13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-14, with 5,977 holding rows worth $140,917,856,000.
- Accession
- 0001140361-14-007922
- Filer
- CIK 1000275
- Filed
- 2014-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 17,361 entries on the cover page, a total value of $140,917,856,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $140,917,856,000 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 managerROYAL BANK OF CANADA TRUST CO (BAHAMAS) LTD028-12693
- included managerSky Investment Counsel Inc028-12562
- 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
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 |
|---|---|---|---|---|---|---|
| SEQUENOM INC COM NEW | 817337405 | COM | 48,912 | $114,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 9,402 | $114,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 3,300 | $114,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 12,252 | $113,000 | thousands by filing date | |
| NUVEEN | 67071W102 | EXCHANGE TRADED | 9,500 | $113,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 8,690 | $113,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 2,439 | $113,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 14,990 | $113,000 | thousands by filing date | |
| CHESAPEAKE LODGING TR | 165240102 | SH BEN INT | 4,445 | $113,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 15,870 | $113,000 | thousands by filing date | |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 3,042 | $113,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W593 | GUG RUSS1000 EQL | 2,433 | $113,000 | thousands by filing date | |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 1,789 | $112,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 2,041 | $112,000 | thousands by filing date | |
| AMER MUN INCOME PORT INC | 027649102 | COM | 8,606 | $112,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 12,427 | $111,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 7,362 | $111,000 | thousands by filing date | |
| ATMI INC | 00207R101 | COM | 3,687 | $111,000 | thousands by filing date | |
| NUVEEN CA SELECT QUALITY MUN | 670975101 | COM | 8,051 | $111,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 7,799 | $110,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 4,618 | $110,000 | thousands by filing date | |
| ENVISION HEALTHCARE HLDGS IN | 29413U103 | COM | 3,087 | $110,000 | thousands by filing date | |
| NAM TAI ELECTRS INC | 629865205 | COM PAR $0.02 | 15,364 | $110,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 4,410 | $110,000 | thousands by filing date | principal |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 4,000 | $110,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 5,200 | $110,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 1,952 | $109,000 | thousands by filing date | |
| ABM INDS INC | 000957100 | COM | 3,833 | $109,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 5,594 | $109,000 | thousands by filing date | |
| Lowes Companies Inc | 42222G108 | LOW | 3,674 | $109,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 4,047 | $109,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 4,056 | $108,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 2,384 | $108,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 5,588 | $108,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 42,589 | $108,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 2,823 | $107,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 8,823 | $107,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 10,500 | $107,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 6,639 | $107,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319AC8 | NOTE 5.750% 6/1 | 25,000 | $107,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 4,930 | $107,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 17,868 | $106,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 4,150 | $106,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 2,375 | $105,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 6,576 | $105,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 7,152 | $105,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 7,752 | $105,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 16,500 | $105,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 22,100 | $105,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643507 | ADR PRF SER A | 7,350 | $105,000 | thousands by filing date | principal |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 5,205 | $104,000 | thousands by filing date | |
| HASTINGS ENTERTAINMENT INC | 418365102 | COM | 53,400 | $104,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 932 | $103,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 1,343 | $103,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 29,200 | $103,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 9,457 | $103,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R759 | CDA BD IDX FD | 1,110 | $103,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 9,838 | $103,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 11,200 | $102,000 | thousands by filing date | call |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 6,177 | $102,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 2,681 | $102,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 23,500 | $102,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 4,775 | $102,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 22,622 | $102,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 2,007 | $102,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,121 | $101,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 3,121 | $101,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 17,806 | $101,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 4,721 | $101,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 13,884 | $101,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 60,146 | $101,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 3,695 | $101,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 1,436 | $100,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 1,127 | $100,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 11,800 | $100,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 8,178 | $100,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 1,370 | $100,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 9,600 | $100,000 | thousands by filing date | put |
| IXIA | 45071R109 | COM | 7,493 | $100,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 2,425 | $100,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 7,100 | $100,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 3,278 | $99,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 3,539 | $99,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 11,056 | $99,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 13,309 | $99,000 | thousands by filing date | |
| INTERMUNE INC | 45884X103 | COM | 6,720 | $99,000 | thousands by filing date | |
| ALLIANZGI GLOBAL EQUITY & CO | 01882W100 | COM | 6,500 | $99,000 | thousands by filing date | |
| ISHARES NYSE COMPOSITE INDEX | 464287143 | COM | 1,047 | $99,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 4,017 | $99,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 6,538 | $99,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 12,000 | $98,000 | thousands by filing date | put |
| WORLD ACCEP CORPORATION | 981419104 | COM | 1,118 | $98,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 14,536 | $98,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 6,300 | $98,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 4,288 | $98,000 | thousands by filing date | |
| LINKTONE LTD | 535925101 | ADR | 81,570 | $98,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 175,972 | $98,000 | thousands by filing date | |
| IVANHOE ENERGY INC | 465790301 | COM NEW | 157,542 | $98,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 64,605 | $97,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 48,584 | $97,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 1,739 | $97,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 2,450 | $97,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 6,591 | $97,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 881 | $96,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 9,165 | $96,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 6,600 | $96,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 2,406 | $96,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 7,815 | $96,000 | thousands by filing date | |
| ROCKVILLE FINANCIAL INC | 774188106 | COM | 6,779 | $96,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 16,895 | $95,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 10,106 | $95,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 2,500 | $95,000 | thousands by filing date | put |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 28,607 | $95,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 8,063 | $95,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 3,667 | $95,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 2,228 | $94,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 59,860 | $94,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 6,863 | $94,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 4,501 | $94,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 15,815 | $94,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 6,500 | $94,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 3,291 | $94,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 11,725 | $93,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 7,314 | $93,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 6,507 | $93,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 4,983 | $93,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 8,227 | $93,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 16,567 | $93,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 8,400 | $93,000 | thousands by filing date | |
| ALLIED WRLD ASSUR COM HLDG A | H01531104 | SHS | 815 | $92,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 11,500 | $92,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 14,800 | $92,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 4,555 | $92,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 5,060 | $92,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 5,423 | $91,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 3,016 | $91,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 2,528 | $91,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 3,015 | $90,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,700 | $90,000 | thousands by filing date | |
| MONTPELIER RE HLDGS LTD SH | G62185106 | COM | 3,094 | $90,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 3,713 | $90,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 2,420 | $89,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 12,000 | $89,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 4,002 | $89,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,714 | $89,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 16,100 | $89,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 1,195 | $88,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 1,684 | $88,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 3,880 | $88,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 4,797 | $88,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 9,455 | $88,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461456 | EGSHS E MKTS DIV | 4,499 | $88,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 2,940 | $87,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 8,567 | $87,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 8,532 | $87,000 | thousands by filing date | |
| SUSSER HOLDINGS CORP | 869233106 | COMMON STOCK | 1,325 | $87,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 37,800 | $87,000 | thousands by filing date | |
| NUVEEN PA DIV ADVANTAGE MUN | 67070E103 | COM | 7,186 | $87,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 4,175 | $87,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 7,654 | $86,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 6,204 | $86,000 | thousands by filing date | |
| NPS PHARMACEUTICALS INC | 62936P103 | COM | 2,852 | $86,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 7,250 | $85,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 10,022 | $85,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 7,525 | $85,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 2,550 | $85,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 1,664 | $85,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 7,452 | $85,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 8,700 | $85,000 | thousands by filing date | call |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 1,610 | $85,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 11,750 | $85,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 10,000 | $85,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 4,850 | $85,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 1,250 | $85,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 3,398 | $84,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 1,673 | $84,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 10,806 | $84,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 2,120 | $84,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 1,586 | $83,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 2,908 | $83,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 6,501 | $83,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 3,550 | $83,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 1,630 | $82,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 8,170 | $82,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 1,200 | $82,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 3,620 | $82,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 6,311 | $82,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 14,553 | $82,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 31,825 | $81,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 4,521 | $81,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 5,773 | $81,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 5,023 | $81,000 | thousands by filing date | |
| ROVI CORP | 779376AB8 | CORPORATE OBLIG | 80,000 | $81,000 | thousands by filing date | principal |
| CORELOGIC INC | 21871D103 | COM | 2,271 | $81,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 46,024 | $81,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L209 | US MC TRENDP ETN | 2,480 | $81,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 54,000 | $80,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 7,432 | $79,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 1,745 | $79,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 15,628 | $79,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 8,737 | $79,000 | thousands by filing date | |
| CORPBANCA | 21987A209 | SPONSORED ADR | 3,746 | $79,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 3,182 | $79,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 2,000 | $79,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 2,249 | $78,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,078 | $78,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 3,446 | $78,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 1,100 | $78,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 3,565 | $78,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 5,605 | $78,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 3,634 | $78,000 | thousands by filing date | principal |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 7,314 | $77,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 6,026 | $77,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 9,542 | $77,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC COM | 92672A101 | Stock | 2,791 | $77,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 119,388 | $77,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 5,100 | $77,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 10,850 | $76,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 2,000 | $76,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 7,461 | $76,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 5,050 | $76,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 3,953 | $76,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 7,503 | $76,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 3,250 | $75,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 575 | $75,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 2,403 | $75,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 4,437 | $75,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 3,563 | $75,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 5,591 | $74,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 4,700 | $74,000 | thousands by filing date | |
| MINE SAFETY APPLIANCES CO | 602720104 | COMMON STOCK | 1,451 | $74,000 | thousands by filing date | |
| TEXAS INDUSTRIES INC | 882491103 | COM | 1,079 | $74,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 3,929 | $74,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 6,370 | $74,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 1,022 | $74,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 1,395 | $73,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 2,950 | $73,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 2,575 | $73,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,300 | $73,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 5,250 | $73,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 8,100 | $73,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 3,719 | $73,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 5,608 | $73,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 12,897 | $73,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 2,242 | $72,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 5,200 | $72,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 9,200 | $72,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 2,928 | $71,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 4,075 | $71,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,500 | $71,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 4,009 | $71,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 2,800 | $71,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 1,600 | $71,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 1,707 | $70,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 3,250 | $70,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 13,282 | $70,000 | thousands by filing date | |
| PINNACLE ENTMT INC | 723456109 | COM | 2,672 | $70,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 6,650 | $70,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 4,600 | $70,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 10,051 | $70,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 4,600 | $70,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 3,281 | $70,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 1,546 | $69,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 4,405 | $69,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 2,500 | $69,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 7,210 | $69,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 2,763 | $69,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 5,771 | $69,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 8,065 | $69,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 2,750 | $69,000 | thousands by filing date | principal |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 4,000 | $68,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 4,928 | $68,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 4,475 | $68,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 2,200 | $68,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 8,807 | $68,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 2,532 | $67,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 5,135 | $67,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 3,681 | $67,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 1,850 | $67,000 | thousands by filing date | |
| AMERICAN RESIDENTIAL PROPERTIES INC | 02927E303 | COM | 3,897 | $67,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 1,556 | $66,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 1,692 | $66,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 945 | $65,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 800 | $65,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 116,172 | $65,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 30,000 | $65,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 18,300 | $65,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 5,104 | $64,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 2,156 | $64,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 64,000 | $64,000 | thousands by filing date | principal |
| FTD COS INC | 30281V108 | COM | 1,965 | $64,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 1,335 | $63,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 51,050 | $63,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 548 | $63,000 | thousands by filing date | |
| POINT 360 | 730507100 | COM | 119,400 | $63,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 5,000 | $62,000 | thousands by filing date | call |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 6,874 | $62,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 6,006 | $62,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 23,950 | $62,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 5,106 | $62,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 509 | $62,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 513 | $61,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 11,729 | $61,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 2,570 | $60,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 3,649 | $60,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 6,500 | $60,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 2,210 | $59,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 1,396 | $59,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 1,675 | $59,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 3,059 | $59,000 | thousands by filing date | |
| CASH AMER INTL INC | 14754D100 | COM | 1,550 | $59,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 5,196 | $59,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 6,823 | $59,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 4,391 | $59,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 1,000 | $58,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 5,082 | $58,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 6,053 | $58,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 7,144 | $58,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 4,751 | $58,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 6,400 | $58,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 2,828 | $58,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,264 | $58,000 | thousands by filing date | |
| PAX WORLD FDS TR II | 70422P206 | MSCI ESG IDX | 1,944 | $58,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 5,519 | $57,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 2,237 | $57,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 3,000 | $57,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 4,000 | $57,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 840 | $57,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 8,104 | $57,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $57,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 3,550 | $57,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 5,000 | $57,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 1,814 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 1,906 | $56,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 7,480 | $56,000 | thousands by filing date | |
| Alamos Gold, Inc. | 011527108 | COM | 4,600 | $56,000 | thousands by filing date | put |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 126,594 | $56,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 2,000 | $56,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 4,373 | $56,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 3,060 | $56,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 2,200 | $55,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 1,498 | $55,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 700 | $55,000 | thousands by filing date | |
| ASIAINFO-LINKAGE INC | 04518A104 | COM | 4,600 | $55,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 4,500 | $55,000 | thousands by filing date | |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 465 | $55,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 5,000 | $55,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 2,500 | $54,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 1,860 | $54,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,040 | $54,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 6,030 | $54,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 4,300 | $54,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 2,000 | $54,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 3,331 | $54,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 4,400 | $54,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 13,700 | $54,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 857 | $53,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 2,050 | $53,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 530 | $53,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 57,005 | $53,000 | thousands by filing date | |
| LENDER PROCESSING SVCS INC | 52602E102 | COM | 1,414 | $53,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 10,979 | $53,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 585 | $53,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P143 | RBS NASD LKD41 | 1,450 | $53,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 1,500 | $53,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 1,750 | $53,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 5,300 | $53,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 2,633 | $52,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 8,777 | $52,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 1,500 | $52,000 | thousands by filing date | |
| PROSHARES ULTRASHRT R2000 VA | 74348A509 | COM | 3,587 | $52,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 18,000 | $52,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 10,000 | $51,000 | thousands by filing date | put |
| RITEAID CORP | 767754104 | COM | 10,000 | $51,000 | thousands by filing date | call |
| BOYDGAMINGCORP | 103304101 | STOK | 4,500 | $51,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 8,182 | $51,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 5,356 | $51,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 3,708 | $51,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,750 | $51,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 2,359 | $51,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 5,118 | $51,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 3,549 | $51,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 2,561 | $51,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 13,052 | $51,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E317 | GLBLX CEN ASIA | 3,765 | $51,000 | thousands by filing date | |
| HELIOS HIGH YIELD FD | 42328Q109 | COM | 5,294 | $51,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 8,100 | $50,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 1,063 | $50,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 819 | $50,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 2,042 | $50,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $50,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,200 | $50,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 4,248 | $50,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,900 | $50,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 3,031 | $50,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 3,900 | $50,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 14,500 | $50,000 | thousands by filing date | |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 50,000 | $50,000 | thousands by filing date | principal |
| INSULET CORP COM | 45784P101 | Stock | 1,311 | $49,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 2,969 | $49,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,000 | $49,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 68,721 | $49,000 | thousands by filing date | |
| CAPITALSOURCE INC | 14055X102 | COM | 3,450 | $49,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 3,108 | $49,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 1,841 | $49,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 2,246 | $49,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 1,500 | $48,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 250 | $48,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 5,182 | $48,000 | thousands by filing date | |
| EARTHLINK INC | 270321102 | COM | 9,319 | $48,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 6,000 | $48,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 540 | $47,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 2,500 | $47,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 1,750 | $47,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 2,835 | $47,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 4,000 | $47,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $47,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 1,107 | $47,000 | thousands by filing date | |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 10,000 | $47,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 5,849 | $47,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 14,000 | $47,000 | thousands by filing date | put |
| SELECT COMFORT CORP | 81616X103 | COM | 2,245 | $47,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 1,800 | $47,000 | thousands by filing date | put |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 7,825 | $47,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $47,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 922 | $46,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,286 | $46,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 900 | $46,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 2,570 | $46,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 2,612 | $46,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 2,026 | $46,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 1,992 | $46,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 3,962 | $46,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 7,600 | $46,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M589 | GUGG CRP BD 2013 | 2,217 | $46,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 7,000 | $46,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 300 | $46,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 5,202 | $46,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 1,189 | $46,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 1,600 | $46,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 6,959 | $46,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 12,254 | $45,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 2,500 | $45,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 775 | $45,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 1,190 | $45,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 500 | $45,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 1,400 | $45,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 19,000 | $45,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 1,300 | $44,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 366 | $44,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,450 | $44,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 2,620 | $44,000 | thousands by filing date | |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 2,719 | $44,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 30,000 | $44,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 1,525 | $44,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 859 | $43,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 1,800 | $43,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 20,400 | $43,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 4,954 | $42,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 733 | $42,000 | thousands by filing date | |
| HANCOCK WHITNEY CORPORATION | 410120109 | COM | 1,155 | $42,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,200 | $42,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 3,138 | $42,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 5,100 | $42,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 40,000 | $42,000 | thousands by filing date | principal |
| KEY ENERGY SVCS INC | 492914106 | COM | 5,350 | $42,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 9,086 | $42,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 3,387 | $42,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 47,000 | $42,000 | thousands by filing date | principal |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 6,482 | $41,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 3,145 | $41,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,250 | $41,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,000 | $41,000 | thousands by filing date | |
| Concur Technologies, Inc. | 206708109 | COM | 400 | $41,000 | thousands by filing date | put |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 1,669 | $41,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 1,837 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 878 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 1,400 | $41,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 35,000 | $41,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,555 | $41,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 30151E202 | HORZN S&P FINS | 1,000 | $41,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 900 | $40,000 | thousands by filing date | call |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 2,000 | $40,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 2,535 | $40,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 1,200 | $40,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 2,200 | $40,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 5,277 | $40,000 | thousands by filing date | |
| DWS | 23338W104 | EXCHANGE TRADED | 4,982 | $40,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 1,095 | $40,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 4,730 | $40,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 600 | $40,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 1,083 | $39,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 3,786 | $39,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 2,700 | $39,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,000 | $39,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 3,332 | $39,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 1,600 | $39,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,250 | $39,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 741 | $39,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P150 | CHINA TRNDP ETF | 1,350 | $39,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-007922 | this filing | 2014-02-14 | acceptance time not in the bulk data set |