13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 6,183 holding rows worth $130,167,920,000.
- Accession
- 0001140361-13-042767
- Filer
- CIK 1000275
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 18,269 entries on the cover page, a total value of $130,167,920,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $130,167,920,000 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 |
|---|---|---|---|---|---|---|
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 26,700 | $96,000 | thousands by filing date | call |
| ATMI INC | 00207R101 | COM | 3,634 | $96,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 3,808 | $96,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 4,300 | $96,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 1,487 | $96,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 8,400 | $96,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 10,282 | $95,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 9,753 | $95,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 8,227 | $95,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 4,139 | $95,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 8,173 | $95,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 1,960 | $94,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 6,992 | $94,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 8,007 | $94,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 19,815 | $94,000 | thousands by filing date | |
| MAKO SURGICAL CORP | 560879108 | COM | 3,200 | $94,000 | thousands by filing date | put |
| ISRAMCO INC | 465141406 | COM | 761 | $94,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 7,054 | $93,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS | 05334D107 | COMMON STOCK | 5,091 | $93,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 28,100 | $93,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 500 | $92,000 | thousands by filing date | |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 1,991 | $92,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 48,584 | $92,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,500 | $92,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 1,227 | $92,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 7,350 | $92,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 11,964 | $92,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,800 | $92,000 | thousands by filing date | |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 3,217 | $91,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 1,774 | $91,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 2,953 | $91,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 5,679 | $91,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 7,100 | $91,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 46,766 | $91,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 12,234 | $91,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 9,455 | $91,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 3,000 | $90,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 3,713 | $90,000 | thousands by filing date | principal |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 3,707 | $90,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 15,585 | $90,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 8,500 | $89,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 6,507 | $89,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 7,525 | $89,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 6,335 | $89,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 2,069 | $89,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 7,488 | $89,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 1,900 | $88,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 2,000 | $88,000 | thousands by filing date | put |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 2,264 | $88,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 7,554 | $88,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 14,891 | $88,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 7,420 | $88,000 | thousands by filing date | |
| 38259p508 | COM | 100 | $88,000 | thousands by filing date | call | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 3,291 | $88,000 | thousands by filing date | |
| NUVEEN PA DIV ADVANTAGE MUN | 67070E103 | COM | 7,186 | $88,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 10,000 | $87,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 4,746 | $87,000 | thousands by filing date | |
| ROCKVILLE FINANCIAL INC | 774188106 | COM | 6,717 | $87,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 7,575 | $87,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 25,839 | $86,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 1,064 | $86,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 10,308 | $86,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 11,950 | $86,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 687 | $85,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 1,581 | $85,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 3,932 | $85,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 106,000 | $85,000 | thousands by filing date | principal |
| BOVIE MEDICAL CORP | 10211F100 | COM | 30,000 | $85,000 | thousands by filing date | |
| CAMCO FINANCIAL CORP | 132618109 | COM | 21,000 | $85,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643507 | ADR PRF SER A | 6,950 | $85,000 | thousands by filing date | principal |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 4,555 | $85,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 2,831 | $84,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 13,095 | $84,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 6,953 | $84,000 | thousands by filing date | |
| INTERMUNE INC | 45884XAE3 | NOTE 2.500% 9/1 | 94,000 | $84,000 | thousands by filing date | principal |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 1,764 | $83,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 16,136 | $83,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 8,430 | $83,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 2,779 | $83,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 3,419 | $83,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 5,350 | $83,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 6,173 | $83,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 1,858 | $83,000 | thousands by filing date | |
| TMS INTERNATIONAL CORP | 87261Q103 | COMMON STOCK | 4,680 | $82,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD FD V | 09255N102 | COM | 6,755 | $82,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 5,773 | $81,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,030 | $81,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,890 | $81,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 6,100 | $81,000 | thousands by filing date | call |
| ROVI CORP | 779376AB8 | CORPORATE OBLIG | 80,000 | $81,000 | thousands by filing date | principal |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 15,570 | $81,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 4,850 | $81,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 3,600 | $80,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 44,563 | $80,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 5,175 | $80,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 20,736 | $79,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 1,615 | $79,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 4,099 | $79,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 15,728 | $79,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 4,087 | $79,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 2,495 | $78,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 1,462 | $78,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 2,361 | $78,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 7,000 | $78,000 | thousands by filing date | put |
| SOLARCITY CORP | 83416T100 | COM | 2,260 | $78,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319AC8 | NOTE 5.750% 6/1 | 25,000 | $78,000 | thousands by filing date | principal |
| PLANAR SYSTEMS INC | 726900103 | COM | 43,626 | $78,000 | thousands by filing date | |
| PROSHARES ULTRASHORT | 74348A400 | PSHS ULSH SC 600 | 5,299 | $78,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 5,100 | $78,000 | thousands by filing date | |
| ICU MED INC | 44930G107 | COM | 1,134 | $77,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 2,166 | $77,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 10,752 | $77,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 15,500 | $77,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 7,000 | $77,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 3,182 | $77,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 1,686 | $76,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 3,946 | $76,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 4,475 | $76,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 6,867 | $76,000 | thousands by filing date | |
| ISHARES GLBL INFLATION LINKED BOND FUND | 46429B812 | ETF | 1,510 | $76,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 2,567 | $76,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E507 | CHINA ENRG ETF | 5,241 | $76,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 1,164 | $75,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 18,000 | $75,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 5,949 | $75,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 1,337 | $75,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 31,414 | $75,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550107 | CL A | 3,975 | $75,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 6,400 | $75,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 9,200 | $75,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 29,000 | $75,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 3,640 | $75,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 4,450 | $74,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 7,053 | $74,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 4,649 | $74,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 1,921 | $74,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 1,776 | $74,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 15,243 | $74,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 3,275 | $74,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 23,950 | $74,000 | thousands by filing date | |
| ISHARES TR | 464288190 | FTSE CHINA ETF | 1,590 | $74,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 5,598 | $73,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 1,115 | $73,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 7,300 | $73,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 56,198 | $73,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 12,729 | $73,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 3,563 | $73,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 21,000 | $73,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 1,000 | $72,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 9,789 | $72,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 6,500 | $72,000 | thousands by filing date | call |
| FERRO CORP | 315405100 | COM | 7,857 | $72,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153105 | COM | 10,000 | $72,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 56,800 | $72,000 | thousands by filing date | put |
| AVG TECHNOLOGIES | N07831105 | SHS | 3,009 | $72,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 18,100 | $72,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 1,075 | $71,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 2,640 | $71,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 5,150 | $71,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 4,549 | $71,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 5,120 | $71,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 3,922 | $71,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 25,075 | $71,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 4,871 | $70,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 4,928 | $70,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 8,471 | $70,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 7,302 | $70,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 9,224 | $70,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 20,422 | $70,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 4,501 | $69,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 2,857 | $69,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 11,590 | $69,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 7,000 | $69,000 | thousands by filing date | call |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 2,750 | $69,000 | thousands by filing date | principal |
| COGNEX CORP | 192422103 | COM | 2,157 | $68,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 5,500 | $68,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 1,329 | $68,000 | thousands by filing date | |
| DWS | 23338W104 | EXCHANGE TRADED | 8,482 | $68,000 | thousands by filing date | |
| ALLIANZGI GLOBAL EQUITY & CO | 01882W100 | COM | 4,500 | $68,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 3,930 | $68,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L209 | US MC TRENDP ETN | 2,253 | $68,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 75,000 | $68,000 | thousands by filing date | principal |
| Flushing Financial Corp | 343873105 | Common Stock | 3,626 | $67,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 4,850 | $67,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 6,845 | $67,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 9,500 | $67,000 | thousands by filing date | call |
| Coastal Contacts, Inc. | 19044r207 | COM | 10,750 | $67,000 | thousands by filing date | |
| AFC ENTERPRISES INC | 00104Q107 | COM | 1,528 | $67,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 2,685 | $67,000 | thousands by filing date | principal |
| ALEXANDERS INC COM | 014752109 | REIT | 230 | $66,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 2,723 | $66,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 10,000 | $66,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 4,550 | $66,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 7,600 | $66,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 2,813 | $66,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 3,967 | $66,000 | thousands by filing date | |
| CONSTELLATION ENERGY PRTNR L | 21038E101 | COM UNIT LLC B | 31,000 | $66,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 2,156 | $66,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 990 | $65,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 2,750 | $65,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 2,457 | $65,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 4,173 | $64,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 7,050 | $64,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 6,144 | $64,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 3,400 | $64,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 3,158 | $64,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 38,200 | $64,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 64,000 | $64,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X525 | S&P SMLCP ASIA | 1,490 | $64,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 10,855 | $63,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 2,252 | $63,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 3,500 | $63,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 2,023 | $63,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 5,000 | $63,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 6,500 | $63,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 15,904 | $63,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 6,823 | $63,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 2,575 | $62,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 5,164 | $62,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 11,500 | $62,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 6,075 | $62,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 5,933 | $61,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 3,772 | $61,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 4,000 | $61,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,200 | $61,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 13,755 | $61,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 4,582 | $61,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 943 | $61,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,511 | $61,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 7,862 | $61,000 | thousands by filing date | |
| ISHARES TR | 464289628 | MSCI ACWI X US | 794 | $61,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 4,548 | $60,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 4,391 | $60,000 | thousands by filing date | |
| ANNIES INC | 03600T104 | COM | 1,230 | $60,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 7,765 | $59,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 7,493 | $59,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 2,456 | $59,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,294 | $59,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 704 | $59,000 | thousands by filing date | |
| ISHARES TR | 46429B622 | MSCI A/C ASIA | 1,068 | $59,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 1,874 | $59,000 | thousands by filing date | |
| Market Vectors Small Cap India | 57061r551 | COM | 2,323 | $59,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 1,137 | $58,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 6,145 | $58,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 2,000 | $58,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 6,400 | $58,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 2,317 | $58,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 4,308 | $58,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 6,938 | $58,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 4,553 | $58,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 5,000 | $58,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 11,617 | $57,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 3,600 | $57,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 701 | $56,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 1,819 | $56,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 81,040 | $56,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 1,893 | $56,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 2,379 | $56,000 | thousands by filing date | |
| FIRST TR ISE GLBL PLAT INDX | 33737C104 | COM | 4,353 | $56,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 827 | $55,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 7,187 | $55,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 1,700 | $55,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 6,854 | $55,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 8,100 | $55,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 2,313 | $55,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 1,000 | $55,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 2,239 | $55,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 7,475 | $55,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 35,000 | $55,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 1,707 | $55,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 4,400 | $55,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 17,410 | $55,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,047 | $54,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC COM | 92672A101 | Stock | 2,589 | $54,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 13,000 | $54,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,905 | $54,000 | thousands by filing date | |
| Cole Real Estate Investments | 19329V105 | COM | 4,371 | $54,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 3,991 | $54,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 4,397 | $54,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 4,274 | $53,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 1,870 | $53,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 6,456 | $53,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 630 | $53,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 10,000 | $53,000 | thousands by filing date | call |
| KID BRANDS, INC. COM | 49375T100 | COM | 36,000 | $53,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 6,650 | $53,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 948 | $53,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 36,000 | $53,000 | thousands by filing date | principal |
| CAMAC ENERGY INC | 131745101 | COM | 67,000 | $53,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 17,514 | $53,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 1,750 | $53,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 7,925 | $53,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 2,893 | $52,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 3,000 | $52,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,040 | $52,000 | thousands by filing date | |
| BBCN BANCORP INC | 073295107 | COM | 3,770 | $52,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 130,369 | $52,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 4,453 | $52,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 20,454 | $52,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U225 | RETAIL ETF | 946 | $52,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 1,133 | $52,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 759 | $51,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 2,400 | $51,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 4,220 | $51,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 5,356 | $51,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 818 | $51,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,750 | $51,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 3,875 | $51,000 | thousands by filing date | |
| ENVISION HEALTHCARE HLDGS IN | 29413U103 | COM | 1,991 | $51,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 4,329 | $51,000 | thousands by filing date | |
| ALLIED WRLD ASSUR COM HLDG A | H01531104 | SHS | 514 | $51,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 7,329 | $51,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 1,225 | $51,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 6,956 | $51,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 1,683 | $50,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 4,011 | $50,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $50,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 3,266 | $50,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 1,167 | $50,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 3,255 | $50,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 3,900 | $50,000 | thousands by filing date | |
| NAM TAI ELECTRS INC | 629865205 | COM PAR $0.02 | 6,390 | $50,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 7,000 | $50,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 311 | $50,000 | thousands by filing date | |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 50,000 | $50,000 | thousands by filing date | principal |
| CAVCO INDS INC DEL | 149568107 | COM | 852 | $49,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 2,378 | $49,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 3,253 | $49,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 2,100 | $49,000 | thousands by filing date | call |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 3,917 | $49,000 | thousands by filing date | |
| BOISE INC | 09746Y105 | COMMON STOCK | 3,868 | $49,000 | thousands by filing date | |
| ARDEN GROUP INC-A | 039762109 | CL A | 375 | $49,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 10,000 | $48,000 | thousands by filing date | put |
| RITEAID CORP | 767754104 | COM | 10,000 | $48,000 | thousands by filing date | call |
| INSULET CORP COM | 45784P101 | Stock | 1,311 | $48,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 875 | $48,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 2,500 | $48,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 1,550 | $48,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 13,100 | $48,000 | thousands by filing date | call |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 2,284 | $48,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 633 | $47,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,809 | $47,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,447 | $47,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 5,202 | $47,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 1,025 | $46,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 7,753 | $46,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 2,977 | $46,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 1,690 | $46,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 1,271 | $46,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 3,093 | $46,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 2,157 | $46,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 2,662 | $46,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 1,453 | $46,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 11,000 | $46,000 | thousands by filing date | call |
| TELLABS INC | 879664100 | COM | 19,937 | $46,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 3,538 | $46,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 8,200 | $46,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 4,038 | $45,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 3,315 | $45,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 22,204 | $45,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 11,120 | $45,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 518 | $44,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 2,004 | $44,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 2,241 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 500 | $44,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 31,415 | $44,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,865 | $44,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 292 | $43,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 7,645 | $43,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 3,907 | $43,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,489 | $43,000 | thousands by filing date | |
| SPANSION INC | 84649R200 | COM CL A NEW | 4,349 | $43,000 | thousands by filing date | |
| KAYDON CORP | 486587108 | COM | 1,200 | $43,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,950 | $43,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 996 | $42,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 3,250 | $42,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 3,000 | $42,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 4,826 | $42,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 2,400 | $42,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 3,938 | $42,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 2,189 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 1,605 | $42,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 6,200 | $42,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 4,535 | $41,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 1,522 | $41,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,000 | $41,000 | thousands by filing date | |
| ZILLOW INC | 98954A107 | COMMON STOCK | 480 | $41,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 40,000 | $41,000 | thousands by filing date | principal |
| SEQUENOM INC COM NEW | 817337405 | COM | 15,446 | $41,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 21,168 | $41,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 1,385 | $41,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 1,237 | $41,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 2,220 | $40,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 3,000 | $40,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 600 | $40,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 4,336 | $40,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,400 | $40,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 20,057 | $40,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 2,000 | $40,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 14,286 | $40,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 7,690 | $40,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 1,571 | $40,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 803 | $39,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 2,028 | $39,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 2,210 | $39,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,170 | $39,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 3,583 | $39,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,200 | $39,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 3,488 | $39,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 9,500 | $39,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 6,000 | $39,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 925 | $39,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 1,621 | $38,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 2,000 | $38,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 736 | $38,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,725 | $38,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 833 | $38,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 2,384 | $38,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 970 | $38,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,127 | $38,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 6,950 | $38,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 3,759 | $38,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 3,000 | $38,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R205 | INTL HI YLD BD | 1,413 | $38,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $38,000 | thousands by filing date | |
| HELIOS HIGH YIELD FD | 42328Q109 | COM | 3,825 | $38,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 1,555 | $37,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 507 | $37,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 1,000 | $37,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 1,704 | $37,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 2,850 | $37,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 1,300 | $37,000 | thousands by filing date | |
| STERLING FINL CORP WASH | 859319303 | COM NEW | 1,270 | $37,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 8,457 | $37,000 | thousands by filing date | |
| Meru Networks, Inc. | 59047Q103 | COM | 11,300 | $37,000 | thousands by filing date | |
| ISHARES TR | 464289552 | HLTH CR IDX FD | 491 | $37,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 4,400 | $36,000 | thousands by filing date | call |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 3,200 | $36,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 838 | $36,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 2,871 | $36,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 6,000 | $36,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,287 | $36,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 3,095 | $36,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 451 | $36,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 1,350 | $36,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 912 | $36,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 2,215 | $36,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 4,193 | $36,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 2,832 | $36,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 3,620 | $36,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 10,940 | $36,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 2,900 | $36,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 1,546 | $36,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,466 | $36,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,661 | $36,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 3,933 | $35,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 792 | $35,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 2,714 | $35,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 1,404 | $35,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 574 | $35,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,800 | $35,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 1,237 | $35,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 1,750 | $35,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 5,303 | $35,000 | thousands by filing date | |
| MOLYCORP INC $0.055 PFD | 608753208 | PREFERRED | 1,700 | $35,000 | thousands by filing date | principal |
| FORMFACTOR INC COM | 346375108 | Stock | 4,979 | $34,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 2,769 | $34,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 2,447 | $34,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 1,516 | $34,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 2,660 | $34,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 1,431 | $34,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 2,775 | $34,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 8,527 | $34,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 1,049 | $34,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 13,052 | $34,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 51,050 | $34,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 4,585 | $34,000 | thousands by filing date | |
| ISHARES TR | 464288232 | S&P NUCIDX ETF | 1,021 | $34,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 5,300 | $34,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 422 | $33,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 1,349 | $33,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 2,547 | $33,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $33,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 5,200 | $33,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 2,000 | $33,000 | thousands by filing date | |
| FLEETMATICS GROUP PLC | G35569105 | COM | 866 | $33,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H104 | COM | 3,578 | $33,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 1,922 | $33,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 16,580 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 1,000 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 764 | $33,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 450 | $33,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 16,643 | $33,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 1,855 | $32,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 866 | $32,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 1,504 | $32,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 750 | $32,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 4,097 | $32,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 694 | $32,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,139 | $32,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-13-042767 | this filing | 2013-11-14 | acceptance time not in the bulk data set |