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 |
|---|---|---|---|---|---|---|
| NUVEEN CALIFORNIA | 6706L0102 | COM | 3,000 | $39,000 | thousands by filing date | |
| SP BANCORP INC | 78468K106 | COM | 2,000 | $39,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 846 | $38,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 11,703 | $38,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 673 | $38,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 4,908 | $38,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 3,000 | $38,000 | thousands by filing date | put |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 1,516 | $38,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 1,342 | $38,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 2,402 | $38,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 10,404 | $38,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 1,702 | $38,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 3,725 | $38,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,550 | $38,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 2,034 | $38,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 300 | $38,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 9,500 | $38,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 3,000 | $38,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 2,265 | $38,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 1,405 | $37,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 1,523 | $37,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 1,324 | $37,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 800 | $37,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 5,100 | $37,000 | thousands by filing date | call |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 30,076 | $37,000 | thousands by filing date | |
| ICG GROUP INC | 44928D108 | COM | 2,007 | $37,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 11,100 | $37,000 | thousands by filing date | call |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 1,935 | $37,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 2,801 | $37,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 1,750 | $37,000 | thousands by filing date | |
| PROSHARES TR II | 74347W379 | UL VIXSTFUT ETF | 2,184 | $37,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 2,850 | $36,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 8,500 | $36,000 | thousands by filing date | call |
| BRIDGE CAP HLDGS | 108030107 | COM | 1,766 | $36,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,625 | $36,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 10,742 | $36,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 2,900 | $36,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $36,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,716 | $36,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 2,231 | $36,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 1,300 | $35,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 418 | $35,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 1,216 | $35,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 43,531 | $35,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 1,110 | $35,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 17,500 | $35,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 889 | $34,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 791 | $34,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 3,300 | $34,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 2,700 | $34,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 3,109 | $34,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 4,642 | $34,000 | thousands by filing date | |
| SOLARWINDS INC | 83416B109 | COM | 895 | $34,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 12,000 | $34,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 4,585 | $34,000 | thousands by filing date | |
| ISHARES TR | 46429B184 | UTILITIES SECT | 700 | $34,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 4,923 | $34,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 16,400 | $33,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 1,735 | $33,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,500 | $33,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 3,183 | $33,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 5,103 | $33,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 14,286 | $33,000 | thousands by filing date | |
| ISHARES INC | 464286459 | EMKTS VALU IDX | 711 | $33,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,700 | $33,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 529 | $32,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 805 | $32,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 1,111 | $32,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 898 | $32,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 2,547 | $32,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 1,850 | $32,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 1,665 | $32,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 399 | $32,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 900 | $32,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 2,000 | $32,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 481 | $32,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,000 | $32,000 | thousands by filing date | |
| Cole Real Estate Investments | 19329V105 | COM | 2,278 | $32,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L852 | COM | 959 | $32,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 2,250 | $31,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 1,126 | $31,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,569 | $31,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 271 | $31,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,150 | $31,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 7,549 | $31,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 18,100 | $31,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 3,159 | $31,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 4,124 | $31,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 7,553 | $31,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,500 | $31,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 3,400 | $31,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AH8 | NOTE 3.125% 7/1 | 25,000 | $31,000 | thousands by filing date | principal |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 2,397 | $30,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 578 | $30,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 200 | $30,000 | thousands by filing date | put |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 1,465 | $30,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,950 | $30,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,139 | $30,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 1,500 | $30,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $30,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 16,232 | $30,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,500 | $30,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 1,697 | $30,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 2,000 | $30,000 | thousands by filing date | |
| CONSTELLATION ENERGY PRTNR L | 21038E101 | COM UNIT LLC B | 12,300 | $30,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 8,334 | $30,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 1,521 | $30,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 650 | $29,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 740 | $29,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 367 | $29,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 2,132 | $29,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 1,000 | $29,000 | thousands by filing date | put |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,827 | $29,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 3,000 | $29,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 1,800 | $29,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 3,982 | $29,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 3,600 | $29,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 2,332 | $29,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 2,950 | $29,000 | thousands by filing date | |
| RICK'S CABARET INTL INC | 765641303 | COM | 2,500 | $29,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 2,400 | $29,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 1,077 | $29,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 334 | $28,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 2,200 | $28,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 325 | $28,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 939 | $28,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,000 | $28,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 6,000 | $28,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 12,500 | $28,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 8,772 | $28,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 11,200 | $28,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 5,850 | $28,000 | thousands by filing date | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,000 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 256 | $27,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,000 | $27,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 3,900 | $27,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,000 | $27,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 411 | $26,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,184 | $26,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 1,295 | $26,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 648 | $26,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 867 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $26,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $26,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 2,295 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 463 | $26,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 6,000 | $26,000 | thousands by filing date | call |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 1,000 | $26,000 | thousands by filing date | principal |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 1,000 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,000 | $26,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 500 | $26,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 275 | $26,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 1,478 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 730 | $26,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 2,200 | $26,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 2,300 | $26,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 15,300 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 849 | $26,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 1,071 | $25,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 823 | $25,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,100 | $25,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 1,211 | $25,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 31,000 | $25,000 | thousands by filing date | principal |
| REGIS CORP | 758932107 | COM | 1,750 | $25,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 4,067 | $25,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 5,325 | $25,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 1,984 | $25,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 25,215 | $25,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 583 | $25,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 5,000 | $25,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 7,911 | $25,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 4,766 | $25,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 5,350 | $25,000 | thousands by filing date | |
| PROSHARES ULTRA SILVER | 74347W841 | COM | 1,600 | $25,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 1,000 | $25,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 1,500 | $25,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,422 | $24,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 407 | $24,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 1,043 | $24,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,300 | $24,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,900 | $24,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $24,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 908 | $24,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,921 | $24,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 1,925 | $24,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 1,938 | $24,000 | thousands by filing date | |
| KID BRANDS, INC. COM | 49375T100 | COM | 23,500 | $24,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 9,000 | $24,000 | thousands by filing date | principal |
| HORSEHEAD HLDG CORP | 440694305 | COM | 1,472 | $24,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 1,280 | $24,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 1,100 | $24,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 404 | $23,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 3,171 | $23,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 200 | $23,000 | thousands by filing date | put |
| LOGITECH INTL S A SHS | H50430232 | Stock | 1,668 | $23,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 996 | $23,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 832 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 300 | $23,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 400 | $23,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,000 | $23,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,500 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 400 | $23,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 663 | $23,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 2,500 | $23,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 710 | $23,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 1,100 | $23,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 5,250 | $23,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 1,980 | $23,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,333 | $23,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X764 | S&PINTL MC ETF | 715 | $23,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 650 | $23,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 1,700 | $23,000 | thousands by filing date | |
| ISHARES TR | 464289594 | CMN | 435 | $23,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 1,000 | $23,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 654 | $22,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 3,745 | $22,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 1,200 | $22,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 1,566 | $22,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 835 | $22,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 1,100 | $22,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 800 | $22,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 705 | $22,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 25,000 | $22,000 | thousands by filing date | put |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 347 | $22,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 4,357 | $22,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 10,945 | $22,000 | thousands by filing date | |
| JAPAN EQUITY FD INC | 471057109 | COM | 3,093 | $22,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 326 | $22,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 1,900 | $22,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 1,000 | $22,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 279 | $21,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 588 | $21,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 3,750 | $21,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,690 | $21,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,600 | $21,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 1,000 | $21,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 1,184 | $21,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,654 | $21,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,570 | $21,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 1,819 | $21,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 6,000 | $21,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 6,000 | $21,000 | thousands by filing date | |
| BANCORPSOUTH INC | 059692103 | COM | 844 | $21,000 | thousands by filing date | |
| DOLAN CO/THE | 25659P402 | COM | 30,800 | $21,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 3,000 | $21,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,736 | $21,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 310 | $21,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 300 | $21,000 | thousands by filing date | |
| AMBOW ED HLDG LTD | 02322P101 | ADR REPSTG CL A | 18,000 | $21,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 210 | $21,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R304 | FALLN ANGL USD | 770 | $21,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 748 | $20,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 786 | $20,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 573 | $20,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 555 | $20,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 365 | $20,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 1,500 | $20,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 400 | $20,000 | thousands by filing date | put |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 1,000 | $20,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,000 | $20,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,020 | $20,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 17,000 | $20,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 1,900 | $20,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 10,801 | $20,000 | thousands by filing date | |
| ADVENT SOFTWARE INC | 007974108 | COM | 571 | $20,000 | thousands by filing date | |
| LAKES GAMING INC COM | 51206P109 | COM | 5,000 | $20,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,329 | $20,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,262 | $20,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 1,175 | $20,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,366 | $20,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 9,000 | $20,000 | thousands by filing date | principal |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 2,021 | $19,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 695 | $19,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 1,500 | $19,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 4,500 | $19,000 | thousands by filing date | put |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 500 | $19,000 | thousands by filing date | |
| ZILLOW INC | 98954A107 | COMMON STOCK | 235 | $19,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 900 | $19,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,500 | $19,000 | thousands by filing date | |
| TOWER GROUP INTERNATIONAL LT | G8988C105 | COM | 5,515 | $19,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 206 | $19,000 | thousands by filing date | |
| AUTONAVI HLDGS LTD | 05330F106 | SPONSORED ADR | 1,321 | $19,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,000 | $19,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 12,837 | $19,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 11,300 | $19,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 4,000 | $19,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 6,024 | $19,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,400 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,700 | $19,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 239 | $18,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 26,040 | $18,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,041 | $18,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 172 | $18,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,328 | $18,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 1,538 | $18,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,845 | $18,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,298 | $18,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,542 | $18,000 | thousands by filing date | |
| ASM INTERNATIONAL NV | N07045102 | Common Stock | 543 | $18,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 741 | $18,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 500 | $18,000 | thousands by filing date | |
| GREATBATCH INC | 39153L106 | COM | 410 | $18,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 1,750 | $18,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 2,000 | $18,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,468 | $18,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 1,200 | $18,000 | thousands by filing date | |
| NUVEEN MA DIV AD MUNI FD | 67069P101 | cs | 1,500 | $18,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 510 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 664 | $18,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 300 | $17,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 632 | $17,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 10,955 | $17,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 200 | $17,000 | thousands by filing date | call |
| Morningstar Wide Moat | 57060U134 | Common | 599 | $17,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,100 | $17,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,800 | $17,000 | thousands by filing date | |
| PIONEER SOUTHWEST ENERGY | 72388B106 | COMMON STOCK | 400 | $17,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 6,000 | $17,000 | thousands by filing date | call |
| FLEETMATICS GROUP PLC | G35569105 | COM | 390 | $17,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 8,200 | $17,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 420 | $17,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 1,400 | $17,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 3,000 | $17,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 500 | $17,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 410 | $17,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 3,617 | $16,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 600 | $16,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 300 | $16,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 1,250 | $16,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 1,997 | $16,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 430 | $16,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 715 | $16,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 489 | $16,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 12,800 | $16,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,200 | $16,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P203 | COM NEW | 14,800 | $16,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 488 | $16,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 8,000 | $16,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 540 | $16,000 | thousands by filing date | |
| GLOBE SPECIALTY METALS INC | 37954N206 | COM | 878 | $16,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 591 | $16,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 1,400 | $16,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 872 | $16,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 188 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 350 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 600 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 222 | $16,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 2,000 | $16,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 300 | $15,000 | thousands by filing date | call |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 2,000 | $15,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 356 | $15,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 867 | $15,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 587 | $15,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,000 | $15,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 1,750 | $15,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS I | 45773H102 | COM | 5,322 | $15,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,917 | $15,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 8,393 | $15,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 3,055 | $15,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 1,000 | $15,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,708 | $15,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 1,625 | $15,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 17,650 | $15,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 273 | $15,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 4,000 | $15,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 600 | $15,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 500 | $15,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 400 | $15,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 241 | $14,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 216 | $14,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 562 | $14,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 2,244 | $14,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 340 | $14,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 605 | $14,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 569 | $14,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 350 | $14,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 1,061 | $14,000 | thousands by filing date | |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 1,500 | $14,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 293 | $14,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 750 | $14,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 576 | $14,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 750 | $14,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 2,000 | $14,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,000 | $14,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 175 | $14,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 300 | $13,000 | thousands by filing date | call |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 960 | $13,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 1,000 | $13,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 1,330 | $13,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 824 | $13,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 660 | $13,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 450 | $13,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 1,544 | $13,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 450 | $13,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 10,055 | $13,000 | thousands by filing date | |
| NV ENERGY INC | 67073Y106 | COM | 541 | $13,000 | thousands by filing date | |
| ANNIES INC | 03600T104 | COM | 300 | $13,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 788 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 450 | $13,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 294 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 220 | $12,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,551 | $12,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 500 | $12,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 1,000 | $12,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 313 | $12,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 430 | $12,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 1,461 | $12,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 322 | $12,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 289 | $12,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 400 | $12,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 1,100 | $12,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 4,050 | $12,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 505 | $12,000 | thousands by filing date | |
| MOLYCORP INC $0.055 PFD | 608753208 | PREFERRED | 1,000 | $12,000 | thousands by filing date | principal |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 10,000 | $12,000 | thousands by filing date | principal |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 384 | $12,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 132 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288547 | RETAIL CAP IDX | 353 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 447 | $12,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,532 | $11,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 1,000 | $11,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 557 | $11,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 544 | $11,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 1,000 | $11,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,000 | $11,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 1,116 | $11,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 771 | $11,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 11,000 | $11,000 | thousands by filing date | principal |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,000 | $11,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 7,300 | $11,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 7,200 | $11,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 1,220 | $11,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 5,000 | $11,000 | thousands by filing date | principal |
| GLATFELTER | 377316104 | COM | 400 | $11,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 2,100 | $11,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 1,500 | $11,000 | thousands by filing date | |
| ZOLTEK COS INC | 98975W104 | COM | 685 | $11,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $11,000 | thousands by filing date | principal |
| GAZIT GLOBE LTD | M4793C102 | SHS | 821 | $11,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 2,125 | $11,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 1,600 | $11,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 1,451 | $11,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 600 | $11,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 428 | $11,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 200 | $10,000 | thousands by filing date | put |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 100 | $10,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,000 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 85 | $10,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 200 | $10,000 | thousands by filing date | call |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 1,100 | $10,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 817 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 703 | $10,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 200 | $10,000 | thousands by filing date | call |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 607 | $10,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 297 | $10,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 750 | $10,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 3,030 | $10,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 500 | $10,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,550 | $10,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 164 | $10,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 303 | $10,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 40,090 | $10,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 7,500 | $10,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AN3 | NOTE | 3,000 | $10,000 | thousands by filing date | principal |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 244 | $10,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 2,000 | $10,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 500 | $10,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 483 | $10,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 5,000 | $10,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 724 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 500 | $10,000 | thousands by filing date | |
| ISHARES TR | 464289172 | MSCI EM MK FNL | 396 | $10,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772AQ6 | NOTE 5.500% 7/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $10,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 750 | $10,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 100 | $10,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 1,352 | $9,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 134 | $9,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 566 | $9,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 301 | $9,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 200 | $9,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $9,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 398 | $9,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 151 | $9,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 320 | $9,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 1,500 | $9,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 4,000 | $9,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 5,000 | $9,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 3,477 | $9,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 572 | $9,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 500 | $9,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 221 | $9,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,100 | $9,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC | 795435106 | COM | 100 | $9,000 | thousands by filing date | call |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 2,500 | $9,000 | thousands by filing date | call |
| ZYGO CORP | 989855101 | COM | 600 | $9,000 | 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 |