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 |
|---|---|---|---|---|---|---|
| AMER MUN INCOME PORT INC | 027649102 | COM | 1,500 | $22,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 5,100 | $22,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 2,113 | $22,000 | thousands by filing date | |
| NUVEEN MA DIV AD MUNI FD | 67069P101 | cs | 1,500 | $22,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 2,000 | $21,000 | thousands by filing date | call |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 251 | $21,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 875 | $21,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 1,200 | $21,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 1,148 | $21,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,600 | $21,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 1,556 | $21,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 1,100 | $21,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 1,527 | $21,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 705 | $21,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 2,852 | $20,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 2,159 | $20,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 600 | $20,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 4,950 | $20,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,284 | $20,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 1,000 | $20,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 1,250 | $20,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,200 | $20,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,510 | $20,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 6,330 | $20,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 3,500 | $20,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 5,716 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 1,100 | $20,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 494 | $20,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 15,000 | $20,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CN8 | NOTE 4.250%11/1 | 11,000 | $20,000 | thousands by filing date | principal |
| PERICOM SEMICONDUCTOR CORP | 713831105 | COM | 2,800 | $20,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 1,280 | $20,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,256 | $20,000 | thousands by filing date | |
| CHINDEX INTERNATIONAL INC | 169467107 | COM | 1,250 | $20,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 700 | $20,000 | thousands by filing date | |
| JAPAN EQUITY FD INC | 471057109 | COM | 3,093 | $20,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 325 | $20,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 299 | $19,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 1,000 | $19,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 617 | $19,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 492 | $19,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 1,660 | $19,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 1,538 | $19,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 1,081 | $19,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 862 | $19,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,500 | $19,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 2,000 | $19,000 | thousands by filing date | put |
| AGENUS INC | 00847G705 | COM NEW | 5,060 | $19,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 1,200 | $19,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 1,302 | $19,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 2,355 | $19,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 500 | $19,000 | thousands by filing date | |
| ACCELRYS INC | 00430U103 | COM | 2,169 | $19,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 200 | $19,000 | thousands by filing date | |
| ZYGO CORP | 989855101 | COM | 1,200 | $19,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 7,480 | $19,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 1,725 | $19,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 3,168 | $19,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 12,000 | $19,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,333 | $19,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 2,041 | $19,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 1,200 | $19,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 510 | $19,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 1,310 | $19,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 250 | $18,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,549 | $18,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 3,455 | $18,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 1,000 | $18,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 1,200 | $18,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,144 | $18,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,542 | $18,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 1,000 | $18,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 1,325 | $18,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 1,250 | $18,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 800 | $18,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 3,622 | $18,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 4,290 | $18,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 9,500 | $18,000 | thousands by filing date | |
| AMERISTAR CASINOS INC | 03070Q101 | COM | 700 | $18,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 289 | $18,000 | thousands by filing date | |
| LAKES GAMING INC COM | 51206P109 | COM | 5,000 | $18,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 610 | $18,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 4,566 | $18,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 3,193 | $18,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,366 | $18,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 12,700 | $18,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 1,000 | $18,000 | thousands by filing date | |
| MASSACHUSETTS HEALTH & ED TX | 575672100 | SH BEN INT | 1,400 | $18,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 545 | $17,000 | thousands by filing date | |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 686 | $17,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 800 | $17,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 1,250 | $17,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,021 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 400 | $17,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 826 | $17,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,100 | $17,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 575 | $17,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 750 | $17,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 3,025 | $17,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,200 | $17,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,900 | $17,000 | thousands by filing date | |
| GREENWAY MED TECHNOLOGIES IN | 39679B103 | COM | 1,290 | $17,000 | thousands by filing date | |
| CEL-SCI CORP | 150837409 | COM NEW | 79,061 | $17,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 4,000 | $17,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 3,973 | $17,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L209 | US MC TRENDP ETN | 603 | $17,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 7,930 | $17,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 538 | $17,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 4,637 | $17,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 300 | $17,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 1,000 | $17,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,000 | $16,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 1,088 | $16,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 2,115 | $16,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,170 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 845 | $16,000 | thousands by filing date | |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 1,500 | $16,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,200 | $16,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 1,729 | $16,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 9,000 | $16,000 | thousands by filing date | principal |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 372 | $16,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 8,071 | $16,000 | thousands by filing date | |
| ROMA FINANCIAL CORP | 77581P109 | COM | 900 | $16,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 783 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 370 | $16,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 415 | $15,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 200 | $15,000 | thousands by filing date | call |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 1,400 | $15,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,101 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 1,775 | $15,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,056 | $15,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 900 | $15,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 400 | $15,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 840 | $15,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 985 | $15,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,000 | $15,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 834 | $15,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 3,000 | $15,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 400 | $15,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 8,000 | $15,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 600 | $15,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 40,090 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 800 | $15,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 3,000 | $15,000 | thousands by filing date | |
| FLOW INTL CORP | 343468104 | COM | 4,000 | $15,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,130 | $15,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 2,335 | $15,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 2,300 | $15,000 | thousands by filing date | |
| NASB FINANCIAL INC | 628968109 | COM | 552 | $15,000 | thousands by filing date | |
| VIRGIN MEDIA INC | 92769L101 | COM | 287 | $15,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 210 | $15,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 4,000 | $15,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,650 | $15,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526104 | COM | 15,500 | $15,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 648 | $15,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 999 | $14,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 2,244 | $14,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 1,300 | $14,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 605 | $14,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 1,221 | $14,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 600 | $14,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 270 | $14,000 | thousands by filing date | principal |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 1,000 | $14,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 1,000 | $14,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 689 | $14,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 1,600 | $14,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 15,000 | $14,000 | thousands by filing date | principal |
| FEDERAL MOGUL CORP | 313549404 | COM | 1,400 | $14,000 | thousands by filing date | |
| INTERMEC INC | 458786100 | COM | 1,400 | $14,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 1,000 | $14,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 1,350 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 383 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 1,000 | $14,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 8,899 | $14,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 9,904 | $14,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 1,057 | $14,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 25,300 | $14,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H566 | PS AGRI DS ETN | 1,000 | $14,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 1,000 | $13,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 7,000 | $13,000 | thousands by filing date | call |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 3,575 | $13,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 500 | $13,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 291 | $13,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 1,593 | $13,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 300 | $13,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 2,050 | $13,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 1,500 | $13,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 368 | $13,000 | thousands by filing date | |
| ZOLTEK COS INC | 98975W104 | COM | 985 | $13,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 1,400 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 5,155 | $13,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 5,953 | $13,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 300 | $13,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,474 | $13,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 629 | $13,000 | thousands by filing date | |
| ADA ES INC | 005208103 | COM | 300 | $13,000 | thousands by filing date | |
| CLIFTON SAVINGS BANCORP INC | 18712Q103 | COM | 1,100 | $13,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 367 | $13,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641661 | S&P500 GLD ETN | 325 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 700 | $13,000 | thousands by filing date | |
| ISHARES TR | 464289198 | MSCI EMG MATS | 884 | $13,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 240 | $12,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 288 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 218 | $12,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 365 | $12,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 390 | $12,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 3,000 | $12,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 7,885 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 300 | $12,000 | thousands by filing date | |
| CROSS (A.T.) COMPANY | 227478104 | COMMON STOCK | 720 | $12,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 2,000 | $12,000 | thousands by filing date | call |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 14,864 | $12,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 250 | $12,000 | thousands by filing date | call |
| ARBITRON INC | 03875Q108 | COM | 250 | $12,000 | thousands by filing date | |
| MOLSON COORS BREWING CO | 60871RAA8 | NOTE 2.500% 7/3 | 12,000 | $12,000 | thousands by filing date | principal |
| HARTE-HANKS INC | 416196103 | COM | 1,400 | $12,000 | thousands by filing date | |
| WEBSENSE INC | 947684106 | COM | 500 | $12,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 1,100 | $12,000 | thousands by filing date | |
| MARKET VECTORS INDIA S/C | 57060U563 | INDI | 1,784 | $12,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 1,394 | $12,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 500 | $12,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,100 | $12,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 16,500 | $12,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 3,293 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y496 | DLY GLMNRBU3XNEW | 2,000 | $12,000 | thousands by filing date | |
| SUNTECH PWR HLDGS CO LTD | 86800C104 | ADR | 12,344 | $12,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 553 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 453 | $12,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 1,100 | $12,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 500 | $12,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 1,000 | $12,000 | thousands by filing date | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,000 | $12,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 450 | $12,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 287 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 414 | $11,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 230 | $11,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 800 | $11,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 109 | $11,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 1,000 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 703 | $11,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 907 | $11,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 1,300 | $11,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 753 | $11,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 300 | $11,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 655 | $11,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 500 | $11,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 3,314 | $11,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 2,900 | $11,000 | thousands by filing date | call |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 11,000 | $11,000 | thousands by filing date | principal |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 5,000 | $11,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 500 | $11,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,917 | $11,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 1,144 | $11,000 | thousands by filing date | |
| GREATBATCH INC | 39153L106 | COM | 341 | $11,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 383 | $11,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 417 | $11,000 | thousands by filing date | |
| AMERISTAR CASINOS INC | 03070Q101 | COM | 400 | $11,000 | thousands by filing date | put |
| SOLAZYME INC | 83415T101 | COM | 900 | $11,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 3,000 | $11,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $11,000 | thousands by filing date | principal |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 3,510 | $11,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 2,016 | $11,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 2,000 | $11,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 175 | $11,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 855 | $11,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 209 | $11,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 6,254 | $11,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 10,000 | $11,000 | thousands by filing date | principal |
| POWERSHARES MENA | 73936Q603 | MENA FRNTR ETF | 1,000 | $11,000 | thousands by filing date | |
| ISHARES MSCI FAR E F S IN FD | 464289214 | CMN | 377 | $11,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 447 | $11,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 200 | $10,000 | thousands by filing date | put |
| YELP INC CL A | 985817105 | Stock | 275 | $10,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 271 | $10,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 712 | $10,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 445 | $10,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 500 | $10,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 582 | $10,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 700 | $10,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 1,000 | $10,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 300 | $10,000 | thousands by filing date | |
| BERKSHIRE BANCORP INC | 084597202 | COMMON STOCK | 1,273 | $10,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 214 | $10,000 | thousands by filing date | |
| SUSSER HOLDINGS CORP | 869233106 | COMMON STOCK | 200 | $10,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 1,750 | $10,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 587 | $10,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,550 | $10,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 200 | $10,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 742 | $10,000 | thousands by filing date | |
| DIGITAL GENERATION INC | 25400B108 | COM | 1,378 | $10,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 303 | $10,000 | thousands by filing date | |
| ALLIANZGI GLOBAL EQUITY & CO | 01882W100 | COM | 750 | $10,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 2,250 | $10,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 800 | $10,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 3,500 | $10,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 736 | $10,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 1,663 | $10,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 1,060 | $10,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 100 | $10,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 5,000 | $10,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 10,000 | $10,000 | thousands by filing date | principal |
| ISHARES TR | 46429B374 | ALCO ASIA INFO | 350 | $10,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 2,000 | $9,000 | thousands by filing date | put |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 1,521 | $9,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 200 | $9,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 155 | $9,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 356 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 300 | $9,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,515 | $9,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 3,030 | $9,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 1,270 | $9,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 5,000 | $9,000 | thousands by filing date | principal |
| FURMANITE CORPORATION | 361086101 | COM | 1,383 | $9,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 1,000 | $9,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 7,100 | $9,000 | thousands by filing date | call |
| ZOGENIX INC | 98978L105 | COM | 5,517 | $9,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 3,000 | $9,000 | thousands by filing date | call |
| STEINER LEISURE LTD | P8744Y102 | ORD | 178 | $9,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 3,000 | $9,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 1,000 | $9,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 299 | $9,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 2,800 | $9,000 | thousands by filing date | |
| GIVEN IMAGING LTD | M52020100 | ORD | 650 | $9,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 500 | $9,000 | thousands by filing date | |
| PDI INC | 69329V100 | COM | 1,928 | $9,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 3,000 | $9,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 778 | $9,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 724 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 500 | $9,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 1,700 | $9,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 300 | $9,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 5,326 | $9,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 780 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 449 | $9,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 200 | $8,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 311 | $8,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 202 | $8,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,000 | $8,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 300 | $8,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 1,800 | $8,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 1,100 | $8,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 547 | $8,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 320 | $8,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 165 | $8,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,000 | $8,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 2,900 | $8,000 | thousands by filing date | call |
| SIFCO INDS INC | 826546103 | COM | 463 | $8,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 674 | $8,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 1,150 | $8,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 3,045 | $8,000 | thousands by filing date | |
| TRIUS THERAPEUTICS INC | 89685K100 | COM | 1,000 | $8,000 | thousands by filing date | |
| EXIDE TECHNOLOGIES | 302051206 | COM NEW | 63,500 | $8,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 424 | $8,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 2,000 | $8,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 2,000 | $8,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 429 | $8,000 | thousands by filing date | |
| DEMANDWARE INC | 24802Y105 | COM | 180 | $8,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 500 | $8,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 320 | $8,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 2,300 | $8,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 184 | $8,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 500 | $8,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 8,000 | $8,000 | thousands by filing date | put |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 4,152 | $8,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 1,000 | $8,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 2,018 | $8,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 310 | $8,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 500 | $8,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 250 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 499 | $8,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 600 | $7,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 5,625 | $7,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 125 | $7,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 344 | $7,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 400 | $7,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 569 | $7,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 1,000 | $7,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 297 | $7,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 300 | $7,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 1,500 | $7,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 1,000 | $7,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 1,500 | $7,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 744 | $7,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 800 | $7,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 604 | $7,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 4,000 | $7,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 218 | $7,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 400 | $7,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 6,000 | $7,000 | thousands by filing date | principal |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 5,000 | $7,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 6,000 | $7,000 | thousands by filing date | principal |
| DYNAMIC MATLS CORP | 267888105 | COM | 400 | $7,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 560 | $7,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,333 | $7,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 833 | $7,000 | thousands by filing date | |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 200 | $7,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 800 | $7,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 400 | $7,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 8,900 | $7,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 2,505 | $7,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 500 | $7,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 13,319 | $7,000 | thousands by filing date | |
| MEDIABISTRO INC | 58448U101 | COM | 4,285 | $7,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 5,600 | $7,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,000 | $6,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 200 | $6,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 1,100 | $6,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 300 | $6,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 604 | $6,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 335 | $6,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 300 | $6,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 151 | $6,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 1,500 | $6,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 430 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| CRAWFORD & CO | 224633107 | COM | 1,085 | $6,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 423 | $6,000 | thousands by filing date | |
| SIMS LTD SPON ADR EA | 829160100 | Common Stock | 820 | $6,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 2,000 | $6,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 700 | $6,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 799 | $6,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 1,000 | $6,000 | thousands by filing date | put |
| SIGMA DESIGNS INC | 826565103 | COM | 1,150 | $6,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS 3.000/15/24 | 018804AK0 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 6,000 | $6,000 | thousands by filing date | principal |
| DWS STRATEGIC MUN INCOME TR | 23338T101 | COM | 467 | $6,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 395 | $6,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 1,286 | $6,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916110 | RIGHT 07/03/2013 | 265,000 | $6,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 1,446 | $6,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U407 | GBL ALTER ENRG | 400 | $6,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $6,000 | thousands by filing date | principal |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 50 | $6,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 60 | $6,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 64 | $6,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 403 | $6,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 59 | $5,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 109 | $5,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 356 | $5,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,366 | $5,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 2,000 | $5,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 400 | $5,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 260 | $5,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 100 | $5,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 500 | $5,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 150 | $5,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 150 | $5,000 | thousands by filing date | principal |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 150 | $5,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 500 | $5,000 | thousands by filing date | put |
| SANOFI | 80105N113 | COMMON STOCK-FO | 2,507 | $5,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $5,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 5,000 | $5,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAB6 | DBCV 2.750% 8/1 | 4,000 | $5,000 | thousands by filing date | principal |
| IMATION CORP | 45245A107 | COM | 1,244 | $5,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 4,000 | $5,000 | thousands by filing date | principal |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 2,743 | $5,000 | thousands by filing date | |
| CASH STORE FINL SVCS INC | 14756F103 | COM | 2,095 | $5,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 225 | $5,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AQ6 | NOTE 1.500% 8/0 | 3,000 | $5,000 | thousands by filing date | principal |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,100 | $5,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 200 | $5,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 300 | $5,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 500 | $5,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 265 | $5,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 1,148 | $5,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 4,450 | $5,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 1,260 | $5,000 | thousands by filing date | |
| UNITED FINANCIAL BANCORP INC | 91030T109 | COM | 300 | $5,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 300 | $5,000 | thousands by filing date | |
| ARDEN GROUP INC-A | 039762109 | CL A | 48 | $5,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 683 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 100 | $5,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 1,000 | $5,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 3,000 | $5,000 | thousands by filing date | principal |
| SUNSHINE HEART INC | 86782u106 | COM | 900 | $5,000 | thousands by filing date | |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 10,721 | $5,000 | thousands by filing date | |
| Lihua International Inc. | 532352101 | COM | 1,000 | $5,000 | thousands by filing date | |
| AETRIUM INC | 00817R103 | COM | 10,000 | $5,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,120 | $4,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 250 | $4,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 230 | $4,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 300 | $4,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 116 | $4,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 200 | $4,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 400 | $4,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 556 | $4,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 100 | $4,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 247 | $4,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 330 | $4,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 2,000 | $4,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 600 | $4,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 3 | $4,000 | thousands by filing date | principal |
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 |