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 |
|---|---|---|---|---|---|---|
| HYPERDYNAMICS CORP | 448954206 | COM | 2,367 | $9,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 300 | $8,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 98 | $8,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 100 | $8,000 | thousands by filing date | call |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,000 | $8,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 1,214 | $8,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 318 | $8,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 86 | $8,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 340 | $8,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 2,700 | $8,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,000 | $8,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 400 | $8,000 | thousands by filing date | |
| OM GROUP INC | 670872100 | COM | 201 | $8,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 14,631 | $8,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 2,000 | $8,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS 3.000/15/24 | 018804AK0 | NOTE | 5,000 | $8,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 6,000 | $8,000 | thousands by filing date | principal |
| JOES JEANS INC | 47777N101 | COM | 7,000 | $8,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 707 | $8,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 5,600 | $8,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 1,000 | $8,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 736 | $8,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 500 | $8,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 1,400 | $8,000 | thousands by filing date | |
| NOAH ED HLDGS LTD | 65487R303 | ADR | 3,000 | $8,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $8,000 | thousands by filing date | |
| SUNGY MOBILE LTD | 86737M100 | ADR | 400 | $8,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 2,000 | $7,000 | thousands by filing date | call |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 300 | $7,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 162 | $7,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 227 | $7,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 350 | $7,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 587 | $7,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 600 | $7,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 702 | $7,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 710 | $7,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,239 | $7,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 300 | $7,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 3,000 | $7,000 | thousands by filing date | call |
| AMCOL INTERNATIONAL CORP | 02341W103 | COMMON STOCK | 224 | $7,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 2,360 | $7,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 4,001 | $7,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 2,500 | $7,000 | thousands by filing date | put |
| CUBIST PHARMACEUTICALS INC | 229678107 | COM | 100 | $7,000 | thousands by filing date | call |
| ENGILITY HLDGS INC | 29285W104 | COM | 215 | $7,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 1,000 | $7,000 | thousands by filing date | call |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 6,000 | $7,000 | thousands by filing date | principal |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 2,000 | $7,000 | thousands by filing date | put |
| NOVACOPPER INC | 66988K102 | COM | 4,607 | $7,000 | thousands by filing date | |
| BURGER KING WORLDWIDE INC | 121220107 | COM | 300 | $7,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 555 | $7,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 2,000 | $7,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 800 | $7,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 8,900 | $7,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $7,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 359 | $7,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 68 | $7,000 | thousands by filing date | |
| MEDIABISTRO INC | 58448U101 | COM | 2,285 | $7,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 5,303 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 499 | $7,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 1,500 | $7,000 | thousands by filing date | |
| AETRIUM INC | 00817R202 | COM NEW | 1,000 | $7,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 356 | $6,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 4,238 | $6,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 100 | $6,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 121 | $6,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 259 | $6,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| ARTS WAY MFG INC | 043168103 | COM | 1,000 | $6,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 2,500 | $6,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 200 | $6,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 12,000 | $6,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $6,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 2,000 | $6,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 1,685 | $6,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 1,246 | $6,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,000 | $6,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 424 | $6,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 130 | $6,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23338T101 | COM | 467 | $6,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 774 | $6,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 4,450 | $6,000 | thousands by filing date | |
| CHELSEA THERAPEUTICS INTL LT | 163428105 | COM | 1,300 | $6,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 1,000 | $6,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 3,300 | $6,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 3,000 | $6,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 1,000 | $6,000 | thousands by filing date | principal |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 3,000 | $6,000 | thousands by filing date | principal |
| VOLTARI CORP NEW | 92870X309 | COM | 1,691 | $6,000 | thousands by filing date | |
| POWERSHARES MENA | 73936Q603 | MENA FRNTR ETF | 500 | $6,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 5,600 | $6,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R809 | 15YR US TRS FD | 58 | $6,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 500 | $6,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 100 | $5,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 250 | $5,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 102 | $5,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 103 | $5,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 100 | $5,000 | thousands by filing date | call |
| LENNAR CORP CL B | 526057302 | Stock | 158 | $5,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 176 | $5,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 600 | $5,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 371 | $5,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 100 | $5,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 275 | $5,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 200 | $5,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 100 | $5,000 | thousands by filing date | call |
| TEAM INC | 878155100 | COM | 110 | $5,000 | thousands by filing date | |
| BBCN BANCORP INC | 073295107 | COM | 284 | $5,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 238 | $5,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 1,000 | $5,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 2,700 | $5,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 5,300 | $5,000 | thousands by filing date | call |
| HEALTHWAYS INC | 422245100 | COM | 300 | $5,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 119 | $5,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 600 | $5,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 265 | $5,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,323 | $5,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 500 | $5,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 1,000 | $5,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| CHEROKEE INC | 16444H102 | COM | 380 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 100 | $5,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 139 | $5,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 2,000 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 167 | $5,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 194 | $5,000 | thousands by filing date | |
| LDR HLDG CORP | 50185U105 | COM | 200 | $5,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 200 | $5,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,000 | $4,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 2,119 | $4,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 100 | $4,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,666 | $4,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 214 | $4,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 68 | $4,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 230 | $4,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 68 | $4,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 2,000 | $4,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 229 | $4,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 500 | $4,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 250 | $4,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 200 | $4,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 194 | $4,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,026 | $4,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 65 | $4,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 278 | $4,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 251 | $4,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 180 | $4,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 2,000 | $4,000 | thousands by filing date | put |
| QLT INC | 746927102 | COMMON STOCK | 749 | $4,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 3 | $4,000 | thousands by filing date | principal |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 45 | $4,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 150 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739H263 | FUND | 88 | $4,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAB6 | DBCV 2.750% 8/1 | 4,000 | $4,000 | thousands by filing date | principal |
| EDUCATION RLTY TR INC | 28140H104 | COM | 431 | $4,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 4,000 | $4,000 | thousands by filing date | principal |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 276 | $4,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 75 | $4,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 1,700 | $4,000 | thousands by filing date | |
| VOCUS INC | 92858J108 | COM | 354 | $4,000 | thousands by filing date | |
| COLEMAN CABLE INC | 193459302 | COM | 141 | $4,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 100 | $4,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 157 | $4,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 2,000 | $4,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 2,000 | $4,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 1,361 | $4,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 375 | $4,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 1,260 | $4,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 1,250 | $4,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 750 | $4,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 440 | $4,000 | thousands by filing date | |
| PROMOTORA DE INFORMACIONES-A | 74343G204 | CMN | 2,000 | $4,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 500 | $4,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 130 | $4,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 330 | $4,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 3,000 | $4,000 | thousands by filing date | |
| ATLATSA RES CORP | 049477102 | COM | 7,500 | $4,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 300 | $4,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 200 | $4,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 3,466 | $4,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 100 | $3,000 | thousands by filing date | call |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 200 | $3,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 170 | $3,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 96 | $3,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 107 | $3,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 246 | $3,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 152 | $3,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 150 | $3,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 60 | $3,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 100 | $3,000 | thousands by filing date | call |
| TCW CONV SECS FD INC | 872340104 | COM | 600 | $3,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 81 | $3,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 200 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 166 | $3,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 100 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 91 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 325 | $3,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 2,000 | $3,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 4,000 | $3,000 | thousands by filing date | principal |
| PIXELWORKS INC | 72581M305 | COM NEW | 633 | $3,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 160 | $3,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 900 | $3,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 104 | $3,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 129 | $3,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 38 | $3,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 622 | $3,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 125 | $3,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 124 | $3,000 | thousands by filing date | |
| CASH STORE FINL SVCS INC | 14756F103 | COM | 1,750 | $3,000 | thousands by filing date | |
| HFF INC | 40418F108 | CL A | 119 | $3,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 300 | $3,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 1,375 | $3,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 400 | $3,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 2,489 | $3,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 2,000 | $3,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 93 | $3,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 1,000 | $3,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 422 | $3,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 181 | $3,000 | thousands by filing date | |
| CHINDEX INTERNATIONAL INC | 169467107 | COM | 150 | $3,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 150 | $3,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 2,500 | $3,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 500 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 200 | $3,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 1,712 | $3,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 150 | $3,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 300 | $3,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 870 | $3,000 | thousands by filing date | |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 5,721 | $3,000 | thousands by filing date | |
| EQUINIX INC | 29444UAG1 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 47 | $3,000 | thousands by filing date | |
| GYRODYNE CO AMER INC | 403820103 | COM | 250 | $3,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 2,000 | $3,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 100 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 82 | $3,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 666 | $3,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| OXYGEN BIOTHERAPEUTICS INC | 69207P308 | COM PAR $0.0001 | 709 | $3,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 296 | $3,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 200 | $3,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K105 | CL A SHS | 2,125 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 55 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 51 | $3,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641828 | LIVESTK ETN 38 | 150 | $3,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 1,400 | $3,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 470 | $3,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 106 | $3,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526401 | COM NEW ADDED | 1,187 | $3,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 59 | $2,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 88 | $2,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 60 | $2,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 5,000 | $2,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 71 | $2,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,000 | $2,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 96 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 34 | $2,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 170 | $2,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 138 | $2,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 750 | $2,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 333 | $2,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 1,000 | $2,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 39 | $2,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 150 | $2,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 300 | $2,000 | thousands by filing date | |
| BODY CENTRAL CORP | 09689U102 | COM | 505 | $2,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 2,000 | $2,000 | thousands by filing date | principal |
| PHARMATHENE INC | 71714G102 | COM | 1,012 | $2,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 98 | $2,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 1,000 | $2,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 200 | $2,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 40 | $2,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 1,000 | $2,000 | thousands by filing date | principal |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 300 | $2,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 200 | $2,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 450 | $2,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 218 | $2,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 173 | $2,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 300 | $2,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 16 | $2,000 | thousands by filing date | principal |
| VIVUS INC | 928551100 | COM | 200 | $2,000 | thousands by filing date | call |
| LOCAL CORP | 53954W104 | COM | 1,000 | $2,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 6,000 | $2,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 4,500 | $2,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| YRC WORLDWIDE INC | 984249607 | COM | 113 | $2,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 2,150 | $2,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 100 | $2,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 160 | $2,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 710 | $2,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 100 | $2,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIO | 205826AF7 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 72 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 100 | $2,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 800 | $2,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 642 | $2,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 50 | $2,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 200 | $1,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 100 | $1,000 | thousands by filing date | call |
| CORVEL CORP COM | 221006109 | Stock | 23 | $1,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 59 | $1,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 166 | $1,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 400 | $1,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 26 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 750 | $1,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 59 | $1,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 45 | $1,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 115 | $1,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 28 | $1,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 112 | $1,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 22 | $1,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 300 | $1,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 15 | $1,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 36 | $1,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 100 | $1,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 90 | $1,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 100 | $1,000 | thousands by filing date | put |
| PDL BIOPHARMA INC | 69329Y104 | COM | 100 | $1,000 | thousands by filing date | call |
| EXPRESS INC | 30219E103 | COMMON STOCK | 71 | $1,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 1,920 | $1,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 77 | $1,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 222 | $1,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 1,000 | $1,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 115 | $1,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 50 | $1,000 | thousands by filing date | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| ORAGENICS INC | 684023203 | COM NEW | 500 | $1,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 109 | $1,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 314 | $1,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017117 | UNIT 99/99/9999 | 14 | $1,000 | thousands by filing date | principal |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 1,640 | $1,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 264 | $1,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 1,000 | $1,000 | thousands by filing date | |
| DOUBLE EAGLE PETE CO | 258570209 | COM PAR $0.10 | 250 | $1,000 | thousands by filing date | |
| SPANSION INC | 84649R200 | COM CL A NEW | 62 | $1,000 | thousands by filing date | |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 4,000 | $1,000 | thousands by filing date | principal |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 16 | $1,000 | thousands by filing date | |
| STERLING FINL CORP WASH | 859319303 | COM NEW | 37 | $1,000 | thousands by filing date | |
| MICREL INC | 594793101 | COM | 126 | $1,000 | thousands by filing date | |
| DIGITAL GENERATION INC | 25400B108 | COM | 82 | $1,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 17 | $1,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 200 | $1,000 | thousands by filing date | |
| SILICON IMAGE INC | 82705T102 | COM | 92 | $1,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 241 | $1,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 115 | $1,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 470 | $1,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 148 | $1,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 1,000 | $1,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 300 | $1,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 100 | $1,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 585 | $1,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 383 | $1,000 | thousands by filing date | |
| LCA-VISION INC | 501803308 | COM | 148 | $1,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 48 | $1,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 49 | $1,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 639 | $1,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 54 | $1,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 1,001 | $1,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 803 | $1,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 204 | $1,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 58 | $1,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 1,000 | $1,000 | thousands by filing date | principal |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 250 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 40 | $1,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 1,100 | $1,000 | thousands by filing date | |
| BLUEPHOENIX SOLUTIONS LTD | M20157117 | SHS NEW | 250 | $1,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 1,000 | $1,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 200 | $1,000 | thousands by filing date | |
| COEUR MNG INC | 192108116 | *W EXP 04/16/201 | 584 | $1,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 42 | $1,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 96 | $1,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 28 | $1,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 200 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 36 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 36 | $1,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 330 | $1,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 27 | $1,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 175 | $1,000 | thousands by filing date | |
| NRG YIELD INC | 62942X108 | CL C | 34 | $1,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COCA COLA CONS INC | 191098102 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACCURAY INC DEL | 004397105 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLUEBIRD BIO INC | 09609G100 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STAMPS COM INC | 852857200 | COM NEW | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LANTRONIX INC | 516548203 | COMMON STOCK | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| U S GLOBAL INVS INC | 902952100 | CL A | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ULTRALIFE CORP | 903899102 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| LO JACK CORP | 539451104 | COMMON STOCK | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGENUS INC | 00847G705 | COM NEW | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 287 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CITIZENS HLDG CO MISS | 174715102 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PFSWEB INC | 717098206 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENDRELL CORP | 70686R104 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EPIZYME INC | 29428V104 | COM | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| P & F INDS INC | 692830508 | CL A NEW | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERMOLECULAR INC | 45882D109 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLDWATER CREEK INC | 193068202 | COM | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 155 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 131 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLOW INTL CORP | 343468104 | COM | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEMCELLS INC | 85857R204 | COM NEW | 350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOT HILL SYS CORP | 25848T109 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTELLICHECK MOBILISA INC | 45817G102 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| L+L ENERGY INC | 50162D100 | COM | 848 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 425 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USEC INC | 90333E207 | COMMON | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 71 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 169 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 115 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LAPORTE BANCORP INC MD | 516651106 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CSR PLC | 12640Y205 | SPONSORED ADR | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REVETT MINERALS INC | 761505205 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IBIO INC | 451033104 | COM | 38 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QAD INC-B | 74727D207 | Common | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMBIENT CORP | 02318N201 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 8,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADVISION INC | 111412706 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBALSCAPE INC | 37940G109 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTREMED INC | 29382F202 | COM | 145 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464289586 | CMN | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORMEDIX INC | 21900C118 | *W EXP 03/24/201 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTAIR NANOTECHNOLOGIES INC | 021373303 | COM PAR $0.001 | 93 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OTELCO INC | 688823301 | CL A NEW | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA PRECISION STEEL INC | 16941J205 | COM NEW | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TOP SHIPS INC | Y8897Y123 | SHS | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74348A624 | PSHS UL1000NEW | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIME ENERGY CO COM | 53261U304 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LILIS ENERGY INC | 532403102 | Cmn | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AASTROM BIOSCIENCES INC | 00253U404 | COM PAR$ | 79 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWLEAD HOLDINGS LTD | G64626149 | SHS PAR $0.01 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |