13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-07, with 4,064 holding rows worth $88,311,624,000.
- Accession
- 0000950123-14-011135
- Filer
- CIK 927971
- Filed
- 2014-11-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 12,438 entries on the cover page, a total value of $88,311,624,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $88,311,624,000 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 managerF&C ASSET MANAGEMENT
- 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 |
|---|---|---|---|---|---|---|
| STERIS CORP | 859152100 | COMMON STOCK | 1,295 | $70,000 | thousands by filing date | |
| CONVERSANT INC | 21249J105 | COM | 2,021 | $70,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 5,448 | $70,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 1,115 | $69,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 7,550 | $69,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 6,717 | $69,000 | thousands by filing date | |
| BANK OF THE OZARKS | 063904106 | COM | 2,189 | $69,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 8,390 | $69,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 4,889 | $69,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 1,013 | $69,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 2,815 | $68,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 2,255 | $68,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 1,355 | $68,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 10,000 | $68,000 | thousands by filing date | call |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 2,703 | $68,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 7,700 | $68,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 2,016 | $68,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 19,540 | $67,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 1,285 | $67,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 645 | $67,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 9,306 | $67,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 1,401 | $67,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 1,427 | $67,000 | thousands by filing date | |
| G & K SVCS INC | 361268105 | CL A | 1,201 | $67,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 2,371 | $67,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 2,995 | $66,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 1,351 | $66,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 6,249 | $66,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 4,210 | $66,000 | thousands by filing date | |
| LAMAR ADVERTISING | 512815101 | COMMON STOCK | 1,350 | $66,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 4,879 | $66,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 17,414 | $66,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 860 | $65,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 1,400 | $65,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 1,641 | $65,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 3,317 | $65,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 15,000 | $65,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 1,510 | $65,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 4,407 | $64,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 5,457 | $64,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 3,102 | $64,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 106,000 | $64,000 | thousands by filing date | call |
| PINNACLE ENTMT INC | 723456109 | COM | 2,552 | $64,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 577 | $63,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 2,833 | $63,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 9,106 | $63,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 3,538 | $63,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 164 | $62,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 504 | $62,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 3,700 | $62,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 2,630 | $62,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 4,967 | $62,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 3,232 | $62,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 2,325 | $62,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 7,402 | $62,000 | thousands by filing date | |
| GENCORP INC | 368682100 | COM | 3,912 | $62,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 3,192 | $61,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 1,064 | $61,000 | thousands by filing date | |
| HAEMONETICS CORP MASS COM | 405024100 | Stock | 1,752 | $61,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 2,100 | $61,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 3,069 | $61,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 1,105 | $61,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 48,328 | $61,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 3,902 | $61,000 | thousands by filing date | |
| H & Q HEALTHCARE INVESTORS | 404052102 | SH BEN INT | 2,146 | $61,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 2,496 | $60,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,075 | $60,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 2,106 | $60,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 6,000 | $60,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 4,750 | $59,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 1,493 | $59,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 1,826 | $59,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 5,463 | $59,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 3,661 | $59,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 2,199 | $59,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 1,785 | $59,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 2,173 | $59,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 2,336 | $58,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 1,308 | $58,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 5,170 | $58,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 1,400 | $58,000 | thousands by filing date | put |
| ENSCO PLC | G3157S106 | SHS CLASS A | 1,400 | $58,000 | thousands by filing date | call |
| MWI VETERINARY SUPPLY INC | 55402X105 | COM | 390 | $58,000 | thousands by filing date | |
| ADVENT SOFTWARE INC | 007974108 | COM | 1,836 | $58,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 9,855 | $58,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 3,320 | $58,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 1,935 | $57,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 56,872 | $57,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 1,800 | $56,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 1,000 | $56,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 2,000 | $56,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 3,062 | $56,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 3,722 | $56,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 8,605 | $56,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 2,391 | $56,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 1,892 | $56,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 914 | $55,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 979 | $55,000 | thousands by filing date | |
| ENERSYS COM | 29275Y102 | Stock | 946 | $55,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 2,390 | $55,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 1,990 | $55,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 1,662 | $55,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 1,350 | $55,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 2,893 | $55,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 4,345 | $55,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 1,812 | $55,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,000 | $55,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 7,562 | $55,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 2,774 | $55,000 | thousands by filing date | |
| GLIMCHER RLTY TR | 379302102 | SH BEN INT | 4,069 | $55,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 9,000 | $55,000 | thousands by filing date | |
| FOSTER WHEELER AG | H27178104 | COM | 1,685 | $54,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L407 | GOLD TRENDP ETN | 2,145 | $54,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 4,246 | $54,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 6,266 | $53,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 700 | $53,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 2,664 | $53,000 | thousands by filing date | |
| FIRST CASH FINL SVCS INC | 31942D107 | COM | 953 | $53,000 | thousands by filing date | |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 3,079 | $52,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 1,362 | $52,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 7,552 | $52,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 29,426 | $52,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 1,911 | $52,000 | thousands by filing date | |
| ORBITAL SCIENCES CORP | 685564106 | COM | 1,873 | $52,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 1,800 | $52,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 495 | $51,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 1,960 | $51,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 2,200 | $51,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 1,111 | $51,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 1,469 | $51,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 2,200 | $50,000 | thousands by filing date | call |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 1,621 | $50,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 285 | $50,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 979 | $50,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 1,137 | $50,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 3,139 | $50,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 1,487 | $50,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 583 | $50,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 10,000 | $50,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 1,450 | $50,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 2,168 | $50,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 660 | $50,000 | thousands by filing date | |
| VIMICRO INTL CORP | 92718N109 | ADR | 5,000 | $50,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 1,500 | $49,000 | thousands by filing date | put |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 1,950 | $49,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 1,756 | $49,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 2,869 | $49,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 1,102 | $49,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 2,000 | $49,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 3,075 | $49,000 | thousands by filing date | |
| CLECO CORP NEW | 12561W105 | COM | 1,026 | $49,000 | thousands by filing date | |
| SOLARWINDS INC | 83416B109 | COM | 1,150 | $49,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 344 | $49,000 | thousands by filing date | |
| IMRIS INC | 45322N105 | COM | 82,537 | $49,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 1,029 | $48,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 1,943 | $48,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 9,698 | $48,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 837 | $48,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 1,750 | $48,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 3,000 | $48,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 654 | $47,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 687 | $47,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 500 | $47,000 | thousands by filing date | put |
| APACHE CORP | 037411105 | COM | 500 | $47,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 1,771 | $47,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 500 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 1,035 | $47,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 2,413 | $47,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 2,217 | $47,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 15,390 | $47,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 2,500 | $46,000 | thousands by filing date | |
| INFORMATICA CORP | 45666Q102 | COM | 1,346 | $46,000 | thousands by filing date | |
| BROWN SHOE COMPANY INC | 115736100 | COM | 1,674 | $46,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 1,064 | $45,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 1,082 | $45,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 369 | $45,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 7,500 | $45,000 | thousands by filing date | |
| AXIALL CORP | 05463D100 | COM | 1,254 | $45,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 3,000 | $45,000 | thousands by filing date | |
| DRESSER-RAND GROUP INC | 261608103 | COM | 545 | $45,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 2,000 | $45,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 400 | $44,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 1,576 | $44,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 1,255 | $44,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 614 | $44,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 3,925 | $44,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 2,496 | $44,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 600 | $44,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,808 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 1,000 | $44,000 | thousands by filing date | |
| AMER RLTY CAP HEALTHCAR TR INC COM | 02917R108 | COM | 4,170 | $44,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 875 | $43,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 1,753 | $43,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 1,149 | $43,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 1,432 | $43,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 7,744 | $43,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 2,595 | $43,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 2,602 | $43,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 71,406 | $43,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 3,514 | $43,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 2,000 | $43,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 3,000 | $43,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 5,081 | $42,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 2,084 | $42,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 1,011 | $42,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 2,259 | $42,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 880 | $42,000 | thousands by filing date | |
| BANCORPSOUTH INC | 059692103 | COM | 2,075 | $42,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 4,063 | $42,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 1,338 | $41,000 | thousands by filing date | |
| POWER INTEGRATIONS INC COM | 739276103 | Stock | 753 | $41,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 2,325 | $41,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 2,400 | $41,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 1,350 | $41,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 1,199 | $41,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 1,295 | $41,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 1,385 | $41,000 | thousands by filing date | |
| COMPUWARE CORP | 205638109 | COM | 3,825 | $41,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 1,732 | $41,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 5,000 | $41,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 421 | $40,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 12,500 | $40,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 4,165 | $40,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 1,579 | $40,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 897 | $40,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 859 | $40,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 1,681 | $40,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 2,666 | $40,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 2,000 | $39,000 | thousands by filing date | call |
| ENSIGN GROUP INC | 29358P101 | COM | 1,119 | $39,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 1,212 | $39,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 814 | $39,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 4,360 | $39,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,765 | $39,000 | thousands by filing date | |
| TIM HORTONS INC | 88706M103 | COM | 500 | $39,000 | thousands by filing date | call |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 3,276 | $39,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 1,384 | $38,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 1,535 | $38,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 1,126 | $38,000 | thousands by filing date | |
| BALLY TECHNOLOGIES | 05874B107 | COMMON STOCK | 466 | $38,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 4,000 | $38,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 26,660 | $38,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 3,535 | $38,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 2,100 | $38,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 25,304 | $38,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 1,145 | $37,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 796 | $37,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 1,232 | $37,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 405 | $37,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,431 | $37,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 1,461 | $37,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 500 | $37,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 1,500 | $37,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 1,540 | $37,000 | thousands by filing date | |
| BLACKHAWK NET B | 09238E203 | Common Stock | 1,141 | $37,000 | thousands by filing date | |
| QEP MIDSTREAM PARTNERS LP | 74735R115 | COM | 1,568 | $37,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 425 | $36,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 892 | $36,000 | thousands by filing date | |
| APPLIED INDL TECHNOLOGIES INC COM | 03820C105 | Stock | 797 | $36,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 1,326 | $36,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 3,863 | $36,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 579 | $36,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 3,000 | $36,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 1,132 | $36,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 771 | $35,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 1,630 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 480 | $35,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 2,502 | $35,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 1,545 | $35,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 3,586 | $35,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 1,007 | $35,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 2,629 | $35,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 1,158 | $35,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 833 | $34,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 7,275 | $34,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 729 | $34,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 13,611 | $34,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,970 | $34,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 1,025 | $34,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 1,028 | $34,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,458 | $34,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 1,838 | $34,000 | thousands by filing date | |
| CBS OUTDOOR AMERICAS INC | 14987J106 | COMMON STOCK | 1,131 | $34,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 3,200 | $34,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 8,812 | $34,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 1,312 | $33,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,700 | $33,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 670 | $33,000 | thousands by filing date | |
| KNIGHT TRANSN INC | 499064103 | COM | 1,208 | $33,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 4,375 | $33,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 2,094 | $33,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 270 | $33,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 26,787 | $33,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T613 | VELSHS DLY SHTRM | 10,000 | $33,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 2,137 | $32,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 1,000 | $32,000 | thousands by filing date | put |
| CSX Corporation | 126408103 | COM | 1,000 | $32,000 | thousands by filing date | call |
| CANADIAN SOLAR INC | 136635109 | COM | 900 | $32,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,650 | $32,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 1,398 | $32,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 832 | $32,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 949 | $32,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 671 | $32,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 616 | $31,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 335 | $31,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 716 | $31,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 1,390 | $31,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 2,710 | $31,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 1,810 | $31,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 943 | $31,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 2,630 | $31,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 3,500 | $31,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 4,000 | $31,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,522 | $31,000 | thousands by filing date | |
| FAMILY DLR STORES INC | 307000109 | COM | 400 | $31,000 | thousands by filing date | call |
| INNERWORKINGS INC | 45773Y105 | COM | 3,787 | $31,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 5,750 | $31,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 1,775 | $31,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 275 | $30,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 3,954 | $30,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 405 | $30,000 | thousands by filing date | |
| QUAKER HOUGHTON | 747316107 | COM | 418 | $30,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 1,236 | $30,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 910 | $30,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 492 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 2,230 | $30,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T107 | COM | 1,000 | $30,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 2,223 | $30,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 6,925 | $30,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 600 | $29,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 1,319 | $29,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 3,860 | $29,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 2,207 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 170 | $29,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 525 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 1,062 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 630 | $29,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 220 | $29,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 2,025 | $29,000 | thousands by filing date | |
| LINDE PLC F | 532771102 | COM | 1,300 | $29,000 | thousands by filing date | |
| MEASUREMENT SPECIALTIES INC | 583421102 | COM | 338 | $29,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 1,200 | $29,000 | thousands by filing date | principal |
| ROUNDY'S INC | 779268101 | COM | 9,490 | $29,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 2,000 | $29,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 2,284 | $28,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 683 | $28,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 1,900 | $28,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 1,795 | $28,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 970 | $28,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 461 | $28,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 1,641 | $28,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 829 | $28,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 1,191 | $28,000 | thousands by filing date | |
| IGATE CORP | 45169U105 | COM | 764 | $28,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 8,000 | $28,000 | thousands by filing date | put |
| FIRST CLOVER LEAF FINANCIAL | 31969M105 | COM | 3,061 | $28,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 2,662 | $27,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 207 | $27,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 500 | $27,000 | thousands by filing date | put |
| METLIFE INC COM | 59156R108 | Stock | 500 | $27,000 | thousands by filing date | call |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 754 | $27,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,266 | $27,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 10 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 331 | $27,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 1,400 | $27,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,950 | $27,000 | thousands by filing date | |
| CANTEL MEDICAL CORP | 138098108 | COM | 790 | $27,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 953 | $27,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 236 | $27,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 1,654 | $27,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 928 | $27,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,048 | $27,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 649 | $27,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 1,364 | $27,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,565 | $27,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 1,758 | $27,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR REIT | 427825104 | SH BEN INT A | 4,216 | $27,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 950 | $27,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,120 | $27,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 809 | $26,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 426 | $26,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 954 | $26,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 3,047 | $26,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 3,643 | $26,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,500 | $26,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 799 | $26,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 387 | $26,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 220 | $26,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 411 | $26,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 12,193 | $26,000 | thousands by filing date | |
| TCF FINL CORP | 872275102 | COM | 1,654 | $26,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032809 | COM | 1,845 | $26,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 456 | $26,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 1,555 | $26,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 630 | $25,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 1,982 | $25,000 | thousands by filing date | |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 269 | $25,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 234 | $25,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 2,200 | $25,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 1,004 | $25,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097754 | ADR PREF SHS Q | 1,000 | $25,000 | thousands by filing date | principal |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 1,000 | $25,000 | thousands by filing date | principal |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 2,000 | $25,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 205 | $25,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 546 | $24,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 1,034 | $24,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 2,000 | $24,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,000 | $24,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 320 | $24,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 1,171 | $24,000 | thousands by filing date | |
| DREW INDS INC | 26168L205 | COM NEW | 573 | $24,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 6,818 | $24,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 700 | $23,000 | thousands by filing date | put |
| CONAGRA FOODS INC | 205887102 | COM | 700 | $23,000 | thousands by filing date | call |
| CORNING INC | 219350105 | COM | 1,200 | $23,000 | thousands by filing date | put |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 1,700 | $23,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 5,243 | $23,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 683 | $23,000 | thousands by filing date | |
| EXPONENT INC | 30214U102 | COM | 315 | $23,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 300 | $23,000 | thousands by filing date | call |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 2,000 | $23,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 3,000 | $23,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 750 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 300 | $23,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 645 | $23,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 800 | $23,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 1,859 | $23,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,200 | $23,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 1,000 | $23,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 252 | $22,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 290 | $22,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 2,026 | $22,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,546 | $22,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,595 | $22,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 446 | $22,000 | thousands by filing date | |
| ABM INDS INC | 000957100 | COM | 861 | $22,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 642 | $22,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 601 | $22,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 800 | $22,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 269 | $22,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,254 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 842 | $22,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 580 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 724 | $22,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 33 | $22,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 625 | $22,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 343 | $22,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 290 | $22,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 1,100 | $22,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 854 | $21,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 385 | $21,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 1,077 | $21,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 1,267 | $21,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 3,355 | $21,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 807 | $21,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 650 | $21,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 1,000 | $21,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 6,091 | $21,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,025 | $20,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 508 | $20,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 2,600 | $20,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 269 | $20,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,472 | $20,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 550 | $20,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 945 | $20,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 5,000 | $20,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 748 | $20,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 405 | $20,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 422 | $20,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 485 | $19,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 3,430 | $19,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 285 | $19,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,999 | $19,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 456 | $19,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 170 | $19,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 843 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 297 | $19,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 230 | $19,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 1,645 | $19,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 248 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 244 | $19,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 941 | $19,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 620 | $19,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 606 | $19,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,465 | $19,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 890 | $19,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 800 | $19,000 | thousands by filing date | put |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,007 | $19,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 2,425 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 1,488 | $19,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 598 | $18,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 1,023 | $18,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 300 | $18,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 1,000 | $18,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 1,088 | $18,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 500 | $18,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 520 | $18,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 4,050 | $18,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 800 | $18,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 412 | $18,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-14-011135 | this filing | 2014-11-07 | acceptance time not in the bulk data set |