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 |
|---|---|---|---|---|---|---|
| E2OPEN INC | 29788A104 | COM | 367 | $8,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 189 | $8,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 424 | $8,000 | thousands by filing date | |
| MINDSPEED TECHNOLOGIES INC | 602682205 | COM NEW | 2,660 | $8,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 700 | $8,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 2,000 | $8,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 799 | $8,000 | thousands by filing date | |
| RUE21 INC | 781295100 | COM | 190 | $8,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 358 | $8,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 6,000 | $8,000 | thousands by filing date | principal |
| OI S.A. | 670851104 | SPONSORED ADR | 3,894 | $8,000 | thousands by filing date | |
| CHELSEA THERAPEUTICS INTL LT | 163428105 | COM | 2,627 | $8,000 | thousands by filing date | |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 255 | $8,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 894 | $8,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 245 | $8,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 3,500 | $8,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 10,400 | $8,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 724 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 359 | $8,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 1,400 | $8,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 5,326 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 499 | $8,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 438 | $7,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 187 | $7,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 125 | $7,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 430 | $7,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 162 | $7,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 360 | $7,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 160 | $7,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 1,079 | $7,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 290 | $7,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 151 | $7,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 277 | $7,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,063 | $7,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 508 | $7,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 300 | $7,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 1,500 | $7,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 2,313 | $7,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 211 | $7,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 12,026 | $7,000 | thousands by filing date | |
| SIMS LTD SPON ADR EA | 829160100 | Common Stock | 820 | $7,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 4,069 | $7,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 1,270 | $7,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 1,850 | $7,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 2,000 | $7,000 | thousands by filing date | |
| COLEMAN CABLE INC | 193459302 | COM | 353 | $7,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,845 | $7,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 639 | $7,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC | 795435106 | COM | 100 | $7,000 | thousands by filing date | call |
| PMFG INC | 69345P103 | COM | 944 | $7,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 513 | $7,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 243 | $7,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 639 | $7,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS 3.000/15/24 | 018804AK0 | NOTE | 5,000 | $7,000 | thousands by filing date | principal |
| PLX TECHNOLOGY INC | 693417107 | COM | 1,137 | $7,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 502 | $7,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 375 | $7,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 331 | $7,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 269 | $7,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 133 | $7,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,000 | $7,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $7,000 | thousands by filing date | principal |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 500 | $7,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 68 | $7,000 | thousands by filing date | |
| QUATERRA RES INC | 747952109 | COM | 47,800 | $7,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 2,000 | $7,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 165 | $7,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 5,600 | $7,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 2,129 | $7,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 193 | $6,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 97 | $6,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 526 | $6,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 400 | $6,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 130 | $6,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 1,111 | $6,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 345 | $6,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 335 | $6,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 898 | $6,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 2,000 | $6,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 80 | $6,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 269 | $6,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 883 | $6,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 1,500 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 150 | $6,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 500 | $6,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 1,185 | $6,000 | thousands by filing date | |
| ZEP INC | 98944B108 | COMMON STOCK | 390 | $6,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 500 | $6,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 219 | $6,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $6,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 3,214 | $6,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 100 | $6,000 | thousands by filing date | call |
| TRULIA INC | 897888103 | COM | 133 | $6,000 | thousands by filing date | |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 1,000 | $6,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AQ6 | NOTE 1.500% 8/0 | 3,000 | $6,000 | thousands by filing date | principal |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 396 | $6,000 | thousands by filing date | |
| ROCHESTER MED CORP | 771497104 | COM | 299 | $6,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 250 | $6,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 503 | $6,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 1,127 | $6,000 | thousands by filing date | |
| GLOBECOMM SYSTEMS INC | 37956X103 | COM | 400 | $6,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 6,214 | $6,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23338T101 | COM | 467 | $6,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 4,741 | $6,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 500 | $6,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 359 | $6,000 | thousands by filing date | |
| UNITED FINANCIAL BANCORP INC | 91030T109 | COM | 393 | $6,000 | thousands by filing date | |
| AMREIT INC | 03216B208 | CL B | 333 | $6,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 667 | $6,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 838 | $6,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 230 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 100 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 150 | $6,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 2,930 | $6,000 | thousands by filing date | |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 50 | $6,000 | thousands by filing date | |
| MEDIABISTRO INC | 58448U101 | COM | 4,285 | $6,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R809 | 15YR US TRS FD | 58 | $6,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 85 | $5,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 3,664 | $5,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 53 | $5,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 782 | $5,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 100 | $5,000 | thousands by filing date | call |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 373 | $5,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 179 | $5,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 73 | $5,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 100 | $5,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 529 | $5,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 131 | $5,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 210 | $5,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 150 | $5,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 297 | $5,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 375 | $5,000 | thousands by filing date | |
| COURIER CORP | 222660102 | COMMON STOCK | 297 | $5,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 2,521 | $5,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 622 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 1,695 | $5,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 193 | $5,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 658 | $5,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 100 | $5,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAB6 | DBCV 2.750% 8/1 | 4,000 | $5,000 | thousands by filing date | principal |
| CINCINNATI BELL INC NEW | 171871106 | COM | 1,685 | $5,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,000 | $5,000 | thousands by filing date | |
| PACER INTL INC TENN | 69373H106 | COM | 754 | $5,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 3,374 | $5,000 | thousands by filing date | |
| MOVE INC | 62458M207 | COM NEW | 250 | $5,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 100 | $5,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 170 | $5,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 370 | $5,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 307 | $5,000 | thousands by filing date | |
| MEDASSETS INC | 584045108 | COM | 199 | $5,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 81 | $5,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 438 | $5,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 1,718 | $5,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 1,481 | $5,000 | thousands by filing date | |
| SUPERTEX INC | 868532102 | COM | 209 | $5,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 63 | $5,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 403 | $5,000 | thousands by filing date | |
| ANACOR PHARMACEUTICALS INC | 032420101 | COM | 486 | $5,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| S.Y. BANCORP INC | 785060104 | COM | 182 | $5,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 380 | $5,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 3,000 | $5,000 | thousands by filing date | principal |
| Lihua International Inc. | 532352101 | COM | 1,000 | $5,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K105 | CL A SHS | 2,125 | $5,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 300 | $5,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,127 | $4,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 100 | $4,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 556 | $4,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 357 | $4,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 230 | $4,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 261 | $4,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 531 | $4,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 60 | $4,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 400 | $4,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 192 | $4,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 186 | $4,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 104 | $4,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 234 | $4,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 113 | $4,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 186 | $4,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 282 | $4,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 133 | $4,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 125 | $4,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 221 | $4,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 122 | $4,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 224 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 259 | $4,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 325 | $4,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 364 | $4,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 245 | $4,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 3 | $4,000 | thousands by filing date | principal |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 666 | $4,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 400 | $4,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 1,190 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739H263 | FUND | 88 | $4,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 159 | $4,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 888 | $4,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 4,000 | $4,000 | thousands by filing date | principal |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 938 | $4,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 268 | $4,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 221 | $4,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 1,000 | $4,000 | thousands by filing date | put |
| DSP GROUP INC | 23332B106 | COM | 521 | $4,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 400 | $4,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR REIT | 427825104 | SH BEN INT A | 750 | $4,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 533 | $4,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 713 | $4,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 1,361 | $4,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD III | 09255M104 | COM | 524 | $4,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 1,040 | $4,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 1,216 | $4,000 | thousands by filing date | |
| GASTAR EXPL LTD | 367299203 | COM NEW | 942 | $4,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 1,340 | $4,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 1,260 | $4,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 422 | $4,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 459 | $4,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 426 | $4,000 | thousands by filing date | |
| EVERYWARE GLOBAL INC | 300439106 | COM | 343 | $4,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 400 | $4,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 318 | $4,000 | thousands by filing date | |
| HICKORYTECH CORP | 429060106 | COM | 308 | $4,000 | thousands by filing date | |
| FIRST CAPITAL BANCORP VA | 319438107 | COM | 1,000 | $4,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 1,000 | $4,000 | thousands by filing date | principal |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 440 | $4,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 870 | $4,000 | thousands by filing date | |
| LIPOSCIENCE INC | 53630M108 | COM | 800 | $4,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 445 | $4,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 330 | $4,000 | thousands by filing date | |
| AETRIUM INC | 00817R103 | COM | 10,000 | $4,000 | thousands by filing date | |
| NOAH ED HLDGS LTD | 65487R303 | ADR | 2,000 | $4,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 296 | $4,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 187 | $4,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 170 | $4,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 300 | $4,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 300 | $4,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 200 | $4,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 358 | $3,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 1,666 | $3,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 150 | $3,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 1,082 | $3,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 50 | $3,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 275 | $3,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 127 | $3,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 176 | $3,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 89 | $3,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 103 | $3,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 189 | $3,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 409 | $3,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 132 | $3,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 600 | $3,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 215 | $3,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 192 | $3,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 532 | $3,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 367 | $3,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 176 | $3,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 172 | $3,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 733 | $3,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 100 | $3,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 180 | $3,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 81 | $3,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 212 | $3,000 | thousands by filing date | |
| ASM INTERNATIONAL NV | N07045102 | Common Stock | 93 | $3,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 134 | $3,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 133 | $3,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 504 | $3,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 231 | $3,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 133 | $3,000 | thousands by filing date | |
| RECEPTOS, INC. | 756207106 | COMMON STOCK | 97 | $3,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 3,400 | $3,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 315 | $3,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 633 | $3,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 72 | $3,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 700 | $3,000 | thousands by filing date | put |
| Transition Therapeutics, Inc. | 893716209 | COM | 622 | $3,000 | thousands by filing date | |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 102 | $3,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 848 | $3,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 186 | $3,000 | thousands by filing date | |
| CASH STORE FINL SVCS INC | 14756F103 | COM | 1,750 | $3,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 270 | $3,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 791 | $3,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 275 | $3,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 239 | $3,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 184 | $3,000 | thousands by filing date | |
| VOCUS INC | 92858J108 | COM | 354 | $3,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 200 | $3,000 | thousands by filing date | |
| HFF INC | 40418F108 | CL A | 111 | $3,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 478 | $3,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 49 | $3,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 500 | $3,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 450 | $3,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 461 | $3,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 1,127 | $3,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 1,163 | $3,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 2,084 | $3,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 415 | $3,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 350 | $3,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 1,538 | $3,000 | thousands by filing date | |
| BLACKROCK CORPOR HIGH YLD FD | 09255L106 | COM | 477 | $3,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 390 | $3,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 1,000 | $3,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 6,016 | $3,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 1,000 | $3,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 500 | $3,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 300 | $3,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 126 | $3,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 3,010 | $3,000 | thousands by filing date | |
| ARABIAN AMERICAN DEVELOPMENT | 038465100 | COM | 367 | $3,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 127 | $3,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 543 | $3,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 843 | $3,000 | thousands by filing date | |
| NATIONAL TECHNICAL SYSTEM IN | 638104109 | COM | 148 | $3,000 | thousands by filing date | |
| NUPATHE INC | 67059M100 | COM | 1,300 | $3,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 482 | $3,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 324 | $3,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 507 | $3,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 72 | $3,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 1,712 | $3,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 187 | $3,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 300 | $3,000 | thousands by filing date | |
| PROMOTORA DE INFORMACIONES-A | 74343G204 | CMN | 2,000 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 47 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 100 | $3,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 2,000 | $3,000 | thousands by filing date | principal |
| HAMPDEN BANCORP INC | 40867E107 | COM | 206 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 82 | $3,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| DORAL FINL CORP COM | 25811P852 | COM | 152 | $3,000 | thousands by filing date | |
| ATLATSA RES CORP | 049477102 | COM | 7,500 | $3,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 200 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 55 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 51 | $3,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641828 | LIVESTK ETN 38 | 150 | $3,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 642 | $3,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 180 | $3,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 200 | $3,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 200 | $2,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 320 | $2,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 5,000 | $2,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 167 | $2,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 152 | $2,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 137 | $2,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 60 | $2,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 121 | $2,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 75 | $2,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 170 | $2,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 213 | $2,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,000 | $2,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 131 | $2,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 98 | $2,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 292 | $2,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 117 | $2,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 81 | $2,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 200 | $2,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 80 | $2,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 1,106 | $2,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 402 | $2,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 199 | $2,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 126 | $2,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 269 | $2,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 500 | $2,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 49 | $2,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 110 | $2,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 1,000 | $2,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 99 | $2,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 900 | $2,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 102 | $2,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 46 | $2,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 266 | $2,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 326 | $2,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 300 | $2,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 2,000 | $2,000 | thousands by filing date | principal |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 148 | $2,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 1,012 | $2,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 650 | $2,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| VOLCANO CORPORATION | 928645100 | COM | 100 | $2,000 | thousands by filing date | call |
| INTERMOLECULAR INC | 45882D109 | COM | 303 | $2,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 1,000 | $2,000 | thousands by filing date | principal |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 55 | $2,000 | thousands by filing date | |
| CRIMSON EXPLORATION INC | 22662K207 | COM NEW | 515 | $2,000 | thousands by filing date | |
| PERICOM SEMICONDUCTOR CORP | 713831105 | COM | 278 | $2,000 | thousands by filing date | |
| TAYLOR CAPITAL GROUP INC | 876851106 | COM | 98 | $2,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 1,989 | $2,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 2,000 | $2,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 144 | $2,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 418 | $2,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 16 | $2,000 | thousands by filing date | principal |
| WHITEWAVE FOODS CO | 966244204 | COM CL B | 119 | $2,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 265 | $2,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 212 | $2,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 200 | $2,000 | thousands by filing date | call |
| CELSION CORPORATION | 15117N305 | COM NEW | 1,486 | $2,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 506 | $2,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 2,000 | $2,000 | thousands by filing date | |
| LOCAL CORP | 53954W104 | COM | 1,000 | $2,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 294 | $2,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 126 | $2,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 267 | $2,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 808 | $2,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 70 | $2,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 110 | $2,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 279 | $2,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 147 | $2,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 81 | $2,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 563 | $2,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 45 | $2,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 140 | $2,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 167 | $2,000 | thousands by filing date | |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 200 | $2,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 810 | $2,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 392 | $2,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 215 | $2,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 196 | $2,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 2,500 | $2,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIO | 205826AF7 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 995 | $2,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 131 | $2,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 308 | $2,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 192 | $2,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 90 | $2,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 9,000 | $2,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 1,000 | $2,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 102 | $2,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 800 | $2,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 761 | $2,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 666 | $2,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 482 | $2,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 200 | $2,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 200 | $2,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 47 | $1,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 100 | $1,000 | thousands by filing date | put |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 100 | $1,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 17 | $1,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 203 | $1,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 400 | $1,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 26 | $1,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 61 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 750 | $1,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 552 | $1,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 42 | $1,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 36 | $1,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 47 | $1,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 100 | $1,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 222 | $1,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 60 | $1,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 64 | $1,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 200 | $1,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 80 | $1,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 100 | $1,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 90 | $1,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 75 | $1,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 235 | $1,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 300 | $1,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 164 | $1,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 100 | $1,000 | thousands by filing date | put |
| PDL BIOPHARMA INC | 69329Y104 | COM | 100 | $1,000 | thousands by filing date | call |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 38 | $1,000 | thousands by filing date | |
| EVERBANK FINANCIAL CORPORATION | 29977G102 | COMMON STOCK | 59 | $1,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 57 | $1,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 238 | $1,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 62 | $1,000 | thousands by filing date | |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 2,000 | $1,000 | thousands by filing date | principal |
| MAGNETEK INC | 559424403 | COMMON STOCK | 64 | $1,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 700 | $1,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 217 | $1,000 | thousands by filing date | |
| SEACOAST BKG CORP FL | 811707306 | COMMON STOCK | 581 | $1,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 1,000 | $1,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 160 | $1,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 413 | $1,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 73 | $1,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 138 | $1,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 225 | $1,000 | thousands by filing date | |
| AMSURG CORP | 03232P405 | COM | 15 | $1,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 136 | $1,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 16 | $1,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 1 | $1,000 | thousands by filing date | |
| HORIZON PHARMA INC | 44047T109 | COM | 277 | $1,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 35 | $1,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 1,192 | $1,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 554 | $1,000 | thousands by filing date | |
| JTH HLDG INC | 46637N103 | CL A | 78 | $1,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 109 | $1,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 300 | $1,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 38 | $1,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017117 | UNIT 99/99/9999 | 14 | $1,000 | thousands by filing date | principal |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 595 | $1,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 1,932 | $1,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 1,017 | $1,000 | thousands by filing date | |
| DOUBLE EAGLE PETE CO | 258570209 | COM PAR $0.10 | 250 | $1,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 200 | $1,000 | 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 |