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 |
|---|---|---|---|---|---|---|
| WEST CORP | 952355204 | COM | 1,429 | $32,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 5,274 | $32,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 541 | $32,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 2,220 | $32,000 | thousands by filing date | |
| PROSHARES ULTRA SILVER | 74347W841 | COM | 1,600 | $32,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 2,345 | $32,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,500 | $32,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 8,334 | $32,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,535 | $32,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,569 | $31,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 4,156 | $31,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 13,119 | $31,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 600 | $31,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AN3 | NOTE | 11,000 | $31,000 | thousands by filing date | principal |
| STEWART ENTERPRISES INC | 860370AH8 | NOTE 3.125% 7/1 | 25,000 | $31,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 1,180 | $31,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AA0 | NOTE 4.000% 2/1 | 28,000 | $31,000 | thousands by filing date | principal |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 200 | $31,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 1,000 | $31,000 | thousands by filing date | |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 1,026 | $31,000 | thousands by filing date | |
| NRG YIELD INC | 62942X108 | CL C | 1,040 | $31,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,534 | $30,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 538 | $30,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 498 | $30,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,100 | $30,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 7,440 | $30,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 115 | $30,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729NBR0 | NOTE 6.500%10/0 | 20,000 | $30,000 | thousands by filing date | principal |
| QUANTUM CORP | 747906204 | COM DSSG | 22,170 | $30,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 1,935 | $30,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 8,653 | $30,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 2,892 | $30,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 10,064 | $30,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 1,667 | $30,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 1,801 | $29,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 1,480 | $29,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 418 | $29,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 4,045 | $29,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,827 | $29,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 2,835 | $29,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,435 | $29,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 799 | $29,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 13,000 | $29,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 8,021 | $29,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 33,346 | $29,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 3,600 | $29,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 1,800 | $29,000 | thousands by filing date | |
| EASTERN INSURANCE HOLDINGS | 276534104 | COM | 1,186 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 1,904 | $29,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 1,111 | $28,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 278 | $28,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 1,750 | $28,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 936 | $28,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $28,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 1,451 | $28,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,000 | $28,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,150 | $28,000 | thousands by filing date | |
| ICG GROUP INC | 44928D108 | COM | 2,007 | $28,000 | thousands by filing date | |
| SYNAGEVA BIOPHARMA CORP | 87159A103 | COM | 435 | $28,000 | thousands by filing date | |
| OM GROUP INC | 670872100 | COM | 810 | $28,000 | thousands by filing date | |
| PAA NAT GAS STORAGE L P | 693139107 | COM UNIT LTD | 1,200 | $28,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 2,300 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 1,005 | $28,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 2,300 | $28,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 300 | $27,000 | thousands by filing date | call |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,400 | $27,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 9,570 | $27,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 300 | $27,000 | thousands by filing date | call |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,788 | $27,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 4,567 | $27,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 2,331 | $27,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 12,000 | $27,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 3,639 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 550 | $27,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 15,300 | $27,000 | thousands by filing date | |
| NUVEEN CALIFORNIA | 6706L0102 | COM | 2,000 | $27,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 650 | $26,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 6,056 | $26,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 7,885 | $26,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $26,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 271 | $26,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 708 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,000 | $26,000 | thousands by filing date | |
| ASIAINFO-LINKAGE INC | 04518A104 | COM | 2,271 | $26,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 266 | $26,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 5,410 | $26,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 2,397 | $25,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 1,259 | $25,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 600 | $25,000 | thousands by filing date | call |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 1,205 | $25,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,900 | $25,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,450 | $25,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 733 | $25,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 1,669 | $25,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,510 | $25,000 | thousands by filing date | |
| DEMANDWARE INC | 24802Y105 | COM | 536 | $25,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 1,068 | $25,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 783 | $25,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 25,300 | $25,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 441 | $24,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 507 | $24,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 3,000 | $24,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 800 | $24,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,900 | $24,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 3,829 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 463 | $24,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 3,000 | $24,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 1,925 | $24,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 1,400 | $24,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 3,453 | $24,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 874 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 730 | $24,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 2,325 | $24,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 1,900 | $24,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 1,235 | $24,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 1,152 | $23,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 686 | $23,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 617 | $23,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 1,252 | $23,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 1,232 | $23,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 4,000 | $23,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 2,539 | $23,000 | thousands by filing date | |
| CLAUDE RES INC | 182873109 | COM | 99,980 | $23,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,238 | $23,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,340 | $23,000 | thousands by filing date | |
| ISHARES TR | 464289594 | CMN | 435 | $23,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 2,000 | $22,000 | thousands by filing date | call |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 47,656 | $22,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 984 | $22,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,709 | $22,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 908 | $22,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 561 | $22,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 6,395 | $22,000 | thousands by filing date | |
| Concur Technologies, Inc. | 206708109 | COM | 200 | $22,000 | thousands by filing date | put |
| COUNTERPATH CORP | 22228P203 | COM NEW | 14,800 | $22,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 950 | $22,000 | thousands by filing date | |
| BELO CORP | 080555105 | COM SER A | 1,631 | $22,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CN8 | NOTE 4.250%11/1 | 11,000 | $22,000 | thousands by filing date | principal |
| RUBICON MINERALS CORP | 780911103 | COM | 17,400 | $22,000 | thousands by filing date | call |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 427 | $22,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,842 | $22,000 | thousands by filing date | |
| BLACKROCK STRTGC BOND TR | 09249G106 | COM | 1,675 | $22,000 | thousands by filing date | |
| ZYGO CORP | 989855101 | COM | 1,408 | $22,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 326 | $22,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 2,000 | $22,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 1,000 | $22,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 1,102 | $22,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L852 | COM | 729 | $22,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,549 | $21,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 1,570 | $21,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 251 | $21,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 1,259 | $21,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 842 | $21,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,000 | $21,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 954 | $21,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,548 | $21,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 705 | $21,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 758 | $21,000 | thousands by filing date | |
| LAKES GAMING INC COM | 51206P109 | COM | 5,000 | $21,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 23,323 | $21,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 3,000 | $21,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 1,280 | $21,000 | thousands by filing date | |
| FLOW INTL CORP | 343468104 | COM | 5,241 | $21,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,000 | $21,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 3,956 | $21,000 | thousands by filing date | |
| CHINDEX INTERNATIONAL INC | 169467107 | COM | 1,232 | $21,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 625 | $21,000 | thousands by filing date | |
| JAPAN EQUITY FD INC | 471057109 | COM | 3,093 | $21,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,333 | $21,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 2,200 | $21,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461464 | EGSHS EMKTSCOR | 1,012 | $21,000 | thousands by filing date | |
| SUNTECH PWR HLDGS CO LTD | 86800C104 | ADR | 12,294 | $21,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 1,500 | $21,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 2,852 | $20,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 800 | $20,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,306 | $20,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 442 | $20,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,206 | $20,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 1,148 | $20,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 674 | $20,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 4,194 | $20,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,000 | $20,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 7,200 | $20,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 3,101 | $20,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 8,700 | $20,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,500 | $20,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 9,715 | $20,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 206 | $20,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,256 | $20,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 1,000 | $20,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 4,000 | $20,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 9,000 | $20,000 | thousands by filing date | principal |
| GAS NAT INC | 367204104 | COM | 2,004 | $20,000 | thousands by filing date | |
| NUVEEN MA DIV AD MUNI FD | 67069P101 | cs | 1,500 | $20,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,000 | $20,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R304 | FALLN ANGL USD | 770 | $20,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,306 | $19,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 710 | $19,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 2,313 | $19,000 | thousands by filing date | |
| HEALTHCARE TRUST OF AMERICA | 42225P105 | COMMON STOCK | 1,791 | $19,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 3,025 | $19,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 1,800 | $19,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 622 | $19,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 9,000 | $19,000 | thousands by filing date | principal |
| FRESH MKT INC | 35804H106 | COM | 410 | $19,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 24,000 | $19,000 | thousands by filing date | |
| GYRODYNE CO AMER INC | 403820103 | COM | 250 | $19,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 300 | $19,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 510 | $19,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 550 | $19,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 2,850 | $18,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 300 | $18,000 | thousands by filing date | put |
| KAMADA LTD | M6240T109 | SHS | 1,200 | $18,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,542 | $18,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,500 | $18,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,000 | $18,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 13,642 | $18,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 12,974 | $18,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 694 | $18,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 3,118 | $18,000 | thousands by filing date | |
| ACTIVE NETWORK INC | 00506D100 | COM | 1,254 | $18,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 4,161 | $18,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 2,047 | $18,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,501 | $18,000 | thousands by filing date | |
| ALLIANZGI INTL & PREM STRATE | 01882X108 | COM | 1,657 | $18,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,366 | $18,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 538 | $18,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 3,291 | $18,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 1,200 | $18,000 | thousands by filing date | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,000 | $18,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 640 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 499 | $17,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 1,200 | $17,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 200 | $17,000 | thousands by filing date | call |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 6,502 | $17,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,056 | $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 | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 2,531 | $17,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 8,486 | $17,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 430 | $17,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 4,353 | $17,000 | thousands by filing date | |
| VELTI PLC ST HELIER | G93285107 | SHS | 48,238 | $17,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 1,358 | $17,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 2,005 | $17,000 | thousands by filing date | |
| BURGER KING WORLDWIDE INC | 121220107 | COM | 880 | $17,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,280 | $17,000 | thousands by filing date | |
| TAMINCO CORP | 87509U106 | COM | 813 | $17,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 1,081 | $17,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 950 | $17,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 4,000 | $17,000 | thousands by filing date | |
| AMBOW ED HLDG LTD | 02322P101 | ADR REPSTG CL A | 18,000 | $17,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 1,210 | $17,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,400 | $17,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 1,200 | $16,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,890 | $16,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,000 | $16,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,654 | $16,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,170 | $16,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 400 | $16,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 660 | $16,000 | thousands by filing date | |
| DOLE PLC ORD SHS | 256603101 | COM | 1,170 | $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 | |
| SIERRA WIRELESS INC | 826516106 | COM | 1,000 | $16,000 | thousands by filing date | put |
| ASTEX PHARMACEUTICALS INC | 04624B103 | COM | 1,894 | $16,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS INC | 05334DAA5 | NOTE 1.500% 7/1 | 15,000 | $16,000 | thousands by filing date | principal |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 500 | $16,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 1,000 | $16,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 413 | $16,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,531 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347X120 | ULT MSCIBZL CAPP | 300 | $16,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 1,500 | $15,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 2,139 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 366 | $15,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 375 | $15,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 867 | $15,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 192 | $15,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 921 | $15,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 1,511 | $15,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 3,825 | $15,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 1,400 | $15,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 180 | $15,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 473 | $15,000 | thousands by filing date | |
| HARBINGER GROUP INC | 41146A106 | COM | 1,430 | $15,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 1,350 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 800 | $15,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 186 | $15,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 6,391 | $15,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P150 | CHINA TRNDP ETF | 550 | $15,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 210 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 874 | $15,000 | thousands by filing date | |
| ISHARES TR | 464289198 | MSCI EMG MATS | 884 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 1,053 | $15,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 818 | $14,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 129 | $14,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 1,000 | $14,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 1,487 | $14,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 2,244 | $14,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 605 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 725 | $14,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 428 | $14,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 1,000 | $14,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550309 | CORPORATE OBLIG | 212 | $14,000 | thousands by filing date | principal |
| ENGILITY HLDGS INC | 29285W104 | COM | 423 | $14,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 1,000 | $14,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 7,000 | $14,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 950 | $14,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 2,018 | $14,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 1,205 | $14,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 142 | $13,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 1,258 | $13,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 910 | $13,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 1,917 | $13,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 1,330 | $13,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 761 | $13,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 1,000 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 300 | $13,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,425 | $13,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 338 | $13,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 1,000 | $13,000 | thousands by filing date | |
| AEROFLEX HOLDING CORP | 007767106 | COMMON STOCK | 1,871 | $13,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 644 | $13,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 4,369 | $13,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 40,090 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 500 | $13,000 | thousands by filing date | |
| CNH GLOBAL N V | N20935206 | SHS NEW | 1,055 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 1,000 | $13,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 1,057 | $13,000 | thousands by filing date | |
| MICHAEL BAKER CORP | 057149106 | COM | 327 | $13,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 175 | $13,000 | thousands by filing date | |
| UBS AG JERSEY BRANCH | 902664200 | 2XMN ALR MLP INF | 250 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 453 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 700 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 450 | $13,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 287 | $13,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 352 | $12,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 2,525 | $12,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 796 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 200 | $12,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 500 | $12,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 881 | $12,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 596 | $12,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 8,300 | $12,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 111 | $12,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 563 | $12,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 497 | $12,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 2,000 | $12,000 | thousands by filing date | call |
| POZEN INC | 73941U102 | COMMON STOCK | 2,140 | $12,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 865 | $12,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 1,311 | $12,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 750 | $12,000 | thousands by filing date | |
| VIRGINIA COMM BANCORP INC | 92778Q109 | COM | 765 | $12,000 | thousands by filing date | |
| GREENWAY MED TECHNOLOGIES IN | 39679B103 | COM | 605 | $12,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,474 | $12,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 1,100 | $12,000 | thousands by filing date | |
| GIVEN IMAGING LTD | M52020100 | ORD | 650 | $12,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 574 | $12,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 580 | $12,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 209 | $12,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 903 | $12,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 10,000 | $12,000 | thousands by filing date | principal |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 132 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288547 | RETAIL CAP IDX | 353 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 447 | $12,000 | thousands by filing date | |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 615 | $12,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526401 | COM NEW ADDED | 1,937 | $12,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 2,211 | $11,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 200 | $11,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 2,000 | $11,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,122 | $11,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 671 | $11,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 1,374 | $11,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,535 | $11,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 500 | $11,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 5,366 | $11,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 300 | $11,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 11,000 | $11,000 | thousands by filing date | principal |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 1,000 | $11,000 | thousands by filing date | put |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 5,000 | $11,000 | thousands by filing date | |
| SUSSER HOLDINGS CORP | 869233106 | COMMON STOCK | 200 | $11,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 521 | $11,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,716 | $11,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 396 | $11,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 5,000 | $11,000 | thousands by filing date | principal |
| EXETER RES CORP | 301835104 | COM | 14,500 | $11,000 | thousands by filing date | |
| STANDARD PARKING CORP | 853790103 | COM | 426 | $11,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 400 | $11,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 1,221 | $11,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 1,265 | $11,000 | thousands by filing date | |
| ZOLTEK COS INC | 98975W104 | COM | 685 | $11,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 547 | $11,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 303 | $11,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $11,000 | thousands by filing date | principal |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 576 | $11,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 244 | $11,000 | thousands by filing date | |
| TRAVELZOO INC | 89421Q106 | COM | 427 | $11,000 | thousands by filing date | |
| POWERSHARES MENA | 73936Q603 | MENA FRNTR ETF | 1,000 | $11,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 300 | $11,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 13,300 | $11,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 300 | $11,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 200 | $10,000 | thousands by filing date | put |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 100 | $10,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 636 | $10,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 100 | $10,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 300 | $10,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 200 | $10,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 5,000 | $10,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 2,300 | $10,000 | thousands by filing date | call |
| ALBANY INTL CORP | 012348108 | CL A | 272 | $10,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 160 | $10,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 581 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 200 | $10,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 164 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 703 | $10,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 129 | $10,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 630 | $10,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 2,000 | $10,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 329 | $10,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,308 | $10,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 699 | $10,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 557 | $10,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 1,045 | $10,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 1,023 | $10,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 1,750 | $10,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 2,144 | $10,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 816 | $10,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 628 | $10,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| DYAX CORP | 26746E103 | COM | 1,509 | $10,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 2,794 | $10,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 5,740 | $10,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 2,800 | $10,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 7,500 | $10,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 2,144 | $10,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 567 | $10,000 | thousands by filing date | |
| ROMA FINANCIAL CORP | 77581P109 | COM | 527 | $10,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 484 | $10,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 305 | $10,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 2,000 | $10,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 500 | $10,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 5,078 | $10,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 3,000 | $10,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,000 | $10,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 736 | $10,000 | thousands by filing date | |
| ISHARES TR | 46429B374 | ALCO ASIA INFO | 364 | $10,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 92 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U381 | GERMANY SM CAP | 360 | $10,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 100 | $10,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 200 | $10,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 215 | $9,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 200 | $9,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $9,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 93 | $9,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 171 | $9,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 320 | $9,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 3,300 | $9,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 1,344 | $9,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 382 | $9,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 421 | $9,000 | thousands by filing date | |
| STELLARONE CORP | 85856G100 | COMMON STOCK | 385 | $9,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 3,030 | $9,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 3,989 | $9,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 250 | $9,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 2,581 | $9,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 243 | $9,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 1,500 | $9,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 3,953 | $9,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 1,546 | $9,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 429 | $9,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 244 | $9,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 536 | $9,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 331 | $9,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 2,926 | $9,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 400 | $9,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 341 | $9,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 641 | $9,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 800 | $9,000 | thousands by filing date | |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 10,721 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 500 | $9,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 10,000 | $9,000 | thousands by filing date | principal |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 360 | $9,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 300 | $8,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 100 | $8,000 | thousands by filing date | call |
| MESA LABS INC COM | 59064R109 | Stock | 123 | $8,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 100 | $8,000 | thousands by filing date | put |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 85 | $8,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,177 | $8,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 200 | $8,000 | thousands by filing date | call |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 600 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 600 | $8,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 418 | $8,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 142 | $8,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 403 | $8,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 185 | $8,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 744 | $8,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 337 | $8,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS I | 45773H102 | COM | 3,822 | $8,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 400 | $8,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 1,900 | $8,000 | 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 |