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 |
|---|---|---|---|---|---|---|
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 220,899 | $12,699,000 | thousands by filing date | |
| LENDER PROCESSING SVCS INC | 52602E102 | COM | 380,369 | $12,654,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 418,099 | $12,642,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 414,751 | $12,624,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 612,838 | $12,624,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 90,826 | $12,616,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 1,111,493 | $12,615,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 729,455 | $12,613,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 648,410 | $12,598,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 457,078 | $12,574,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 1,580,700 | $12,559,000 | thousands by filing date | put |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 202,709 | $12,525,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 1,418,700 | $12,492,000 | thousands by filing date | call |
| Southern Company | 842587107 | COM | 303,300 | $12,490,000 | thousands by filing date | call |
| DRESSER-RAND GROUP INC | 261608103 | COM | 200,040 | $12,483,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 453,301 | $12,465,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 160,000 | $12,464,000 | thousands by filing date | call |
| CMS ENERGY CORP COM | 125896100 | Stock | 473,331 | $12,458,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 2,463,000 | $12,439,000 | thousands by filing date | call |
| AGL RES INC | 001204106 | COM | 270,230 | $12,438,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 111,007 | $12,424,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 140,000 | $12,370,000 | thousands by filing date | put |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 331,695 | $12,342,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 1,492,916 | $12,332,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 200,290 | $12,318,000 | thousands by filing date | |
| SALIX PHARMACEUTICAL 1.500 | 795435AE6 | NOTE 1.500% 3/ | 9,990,000 | $12,257,000 | thousands by filing date | principal |
| LINKEDIN CORP | 53578A108 | COM | 49,630 | $12,212,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 204,435 | $12,206,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 11,200,000 | $12,187,000 | thousands by filing date | principal |
| TETRA TECH INC NEW | 88162G103 | COM | 470,481 | $12,180,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 726,755 | $12,151,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 242,212 | $12,141,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 227,509 | $12,081,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 142,670 | $12,071,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 609,000 | $12,064,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,058,936 | $12,061,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 355,203 | $12,056,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 195,000 | $12,051,000 | thousands by filing date | call |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 420,544 | $12,045,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 110,109 | $12,043,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 588,700 | $12,033,000 | thousands by filing date | call |
| Vistaprint NV Cimpress | N93540107 | CMPR | 211,300 | $11,958,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 250,800 | $11,941,000 | thousands by filing date | call |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 145,222 | $11,930,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 701,295 | $11,893,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 202,335 | $11,822,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 307,740 | $11,779,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 206,872 | $11,771,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 116,406 | $11,763,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 126,003 | $11,760,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 95,578 | $11,759,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 141,800 | $11,756,000 | thousands by filing date | call |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 193,761 | $11,748,000 | thousands by filing date | |
| IHS INC | 451734107 | CL A | 102,869 | $11,746,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 277,659 | $11,744,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 266,596 | $11,723,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 11,500,000 | $11,723,000 | thousands by filing date | principal |
| SMUCKER J M CO | 832696405 | COM NEW | 111,432 | $11,704,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 377,580 | $11,671,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 156,993 | $11,659,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 252,493 | $11,630,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 154,337 | $11,574,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 363,742 | $11,567,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 305,469 | $11,523,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 509,972 | $11,514,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 107,635 | $11,508,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 487,500 | $11,500,000 | thousands by filing date | put |
| TERADATA CORP DEL | 88076W103 | COM | 207,035 | $11,479,000 | thousands by filing date | |
| MEADWESTVACO CORP | 583334107 | COM | 298,969 | $11,475,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 500,500 | $11,441,000 | thousands by filing date | call |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 255,182 | $11,438,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 959,400 | $11,436,000 | thousands by filing date | call |
| UNITED STATES STL CORP NEW | 912909108 | COM | 552,238 | $11,370,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 130,000 | $11,362,000 | thousands by filing date | call |
| PITNEY BOWES INC COM | 724479100 | Stock | 624,351 | $11,357,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 617,157 | $11,313,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 131,853 | $11,290,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 400,055 | $11,274,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 188,205 | $11,206,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 35,800 | $11,193,000 | thousands by filing date | call |
| CELGENE CORP | 151020104 | COM | 72,500 | $11,175,000 | thousands by filing date | call |
| HOLLYFRONTIER CORP | 436106108 | COM | 264,734 | $11,148,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 2,476,301 | $11,143,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 251,480 | $11,080,000 | thousands by filing date | |
| ALTERA CORP | 021441100 | COM | 297,135 | $11,042,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 999,128 | $11,016,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 195,021 | $10,981,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 841,936 | $10,979,000 | thousands by filing date | |
| MAKO SURGICAL CORP | 560879108 | COM | 372,009 | $10,978,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 359,362 | $10,973,000 | thousands by filing date | |
| NOBLE CORP | H5833N103 | COMMON STOCK-FO | 290,000 | $10,953,000 | thousands by filing date | call |
| XEROX CORP | 984121103 | COM | 1,062,115 | $10,929,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 796,261 | $10,885,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 100,000 | $10,881,000 | thousands by filing date | call |
| HUNTSMAN CORP | 447011107 | COM | 527,138 | $10,864,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 149,200 | $10,838,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 288,754 | $10,831,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 239,460 | $10,830,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 277,181 | $10,829,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 244,944 | $10,807,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 128,400 | $10,790,000 | thousands by filing date | call |
| HASBRO INC COM | 418056107 | Stock | 228,577 | $10,775,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 127,337 | $10,749,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 539,720 | $10,730,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 104,936 | $10,727,000 | thousands by filing date | |
| CONVERGYS CORP | 212485AE6 | SDCV | 6,000,000 | $10,721,000 | thousands by filing date | principal |
| CELANESE CORP DEL COM | 150870103 | Stock | 202,841 | $10,709,000 | thousands by filing date | |
| FLIR SYS INC | 302445101 | COM | 340,850 | $10,702,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 100,000 | $10,690,000 | thousands by filing date | put |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 160,699 | $10,678,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 508,400 | $10,671,000 | thousands by filing date | put |
| WPP PLC NEW ADR | 92937A102 | ADR | 103,645 | $10,669,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 136,282 | $10,646,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 206,065 | $10,607,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 1,172,371 | $10,600,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 708,824 | $10,540,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 190,431 | $10,531,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 174,482 | $10,525,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 328,500 | $10,502,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 164,361 | $10,458,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 314,000 | $10,415,000 | thousands by filing date | call |
| iShares Russell Midcap ETF | 464287499 | SHS | 74,782 | $10,401,000 | thousands by filing date | |
| THOMSON REUTERS CORP | 884903105 | COM | 297,000 | $10,398,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 200,533 | $10,389,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 135,045 | $10,383,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 331,900 | $10,382,000 | thousands by filing date | put |
| NUCOR CORP COM | 670346105 | Stock | 211,200 | $10,353,000 | thousands by filing date | call |
| SIRIUS XM RADIO INC | 82967N108 | COM | 2,671,007 | $10,351,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 216,763 | $10,329,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 225,201 | $10,328,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 191,023 | $10,271,000 | thousands by filing date | |
| TRW AUTOMOTIVE INC | 87264MAH2 | NOTE 3.500%12/0 | 4,202,000 | $10,258,000 | thousands by filing date | principal |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 409,200 | $10,246,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 132,730 | $10,236,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 92,865 | $10,212,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 155,300 | $10,202,000 | thousands by filing date | call |
| Timmins Gold Corp | 88741P103 | COM | 6,099,309 | $10,186,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 102,719 | $10,145,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 418,833 | $10,144,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 102,285 | $10,138,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 124,903 | $10,109,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 10,000,000 | $10,106,000 | thousands by filing date | principal |
| GANNETT INC | 364730101 | COM | 376,501 | $10,088,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 252,790 | $10,013,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 598,502 | $9,977,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 150,000 | $9,975,000 | thousands by filing date | put |
| Caterpillar Inc. | 149123101 | COM | 119,500 | $9,966,000 | thousands by filing date | call |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 198,862 | $9,957,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 290,888 | $9,924,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 9,089,000 | $9,868,000 | thousands by filing date | principal |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 438,200 | $9,838,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 138,847 | $9,750,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 76,710 | $9,747,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 142,797 | $9,729,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 325,969 | $9,715,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 642,942 | $9,714,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 199,555 | $9,707,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 849,831 | $9,705,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 9,050,700 | $9,684,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO | 039483AW2 | NOTE 0.875% 2/1 | 9,512,000 | $9,678,000 | thousands by filing date | principal |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 150,000 | $9,636,000 | thousands by filing date | put |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 721,190 | $9,629,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 213,400 | $9,628,000 | thousands by filing date | put |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 7,552,000 | $9,615,000 | thousands by filing date | principal |
| METLIFE INC COM | 59156R108 | Stock | 204,700 | $9,611,000 | thousands by filing date | call |
| B/E AEROSPACE INC | 073302101 | COM | 129,874 | $9,587,000 | thousands by filing date | |
| JABIL INC COM | 466313103 | Stock | 440,566 | $9,552,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 479,171 | $9,493,000 | thousands by filing date | |
| JARDEN CORP | 471109108 | COM | 195,570 | $9,465,000 | thousands by filing date | |
| ISHARES INC MSCI UTD KINGD | 464286699 | COM | 481,427 | $9,447,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 214,800 | $9,438,000 | thousands by filing date | call |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 163,655 | $9,434,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 800,411 | $9,398,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 436,579 | $9,334,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 383,377 | $9,320,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 135,534 | $9,319,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 605,496 | $9,283,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 124,400 | $9,270,000 | thousands by filing date | put |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 112,800 | $9,252,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 249,044 | $9,200,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 149,503 | $9,195,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 510,568 | $9,190,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 1,491,300 | $9,186,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 352,337 | $9,133,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 291,400 | $9,115,000 | thousands by filing date | call |
| SHERWIN WILLIAMS CO | 824348106 | COM | 50,000 | $9,109,000 | thousands by filing date | put |
| TECO ENERGY INC | 872375100 | COM | 549,612 | $9,091,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 332,621 | $9,077,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 563,639 | $9,075,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 117,200 | $9,064,000 | thousands by filing date | put |
| K12 INC | 48273U102 | COM | 293,464 | $9,063,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 457,085 | $9,032,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 290,000 | $9,025,000 | thousands by filing date | put |
| XILINX INC | 983919101 | COM | 192,300 | $9,009,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 213,758 | $8,984,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 320,949 | $8,980,000 | thousands by filing date | |
| GREEN MTN COFFEE ROASTERS IN | 393122106 | COM | 118,895 | $8,956,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 187,800 | $8,941,000 | thousands by filing date | put |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 392,675 | $8,894,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 325,062 | $8,872,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 287,583 | $8,858,000 | thousands by filing date | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 8,325,000 | $8,845,000 | thousands by filing date | principal |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 761,175 | $8,821,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 277,064 | $8,797,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219LAH2 | CORPORATE OBLIG | 8,350,000 | $8,788,000 | thousands by filing date | principal |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 361,270 | $8,785,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 225,032 | $8,782,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 16,904 | $8,751,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 189,231 | $8,712,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 235,997 | $8,697,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 261,670 | $8,695,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 229,100 | $8,678,000 | thousands by filing date | put |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 748,500 | $8,675,000 | thousands by filing date | put |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 188,435 | $8,674,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 239,942 | $8,660,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 100,000 | $8,659,000 | thousands by filing date | put |
| TIDEWATER INC | 886423102 | COM | 145,929 | $8,652,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 345,369 | $8,641,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 514,738 | $8,632,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 980,437 | $8,632,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 100,000 | $8,604,000 | thousands by filing date | put |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 635,540 | $8,587,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 365,900 | $8,573,000 | thousands by filing date | put |
| MEREDITH CORP | 589433101 | COM | 180,000 | $8,572,000 | thousands by filing date | call |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 205,208 | $8,489,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 111,900 | $8,488,000 | thousands by filing date | put |
| ROCKWELL COLLINS INC | 774341101 | COM | 124,278 | $8,433,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 337,350 | $8,387,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 89,831 | $8,367,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 125,200 | $8,366,000 | thousands by filing date | put |
| TRINITY INDS INC | 896522109 | COM | 184,225 | $8,354,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 65,158 | $8,340,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 265,200 | $8,338,000 | thousands by filing date | put |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 298,729 | $8,308,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 126,118 | $8,296,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 329,836 | $8,261,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 1,266,157 | $8,241,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 190,000 | $8,240,000 | thousands by filing date | call |
| LEUCADIA NATL CORP | 527288104 | COM | 302,053 | $8,227,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 220,000 | $8,221,000 | thousands by filing date | put |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 220,000 | $8,221,000 | thousands by filing date | call |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 406,922 | $8,212,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 63,563 | $8,210,000 | thousands by filing date | |
| CABLEVISION SYS CORP | 12686C109 | CL A NY CABLVS | 486,827 | $8,197,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 962,936 | $8,195,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 286,766 | $8,193,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 381,000 | $8,187,000 | thousands by filing date | principal |
| NVIDIA Corp | 67066G104 | COM | 526,065 | $8,184,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 74,810 | $8,156,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 55,257 | $8,131,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 251,567 | $8,113,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 582,200 | $8,081,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 198,000 | $8,067,000 | thousands by filing date | call |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 135,806 | $8,065,000 | thousands by filing date | |
| HILLSHIRE BRANDS CO | 432589109 | COM | 262,360 | $8,065,000 | thousands by filing date | put |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 224,872 | $8,062,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 277,496 | $8,055,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 88,921 | $8,049,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 147,866 | $7,994,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 173,527 | $7,982,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 197,279 | $7,966,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 133,503 | $7,942,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 131,427 | $7,937,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 111,148 | $7,920,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 38,631 | $7,875,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 150,000 | $7,872,000 | thousands by filing date | call |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 7,274,000 | $7,846,000 | thousands by filing date | principal |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 187,993 | $7,826,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 652,422 | $7,823,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 287,575 | $7,821,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 7,550,000 | $7,814,000 | thousands by filing date | principal |
| DIGITAL RIV INC | 25388B104 | COM | 437,202 | $7,812,000 | thousands by filing date | |
| RIO ALTO MNG LTD NEW | 76689T104 | COM | 3,925,153 | $7,811,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 445,000 | $7,801,000 | thousands by filing date | call |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 5,993,000 | $7,799,000 | thousands by filing date | principal |
| SAPIENT CORPORATION | 803062108 | COMMON STOCK | 498,405 | $7,775,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 122,933 | $7,768,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 150,000 | $7,763,000 | thousands by filing date | put |
| KOHLS CORP | 500255104 | COM | 150,000 | $7,763,000 | thousands by filing date | call |
| DTE ENERGY CO COM | 233331107 | Stock | 117,424 | $7,748,000 | thousands by filing date | |
| Hubbell Inc Class B | 443510201 | COM | 73,887 | $7,740,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 76,300 | $7,735,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 132,227 | $7,718,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 500,000 | $7,710,000 | thousands by filing date | call |
| CONSOL ENERGY INC | 20854P109 | COM | 227,676 | $7,661,000 | thousands by filing date | |
| U S AIRWAYS GROUP INC | 90341W108 | COM | 402,200 | $7,626,000 | thousands by filing date | call |
| ENSCO PLC | G3157S106 | SHS CLASS A | 141,663 | $7,615,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 102,406 | $7,566,000 | thousands by filing date | |
| WARNER CHILCOTT PLC IRELAND | G94368100 | SHS A | 330,810 | $7,560,000 | thousands by filing date | |
| BEAM INC | 073730103 | COMMON STOCK | 116,881 | $7,556,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 39,000 | $7,541,000 | thousands by filing date | put |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 70,800 | $7,532,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 434,400 | $7,528,000 | thousands by filing date | put |
| CENTENE CORP DEL COM | 15135B101 | Stock | 117,577 | $7,520,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 113,172 | $7,520,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 487,824 | $7,513,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 129,113 | $7,512,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300AD0 | NOTE 0.875%11/1 | 7,500,000 | $7,495,000 | thousands by filing date | principal |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 93,854 | $7,489,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 363,247 | $7,460,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 296,218 | $7,444,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 240,963 | $7,443,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 169,804 | $7,440,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 163,571 | $7,439,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 414,360 | $7,434,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 219,524 | $7,400,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 7,304,000 | $7,400,000 | thousands by filing date | principal |
| ISHARES TR | 464287812 | US CONSM STAPLES | 82,832 | $7,397,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 6,260,000 | $7,395,000 | thousands by filing date | principal |
| CARLISLE COS INC COM | 142339100 | Stock | 105,034 | $7,383,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 249,923 | $7,353,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 175,003 | $7,348,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 136,112 | $7,348,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 173,400 | $7,331,000 | thousands by filing date | call |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 7,700,000 | $7,329,000 | thousands by filing date | principal |
| HALCON RES CORP | 40537Q209 | COM NEW | 1,648,979 | $7,305,000 | thousands by filing date | |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 6,491,000 | $7,302,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 318,081 | $7,297,000 | thousands by filing date | |
| COVANCE INC | 222816100 | COM | 84,358 | $7,294,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 353,036 | $7,290,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 220,996 | $7,269,000 | thousands by filing date | |
| U S AIRWAYS GROUP INC | 90341W108 | COM | 383,352 | $7,268,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 86,930 | $7,258,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 103,726 | $7,240,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 219,645 | $7,234,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 173,411 | $7,233,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 273,000 | $7,227,000 | thousands by filing date | put |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 278,900 | $7,218,000 | thousands by filing date | put |
| AUTODESK INC COM | 052769106 | Stock | 175,302 | $7,217,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 220,981 | $7,213,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 350,092 | $7,205,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 72,895 | $7,204,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 110,567 | $7,165,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 586,788 | $7,160,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 51,170 | $7,119,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 417,651 | $7,117,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 218,875 | $7,107,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 6,847,000 | $7,103,000 | thousands by filing date | principal |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 262,596 | $7,095,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 174,015 | $7,090,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 123,600 | $7,084,000 | thousands by filing date | put |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 151,213 | $7,081,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 68,163 | $7,080,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 75,289 | $7,066,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 407,200 | $7,057,000 | thousands by filing date | call |
| AON PLC | G0408V102 | SHS CL A | 94,591 | $7,043,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 203,519 | $7,037,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 88,580 | $7,035,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 135,899 | $7,033,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 7,437,000 | $7,033,000 | thousands by filing date | principal |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 120,000 | $7,027,000 | thousands by filing date | call |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 152,507 | $7,020,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 481,000 | $7,018,000 | thousands by filing date | put |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 172,280 | $7,018,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 501,463 | $7,015,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 345,636 | $6,974,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 71,952 | $6,936,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 170,039 | $6,922,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 66,145 | $6,911,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 664,300 | $6,909,000 | thousands by filing date | call |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 6,217,000 | $6,902,000 | thousands by filing date | principal |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 133,388 | $6,898,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 240,000 | $6,894,000 | thousands by filing date | put |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 310,698 | $6,886,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 243,796 | $6,885,000 | thousands by filing date | |
| Ashland | 044209104 | Common | 74,336 | $6,875,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 114,169 | $6,872,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 612,859 | $6,870,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 1,636,621 | $6,843,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 395,994 | $6,843,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG | 03938LAK0 | NOTE 5.000% 5/1 | 6,710,000 | $6,832,000 | thousands by filing date | principal |
| D R HORTON INC COM | 23331A109 | Stock | 350,589 | $6,812,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 910,834 | $6,794,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 111,500 | $6,785,000 | thousands by filing date | put |
| EBAY INC. COM | 278642103 | Stock | 121,500 | $6,779,000 | thousands by filing date | call |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 954,497 | $6,777,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 6,000,000 | $6,776,000 | thousands by filing date | principal |
| NOBLE ENERGY INC | 655044105 | COM | 101,100 | $6,774,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 254,007 | $6,769,000 | thousands by filing date | |
| ONYX PHARMACEUTICALS INC | 683399AB5 | NOTE 4.000% 8/1 | 2,108,000 | $6,769,000 | thousands by filing date | principal |
| ROYAL BK CDA COM | 780087102 | Stock | 105,300 | $6,761,000 | thousands by filing date | put |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 303,489 | $6,753,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 331,536 | $6,730,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 15,869 | $6,708,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 60,880 | $6,707,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 77,525 | $6,696,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 286,801 | $6,694,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 370,843 | $6,690,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 349,972 | $6,685,000 | thousands by filing date | |
| ENERGIZER HLDGS INC | 29266R108 | COM | 73,192 | $6,671,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 478,076 | $6,655,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 76,712 | $6,640,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 204,990 | $6,637,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 942,479 | $6,635,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 80,106 | $6,623,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 421,934 | $6,620,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 714,758 | $6,619,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 81,777 | $6,616,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 90,161 | $6,603,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 264,522 | $6,586,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 826,021 | $6,583,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 44,538 | $6,579,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 356,578 | $6,565,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 149,304 | $6,544,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 815,818 | $6,518,000 | thousands by filing date | |
| UNS ENERGY CORP | 903119105 | COM | 139,710 | $6,513,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 64,209 | $6,510,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 5,050,000 | $6,505,000 | thousands by filing date | principal |
| Crown Castle | 228227104 | COM | 88,923 | $6,494,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 114,718 | $6,488,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 168,900 | $6,486,000 | thousands by filing date | call |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 418,728 | $6,481,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 84,407 | $6,467,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 92,817 | $6,464,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 347,908 | $6,446,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 185,166 | $6,438,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 661,591 | $6,437,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 470,104 | $6,436,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 45,812 | $6,414,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 30,400 | $6,409,000 | thousands by filing date | call |
| BROOKFIELD RESIDENTIAL PPTYS | 11283W104 | COM | 278,160 | $6,403,000 | thousands by filing date | |
| US STEEL CORP | 912909AE8 | NOTE | 6,258,000 | $6,403,000 | thousands by filing date | principal |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 382,287 | $6,395,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 80,100 | $6,387,000 | thousands by filing date | call |
| JUNIPER NETWORKS INC | 48203R104 | COM | 321,512 | $6,385,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 141,494 | $6,369,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 123,253 | $6,367,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 63,142 | $6,367,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 30,000 | $6,325,000 | thousands by filing date | put |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 107,284 | $6,314,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 200,700 | $6,306,000 | thousands by filing date | call |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 399,000 | $6,304,000 | thousands by filing date | put |
| Oracle Corporation | 68389X105 | COM | 190,000 | $6,302,000 | thousands by filing date | call |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 4,748,000 | $6,300,000 | thousands by filing date | principal |
| BRUNSWICK CORP | 117043109 | COM | 157,804 | $6,298,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 849,645 | $6,287,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 100,764 | $6,286,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 210,100 | $6,271,000 | thousands by filing date | call |
| RAYONIER INC COM | 754907103 | REIT | 112,587 | $6,265,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 112,276 | $6,264,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 56,248 | $6,251,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 114,600 | $6,249,000 | thousands by filing date | put |
| ULTRA PETROLEUM CORP | 903914109 | COM | 303,765 | $6,249,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 265,751 | $6,213,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 110,392 | $6,205,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 211,013 | $6,176,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 273,500 | $6,176,000 | thousands by filing date | call |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 166,285 | $6,167,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 293,218 | $6,157,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 87,222 | $6,154,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 56,233 | $6,148,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 175,411 | $6,142,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 68,560 | $6,128,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 220,000 | $6,118,000 | thousands by filing date | put |
| L-3 COMMUNICATIONS CORP | 502413AW7 | DEBT 3.000% 8/0 | 5,606,000 | $6,104,000 | thousands by filing date | principal |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 913,973 | $6,096,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 81,290 | $6,085,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 5,500,000 | $6,064,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 71,609 | $6,061,000 | thousands by filing date | |
| DENTSPLY INTL INC | 249030107 | COM | 139,471 | $6,055,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 107,187 | $6,051,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 218,127 | $6,041,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 169,393 | $6,039,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 285,132 | $6,031,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 134,457 | $6,027,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 333,231 | $6,021,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 369,093 | $6,009,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 641,484 | $5,994,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 262,010 | $5,990,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 100,000 | $5,985,000 | thousands by filing date | call |
| UNITED STATES STL CORP NEW | 912909108 | COM | 290,000 | $5,971,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 120,795 | $5,965,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 58,185 | $5,964,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 4,913,000 | $5,960,000 | thousands by filing date | principal |
| ENERGEN CORP | 29265N108 | COM | 77,898 | $5,951,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 191,997 | $5,940,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 530,312 | $5,929,000 | thousands by filing date | call |
| WESTERN UN CO COM | 959802109 | Stock | 317,504 | $5,924,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 142,636 | $5,914,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 287,600 | $5,896,000 | thousands by filing date | put |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 102,800 | $5,892,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 187,300 | $5,877,000 | thousands by filing date | call |
| ATHLON ENERGY INC | 047477104 | COM | 179,650 | $5,874,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 591,233 | $5,856,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 95,539 | $5,855,000 | thousands by filing date | |
| DFC GLOBAL CORP | 256664AC7 | NOTE | 6,070,000 | $5,852,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 121,749 | $5,849,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 165,000 | $5,841,000 | thousands by filing date | put |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 75,570 | $5,826,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 153,137 | $5,799,000 | thousands by filing date | |
| PHARMACYCLICS INC | 716933106 | COM | 41,900 | $5,793,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 79,201 | $5,791,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 241,600 | $5,772,000 | thousands by filing date | call |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 93,814 | $5,764,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 308,368 | $5,761,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 212,684 | $5,757,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 69,936 | $5,755,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 64,170 | $5,746,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 674,906 | $5,743,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 126,714 | $5,725,000 | 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 |