 1,477 | $19,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 1,394 | $19,000 | thousands by filing date | |
| GM US 09/20/14 P32 | CM3417806 | OPT | 493 | $19,000 | thousands by filing date | put |
| ABBV US 07/19/14 C55 | CM3468825 | OPT | 103 | $19,000 | thousands by filing date | call |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 350 | $18,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 4,300 | $18,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,860 | $18,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,250 | $18,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,327 | $18,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 604 | $18,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 830 | $18,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 1,425 | $18,000 | thousands by filing date | |
| ALSTOM SA UNSPON ADR | 021244207 | COM | 4,857 | $18,000 | thousands by filing date | |
| OMV AG-BEARER SHRS ADR | 670875509 | COM | 400 | $18,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 945 | $18,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 17,377 | $18,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 326 | $18,000 | thousands by filing date | |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 789 | $18,000 | thousands by filing date | |
| WINTHROP REALTY TRUST | 976391300 | SH B | 1,220 | $18,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 1,000 | $18,000 | thousands by filing date | |
| WIECHAI POWER ADR | 948597109 | Common Stock | 1,191 | $18,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 2,310 | $18,000 | thousands by filing date | |
| PUBLIC STORAGE PFD T 1/1000TH | 74460W404 | PFD | 751 | $18,000 | thousands by filing date | |
| HACHIJUNI BANK LTD-UNS ADR | 404508202 | COM | 290 | $18,000 | thousands by filing date | |
| ISHARES BAA-BA | 46432F107 | COM | 345 | $18,000 | thousands by filing date | |
| YAHOO! JAPAN CORP-UNSPON ADR | 98433V102 | COM | 2,001 | $18,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 1,610 | $18,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 500 | $18,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 1,742 | $18,000 | thousands by filing date | |
| TSN US 08/16/14 P32 | CM3471855 | OPT | 816 | $18,000 | thousands by filing date | put |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 1,283 | $17,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 399 | $17,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 416 | $17,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 1,216 | $17,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 508 | $17,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,005 | $17,000 | thousands by filing date | |
| CRIMSON WINE GROUP LTD COM | 22662X100 | COM | 1,783 | $17,000 | thousands by filing date | |
| SURGUTNEFTEGAS PJSC | 868861204 | COMMON STOCK | 2,170 | $17,000 | thousands by filing date | |
| Informa PLC | 45672B305 | COM | 1,065 | $17,000 | thousands by filing date | |
| SCOR SPONSORED ADR | 80917Q106 | ADR | 4,601 | $17,000 | thousands by filing date | |
| AGRICULTURAL BK CHINA LTD ADR | 00850M102 | ADR | 1,582 | $17,000 | thousands by filing date | |
| Impala Platinum Holdings Ltd | 452553308 | Equity | 1,697 | $17,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 192 | $17,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 463 | $17,000 | thousands by filing date | |
| COMPUTERSHARE LTD SPONS ADR | 20557R105 | COM | 1,420 | $17,000 | thousands by filing date | |
| SWIRE PACIFIC LTD SP ADR A | 870794302 | COM | 1,397 | $17,000 | thousands by filing date | |
| MORGAN STANLEY | 61762V200 | Common Stock | 623 | $17,000 | thousands by filing date | |
| LIXIL CORP ADR FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 53931R103 | ADR | 312 | $17,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 792 | $17,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 859 | $17,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 721 | $17,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 738 | $17,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 1,000 | $17,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 3,900 | $17,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 950 | $17,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 343 | $17,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 342 | $17,000 | thousands by filing date | |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 12,000 | $17,000 | thousands by filing date | |
| BARLOWORLD LTD ADR F 1 ADR REP | 067680207 | ADR | 1,802 | $17,000 | thousands by filing date | |
| ABERTIS INFRAESTR-UNSPON ADR | 003381100 | COM | 1,487 | $17,000 | thousands by filing date | |
| NORTEK INC-CW14 | 656559143 | WT | 432 | $17,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063209 | ADR NEW | 488 | $17,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 520 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 125 | $16,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 213 | $16,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 660 | $16,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 740 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 215 | $16,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 780 | $16,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 410 | $16,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 650 | $16,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 410 | $16,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 360 | $16,000 | thousands by filing date | |
| ARKEMA SPO | 041232109 | USD | 163 | $16,000 | thousands by filing date | |
| PERSIMMON UNSPONSORD ADR | 715318101 | ADR | 377 | $16,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 2,598 | $16,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 1,520 | $16,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 2,915 | $16,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 1,640 | $16,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 2,890 | $16,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 4,424 | $16,000 | thousands by filing date | |
| SONY FINL HLDGS INC ADR | 835707100 | COM | 927 | $16,000 | thousands by filing date | |
| MERRILL LYNCH 6.45% | 590199204 | PRF | 621 | $16,000 | thousands by filing date | |
| WACOAL HOLDINGS CORP | 930004205 | ADR | 280 | $16,000 | thousands by filing date | |
| JOHNSON MATTHEY PLC-SPON ADR | 479142408 | COM | 146 | $16,000 | thousands by filing date | |
| HOME RETAIL GROUP-SPON ADR | 43731T102 | COM | 1,336 | $16,000 | thousands by filing date | |
| RSA INSURANCE GROUP PLC ADR | 74971A206 | ADR | 1,922 | $16,000 | thousands by filing date | |
| C C GROUP PLC | 124651100 | COM | 856 | $16,000 | thousands by filing date | |
| ENTERGY LO | 29364W405 | Preferred Stock | 608 | $16,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 466 | $15,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 6,362 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 545 | $15,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 200 | $15,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 168 | $15,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 392 | $15,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 347 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 253 | $15,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 2,110 | $15,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 147 | $15,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 675 | $15,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 1,970 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 844 | $15,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 415 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 897 | $15,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,881 | $15,000 | thousands by filing date | |
| COURIER CORP | 222660102 | COMMON STOCK | 1,010 | $15,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 2,425 | $15,000 | thousands by filing date | |
| KONE OYJ FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 50048H101 | AMERICAN DEPOSITORY | 740 | $15,000 | thousands by filing date | |
| TOYOTA INDUSTRIES UNSPON ADR | 892330101 | COM | 280 | $15,000 | thousands by filing date | |
| ENAGAS UNSPONSORED ADR | 29248L104 | COM | 932 | $15,000 | thousands by filing date | |
| British Land Co PLC | 110828100 | Common Stock | 1,250 | $15,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 880 | $15,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 1,900 | $15,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 9,830 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 425 | $15,000 | thousands by filing date | |
| PTT EXPLORATION & PRODUCTION P | 69364v106 | Common Stock | 1,497 | $15,000 | thousands by filing date | |
| OIL SEARCH LTD-SPONSORED ADR | 677890303 | COM | 160 | $15,000 | thousands by filing date | |
| PERUSAHAAN GAS NE-UNSPON ADR | 69367P106 | COM | 630 | $15,000 | thousands by filing date | |
| TORRINGTON WATER CO | 891466104 | COM | 400 | $15,000 | thousands by filing date | |
| CHINA OILFIELD SERVICES-ADR | 168909109 | COM | 310 | $15,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-14-008691 | this filing | 2014-08-13 | acceptance time not in the bulk data set |