13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-14, with 5,965 holding rows worth $118,136,717,000.
- Accession
- 0001140361-13-032924
- Filer
- CIK 1000275
- Filed
- 2013-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A holdings report, 17,125 entries on the cover page, a total value of $118,136,717,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $118,136,717,000 with VALUE read as thousands by filing date, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC Capital Markets Arbitrage S.A.028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerBlueBay Asset Management LLP028-12524
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerRBC Investment Solutions (CI) LTD028-12564
- included managerROYAL BANK OF CANADA INVESTMENT MANAGEMENT (UK) LTD028-11367
- included managerRoyal Bank of Canada (Suisse) SA028-13851
- included managerRBC cees Trustee LTD028-11601
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC TRUSTEES (C.I.) LTD028-13008
- included managerSky Investment Counsel Inc028-12562
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 |
|---|---|---|---|---|---|---|
| DWS | 23338W104 | EXCHANGE TRADED | 8,482 | $69,000 | thousands by filing date | |
| EVERBANK FINANCIAL CORPORATION | 29977G102 | COMMON STOCK | 4,145 | $69,000 | thousands by filing date | |
| TMS INTERNATIONAL CORP | 87261Q103 | COMMON STOCK | 4,680 | $69,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 2,030 | $69,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 27,180 | $69,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 706 | $69,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 5,142 | $69,000 | thousands by filing date | |
| THOMAS PPTYS GROUP INC | 884453101 | COM | 13,000 | $69,000 | thousands by filing date | |
| CAMCO FINANCIAL CORP | 132618109 | COM | 21,000 | $69,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 3,391 | $69,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 1,000 | $68,000 | thousands by filing date | call |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 2,004 | $68,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 2,836 | $68,000 | thousands by filing date | |
| UNITED FIRE GROUP INC | 910340108 | COMMON STOCK | 2,746 | $68,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 3,100 | $68,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 5,200 | $68,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 2,361 | $68,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 3,717 | $68,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 4,907 | $68,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 3,600 | $68,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U589 | JR GOLD MINERS E | 7,400 | $68,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 1,108 | $68,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 4,748 | $67,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 4,470 | $67,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 4,346 | $67,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 1,248 | $67,000 | thousands by filing date | |
| VALASSIS COMMUNICATIONS INC | 918866104 | COM | 2,729 | $67,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 10,007 | $67,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 4,167 | $67,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 4,680 | $67,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 1,800 | $66,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 1,456 | $66,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 7,300 | $66,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 7,930 | $66,000 | thousands by filing date | |
| Alamos Gold, Inc. | 011527108 | COM | 5,500 | $66,000 | thousands by filing date | call |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 75,000 | $66,000 | thousands by filing date | principal |
| PROLOR BIOTECH INC | 74344F106 | COM | 10,500 | $66,000 | thousands by filing date | |
| ISHARES TR | 464288190 | FTSE CHINA ETF | 1,590 | $66,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 1,840 | $65,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 2,022 | $65,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 4,187 | $65,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 1,000 | $65,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,900 | $65,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 8,221 | $65,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 4,712 | $65,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 6,823 | $65,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 9,705 | $64,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 10,800 | $64,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 64,000 | $64,000 | thousands by filing date | principal |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 4,700 | $63,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 4,911 | $63,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 2,463 | $63,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 1,950 | $63,000 | thousands by filing date | |
| HEALTHCARE TRUST OF AMERICA | 42225P105 | COMMON STOCK | 5,585 | $63,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 7,300 | $63,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 3,053 | $63,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 3,000 | $63,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 1,314 | $62,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 2,010 | $62,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 5,000 | $62,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 9,429 | $62,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 1,238 | $62,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,294 | $62,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 5,000 | $62,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 4,308 | $62,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 38,200 | $62,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 2,460 | $62,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 3,119 | $61,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 9,408 | $61,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 6,400 | $61,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 2,164 | $61,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 10,000 | $61,000 | thousands by filing date | |
| IGATE CORP | 45169U105 | COM | 3,717 | $61,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 14,285 | $61,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 14,770 | $60,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 7,200 | $60,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 643 | $60,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 3,991 | $60,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 1,243 | $59,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 1,800 | $59,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 4,152 | $59,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 7,600 | $59,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 5,445 | $59,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 6,000 | $59,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 5,328 | $59,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 4,400 | $59,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 4,571 | $59,000 | thousands by filing date | |
| MARKET VECTORS TREASURY-HEDG | 57061R775 | HI YLD TREA BD | 2,400 | $59,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 8,412 | $58,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 850 | $58,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 2,306 | $58,000 | thousands by filing date | |
| ICU MED INC | 44930G107 | COM | 813 | $58,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 10,000 | $58,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 1,450 | $58,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 5,740 | $58,000 | thousands by filing date | |
| CONSTELLATION ENERGY PRTNR L | 21038E101 | COM UNIT LLC B | 31,000 | $58,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,825 | $57,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 2,271 | $57,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 1,350 | $57,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 1,560 | $57,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 1,930 | $57,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 4,420 | $57,000 | thousands by filing date | |
| MOLYCORP INC $0.055 PFD | 608753208 | PREFERRED | 2,700 | $57,000 | thousands by filing date | principal |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 2,339 | $57,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 827 | $56,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 20,000 | $56,000 | thousands by filing date | |
| Coastal Contacts, Inc. | 19044r207 | COM | 10,750 | $56,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 6,800 | $56,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 99,000 | $56,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 31,167 | $56,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 2,000 | $55,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F302 | COM SER C | 791 | $55,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,224 | $55,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 5,200 | $55,000 | thousands by filing date | call |
| CVD EQUIP CORP | 126601103 | COM | 6,650 | $55,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 3,100 | $55,000 | thousands by filing date | |
| KID BRANDS, INC. COM | 49375T100 | COM | 36,000 | $55,000 | thousands by filing date | |
| FLEETMATICS GROUP PLC | G35569105 | COM | 1,645 | $55,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 18,827 | $55,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 647 | $55,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 4,404 | $55,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 58,226 | $55,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 35,000 | $55,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 18,856 | $55,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L407 | GOLD TRENDP ETN | 1,950 | $55,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 3,050 | $55,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 12,060 | $54,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 7,306 | $54,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 5,740 | $54,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 245 | $54,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 3,600 | $54,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786U101 | COM | 1,751 | $54,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 2,575 | $53,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 3,910 | $53,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 1,470 | $53,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 23,950 | $53,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 630 | $53,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 25,000 | $53,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 12,600 | $53,000 | thousands by filing date | call |
| HERSHA HOSPITALITY TR REIT | 427825104 | SH BEN INT A | 9,605 | $53,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 38,754 | $53,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 3,900 | $53,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 7,500 | $53,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,500 | $53,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 5,898 | $52,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 3,250 | $52,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 725 | $52,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 22,200 | $52,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 5,956 | $52,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 6,183 | $52,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 17,500 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 1,484 | $52,000 | thousands by filing date | |
| PROSHARES ULTSHRT RUS 2000 G | 74347X195 | COM | 3,181 | $52,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 7,800 | $51,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 1,735 | $51,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 12,849 | $51,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $51,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 2,500 | $51,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 7,050 | $51,000 | thousands by filing date | |
| AVIV REIT INC | 05381L101 | COMMON STOCK | 2,000 | $51,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 2,305 | $51,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 2,500 | $50,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,833 | $50,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,000 | $50,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 2,000 | $50,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,875 | $50,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 1,000 | $50,000 | thousands by filing date | |
| COMPANHIA DE BEBIDAS DAS AME | 20441W104 | SPONSORED ADR | 1,370 | $50,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 3,685 | $50,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 1,152 | $50,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 640 | $49,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 2,051 | $49,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,868 | $49,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 2,469 | $49,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 68,502 | $49,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 28,100 | $49,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 3,000 | $49,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 14,000 | $48,000 | thousands by filing date | call |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 2,686 | $48,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 2,723 | $48,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 1,700 | $48,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 3,000 | $48,000 | thousands by filing date | |
| PIONEER SOUTHWEST ENERGY | 72388B106 | COMMON STOCK | 1,400 | $48,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 2,527 | $48,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 7,465 | $48,000 | thousands by filing date | |
| FIRST TR ISE GLBL PLAT INDX | 33737C104 | COM | 4,353 | $48,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 8,571 | $47,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 1,572 | $47,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 1,700 | $47,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 1,382 | $47,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 1,860 | $47,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 14,075 | $47,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 3,700 | $47,000 | thousands by filing date | call |
| HMN FINL INC | 40424G108 | COM | 6,650 | $47,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 16,343 | $47,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 1,340 | $46,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 47,830 | $46,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 957 | $46,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 968 | $46,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 11,853 | $46,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 6,592 | $46,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 6,538 | $46,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 7,555 | $46,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,407 | $46,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 4,779 | $46,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 1,787 | $45,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 3,412 | $45,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 88,040 | $45,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 3,000 | $45,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 1,371 | $45,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 2,819 | $45,000 | thousands by filing date | |
| SEACOAST BKG CORP FL | 811707306 | COMMON STOCK | 20,440 | $45,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 1,955 | $45,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 9,013 | $45,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 2,838 | $45,000 | thousands by filing date | |
| WILLIS GROUP HOLDINGS PLC | G96666105 | COM | 1,126 | $45,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 36,000 | $45,000 | thousands by filing date | principal |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 2,095 | $45,000 | thousands by filing date | |
| NORDION INC | 65563c105 | COM | 6,100 | $45,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 300 | $45,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 5,202 | $45,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 16,148 | $44,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 3,494 | $44,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 11,175 | $44,000 | thousands by filing date | |
| CLEARWIRE CORP NEW | 18538Q105 | CL A | 8,725 | $44,000 | thousands by filing date | |
| HFF INC | 40418F108 | CL A | 2,458 | $44,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 2,179 | $44,000 | thousands by filing date | |
| WAGEWORKS INC | 930427109 | COM | 1,270 | $44,000 | thousands by filing date | |
| FIFTH THIRD BANCORP CONV P | 316773209 | CNV PFD DEP1/250 | 282 | $44,000 | thousands by filing date | principal |
| EASTERN INSURANCE HOLDINGS | 276534104 | COM | 2,349 | $44,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 2,107 | $44,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 2,000 | $44,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461852 | EGSHARE EM METLS | 4,950 | $44,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 13,507 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 663 | $43,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 3,000 | $43,000 | thousands by filing date | |
| WINDSTREAM CORP | 97381W104 | COM | 5,600 | $43,000 | thousands by filing date | put |
| WINDSTREAM CORP | 97381W104 | COM | 5,600 | $43,000 | thousands by filing date | call |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 1,550 | $43,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,000 | $43,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 3,375 | $43,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 1,589 | $43,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 11,950 | $43,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 800 | $43,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 830 | $42,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 1,608 | $42,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 4,456 | $42,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 2,035 | $42,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,100 | $42,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 3,000 | $42,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 15,807 | $42,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 2,614 | $42,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 9,229 | $42,000 | thousands by filing date | |
| SIMPLICITY BANCORP INC | 828867101 | COM | 2,900 | $42,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 657 | $42,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 2,400 | $42,000 | thousands by filing date | |
| NUVEEN CALIFORNIA | 6706L0102 | COM | 3,000 | $42,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 3,622 | $41,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 6,000 | $41,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,444 | $41,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,673 | $41,000 | thousands by filing date | |
| STANDARD PARKING CORP | 853790103 | COM | 1,900 | $41,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 26,828 | $41,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 18,552 | $41,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 19,945 | $41,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 7,925 | $41,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 3,033 | $41,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 5,300 | $41,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 8,334 | $41,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 3,500 | $40,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 6,500 | $40,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 3,583 | $40,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 35,315 | $40,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 3,578 | $40,000 | thousands by filing date | |
| BELO CORP | 080555105 | COM SER A | 2,874 | $40,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 4,641 | $40,000 | thousands by filing date | |
| NASDAQ OMX GROUP INC 2.500 | 631103AA6 | NOTE 2.500% 8/1 | 40,000 | $40,000 | thousands by filing date | principal |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 2,915 | $40,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 3,950 | $40,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 7,752 | $40,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 4,200 | $39,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 2,850 | $39,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 798 | $39,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 1,500 | $39,000 | thousands by filing date | call |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 500 | $39,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 1,170 | $39,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 7,837 | $39,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 4,750 | $39,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 2,734 | $39,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 8,500 | $39,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 2,000 | $39,000 | thousands by filing date | |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 658 | $39,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,924 | $39,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,104 | $39,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 977 | $38,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 3,334 | $38,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 1,768 | $38,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 2,356 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74347X567 | ULTSHT CHINA 25 | 1,586 | $38,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 1,909 | $38,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 1,085 | $38,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 750 | $38,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 822 | $37,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 656 | $37,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 4,755 | $37,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 764 | $37,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 1,230 | $37,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 2,304 | $37,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 6,000 | $37,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 7,300 | $37,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 1,652 | $37,000 | thousands by filing date | |
| GABELLI HLTHCARE & WELLNESS | 36246K129 | RIGHT 07/17/2013 | 232,616 | $37,000 | thousands by filing date | |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 1,213 | $37,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 23,962 | $36,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 1,770 | $36,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 4,250 | $36,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 905 | $36,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 7,013 | $36,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 4,434 | $36,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 7,690 | $36,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 4,585 | $36,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 2,000 | $35,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 19,400 | $35,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 3,000 | $35,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 3,500 | $35,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 4,309 | $35,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 3,000 | $35,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 8,000 | $35,000 | thousands by filing date | put |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,200 | $35,000 | thousands by filing date | |
| DYAX CORP | 26746E103 | COM | 10,000 | $35,000 | thousands by filing date | |
| ALLIED WRLD ASSUR COM HLDG A | H01531104 | SHS | 375 | $35,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 2,732 | $35,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD FD V | 09255N102 | COM | 2,810 | $35,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 2,700 | $35,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 2,700 | $35,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 2,279 | $34,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 1,649 | $34,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 2,600 | $34,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 2,800 | $34,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 1,600 | $34,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,402 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 783 | $34,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 1,875 | $34,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 7,687 | $34,000 | thousands by filing date | |
| ASSOCIATED ESTATES RLTY CORP | 045604105 | COM | 2,110 | $34,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 4,000 | $34,000 | thousands by filing date | call |
| ISHARES TR | 464288232 | S&P NUCIDX ETF | 1,021 | $34,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 1,000 | $33,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 4,260 | $33,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 1,300 | $33,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $33,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 1,201 | $33,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 2,998 | $33,000 | thousands by filing date | |
| BOISE INC | 09746Y105 | COMMON STOCK | 3,868 | $33,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 5,310 | $33,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 5,000 | $33,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 2,500 | $33,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 2,566 | $33,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 15,500 | $33,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,661 | $33,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,534 | $32,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 2,617 | $32,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 2,198 | $32,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,800 | $32,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 3,000 | $32,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 5,700 | $32,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 1,800 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 1,000 | $32,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 2,342 | $32,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,435 | $31,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,155 | $31,000 | thousands by filing date | |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 4,485 | $31,000 | thousands by filing date | |
| CBEYOND INC | 149847105 | COM | 3,902 | $31,000 | thousands by filing date | |
| HARBINGER GROUP INC | 41146A106 | COM | 4,100 | $31,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 764 | $31,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 1,550 | $31,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,565 | $31,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $31,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 1,216 | $31,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AH8 | NOTE 3.125% 7/1 | 25,000 | $31,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57060U571 | VECTRS POL ETF | 1,591 | $31,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 760 | $30,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 829 | $30,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 13,000 | $30,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 5,000 | $30,000 | thousands by filing date | put |
| SELECT COMFORT CORP | 81616X103 | COM | 1,211 | $30,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 2,021 | $30,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 10,680 | $30,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 2,000 | $30,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 51,050 | $30,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 450 | $30,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 8,200 | $30,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 200 | $30,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 3,400 | $30,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 694 | $30,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,827 | $29,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 2,835 | $29,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 967 | $29,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 250 | $28,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 1,480 | $28,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 2,500 | $28,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 1,268 | $28,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 708 | $28,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 2,700 | $28,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 2,000 | $28,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 4,500 | $28,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 600 | $28,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 550 | $28,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,564 | $28,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 1,750 | $28,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 781 | $28,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 3,684 | $27,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 795 | $27,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 42,023 | $27,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,425 | $27,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 935 | $27,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 4,638 | $27,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 452 | $27,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 702 | $27,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 8,900 | $27,000 | thousands by filing date | call |
| ZEP INC | 98944B108 | COMMON STOCK | 1,703 | $27,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 1,568 | $27,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 1,000 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,000 | $27,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 5,900 | $27,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 1,022 | $27,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 700 | $27,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 2,184 | $27,000 | thousands by filing date | |
| CNH GLOBAL N V | N20935206 | SHS NEW | 656 | $27,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 2,458 | $27,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 1,500 | $27,000 | thousands by filing date | |
| PROSHARES ULTRA SILVER | 74347W841 | COM | 1,600 | $27,000 | thousands by filing date | |
| GYRODYNE CO AMER INC | 403820103 | COM | 374 | $27,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,900 | $26,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,350 | $26,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 1,225 | $26,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 4,200 | $26,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 1,400 | $26,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $26,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 1,100 | $26,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 20,500 | $26,000 | thousands by filing date | put |
| RAND LOGISTICS INC | 752182105 | COM | 5,159 | $26,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 630 | $25,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 1,114 | $25,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 5,550 | $25,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 7,923 | $25,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 2,666 | $25,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 1,800 | $25,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 2,182 | $25,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 4,156 | $25,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 12,800 | $25,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 11,500 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 466 | $25,000 | thousands by filing date | |
| PAA NAT GAS STORAGE L P | 693139107 | COM UNIT LTD | 1,200 | $25,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AN3 | NOTE | 11,000 | $25,000 | thousands by filing date | principal |
| AVG TECHNOLOGIES | N07831105 | SHS | 1,320 | $25,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 3,000 | $25,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 1,132 | $25,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 1,900 | $25,000 | thousands by filing date | |
| ISHARES TR | 464289594 | CMN | 509 | $25,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,560 | $25,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 1,150 | $24,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 223 | $24,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 384 | $24,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 1,191 | $24,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,300 | $24,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 1,808 | $24,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $24,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 3,190 | $24,000 | thousands by filing date | |
| ASM INTERNATIONAL NV | N07045102 | Common Stock | 721 | $24,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 4,000 | $24,000 | thousands by filing date | |
| TELLABS INC | 879664100 | COM | 12,200 | $24,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 250 | $23,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 3,300 | $23,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 1,381 | $23,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $23,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,000 | $23,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 715 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 463 | $23,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 2,000 | $23,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P203 | COM NEW | 14,800 | $23,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 3,400 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,017 | $23,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 5,130 | $23,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 293 | $23,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 3,075 | $23,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 850 | $23,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 441 | $22,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 2,417 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 450 | $22,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 900 | $22,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 3,000 | $22,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 400 | $22,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,250 | $22,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,000 | $22,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 5,250 | $22,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,500 | $22,000 | thousands by filing date | |
| BLACKROCK STRTGC BOND TR | 09249G106 | COM | 1,675 | $22,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 300 | $22,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 1,150 | $22,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-13-032924 | this filing | 2013-08-14 | acceptance time not in the bulk data set |