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 |
|---|---|---|---|---|---|---|
| PG&E CORP COM | 69331C108 | Stock | 155,100 | $6,248,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 63,330 | $6,240,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 233,989 | $6,227,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 53,408 | $6,224,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 106,466 | $6,223,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 186,950 | $6,207,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 329,357 | $6,205,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 113,525 | $6,183,000 | thousands by filing date | |
| ISHARES TR | 464287135 | NYSE 100INX FD | 72,979 | $6,181,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 73,801 | $6,179,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 688,544 | $6,176,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 64,421 | $6,173,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 89,021 | $6,164,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 200,000 | $6,160,000 | thousands by filing date | put |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 108,957 | $6,158,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 615,256 | $6,153,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 233,550 | $6,137,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 310,800 | $6,132,000 | thousands by filing date | call |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 100,000 | $6,127,000 | thousands by filing date | put |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 46,661 | $6,058,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 129,564 | $6,054,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 160,000 | $6,053,000 | thousands by filing date | call |
| BXP INC COM | 101121101 | REIT | 60,249 | $6,048,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 313,117 | $6,028,000 | thousands by filing date | |
| ENDURANCE SPECIALTY HLDGS LT | G30397106 | SHS | 102,713 | $6,026,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 72,109 | $5,996,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 103,533 | $5,966,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 91,800 | $5,964,000 | thousands by filing date | call |
| FIRST AMERN FINL CORP | 31847R102 | COM | 211,407 | $5,962,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 127,050 | $5,962,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 109,110 | $5,961,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 195,364 | $5,956,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 188,800 | $5,947,000 | thousands by filing date | call |
| NETAPP INC COM | 64110D104 | Stock | 144,500 | $5,945,000 | thousands by filing date | call |
| APOLLO GROUP INC | 037604105 | CL A | 217,559 | $5,945,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 207,214 | $5,930,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 146,600 | $5,923,000 | thousands by filing date | put |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 237,399 | $5,918,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 199,801 | $5,896,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 285,304 | $5,877,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 208,708 | $5,877,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 39,000 | $5,867,000 | thousands by filing date | put |
| ABAXIS INC | 002567105 | COM | 146,206 | $5,850,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 117,348 | $5,841,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 116,984 | $5,836,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 41,288 | $5,833,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 446,196 | $5,832,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 166,000 | $5,819,000 | thousands by filing date | put |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 49,240 | $5,817,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 130,849 | $5,813,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 5,000 | $5,812,000 | thousands by filing date | call |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 5,501,000 | $5,802,000 | thousands by filing date | principal |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 60,423 | $5,790,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 52,629 | $5,790,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 890,757 | $5,773,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 58,133 | $5,770,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 262,914 | $5,769,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 352,567 | $5,760,000 | thousands by filing date | |
| BROOKFIELD RESIDENTIAL PPTYS | 11283W104 | COM | 237,826 | $5,753,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 102,315 | $5,752,000 | thousands by filing date | |
| DENTSPLY INTL INC | 249030107 | COM | 118,561 | $5,747,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 68,208 | $5,735,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 318,495 | $5,720,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 200,500 | $5,698,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 90,200 | $5,694,000 | thousands by filing date | call |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 67,700 | $5,692,000 | thousands by filing date | put |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 183,000 | $5,682,000 | thousands by filing date | call |
| RAYONIER INC COM | 754907103 | REIT | 134,557 | $5,665,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 109,487 | $5,663,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 113,300 | $5,655,000 | thousands by filing date | call |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 236,871 | $5,650,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 391,732 | $5,649,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 173,124 | $5,646,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 38,706 | $5,638,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 946,548 | $5,632,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 555,969 | $5,627,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 112,400 | $5,619,000 | thousands by filing date | call |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 212,484 | $5,605,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 69,763 | $5,601,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 5,474,000 | $5,597,000 | thousands by filing date | principal |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 900,000 | $5,580,000 | thousands by filing date | put |
| US STEEL CORP | 912909AE8 | NOTE | 5,225,000 | $5,578,000 | thousands by filing date | principal |
| DEVRY INC DEL | 251893103 | COM | 157,039 | $5,576,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 224,532 | $5,573,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 314,674 | $5,572,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 40,934 | $5,567,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 116,824 | $5,563,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 153,217 | $5,540,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 394,257 | $5,539,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 80,244 | $5,519,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 116,453 | $5,516,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 85,068 | $5,513,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 30,000 | $5,505,000 | thousands by filing date | put |
| AVERY DENNISON CORP COM | 053611109 | Stock | 109,639 | $5,503,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 148,810 | $5,498,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 225,550 | $5,496,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 93,847 | $5,490,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 100,000 | $5,487,000 | thousands by filing date | call |
| Deere & Company | 244199105 | COM | 60,000 | $5,480,000 | thousands by filing date | put |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 4,050,000 | $5,480,000 | thousands by filing date | principal |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 126,275 | $5,471,000 | thousands by filing date | |
| CONSOLIDATED GRAPHICS INC | 209341106 | COMMON STOCK | 81,095 | $5,469,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 136,753 | $5,455,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 229,478 | $5,453,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 199,211 | $5,433,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 109,752 | $5,407,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 110,200 | $5,403,000 | thousands by filing date | call |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 108,982 | $5,374,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 196,885 | $5,374,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 292,122 | $5,366,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 53,076 | $5,366,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 114,211 | $5,364,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 79,600 | $5,352,000 | thousands by filing date | put |
| XYLEM INC COM | 98419M100 | Stock | 154,340 | $5,341,000 | thousands by filing date | |
| VALARIS ORD | 920355104 | COM | 74,586 | $5,317,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 87,731 | $5,292,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 79,322 | $5,278,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 64,246 | $5,270,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 176,803 | $5,269,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 127,300 | $5,259,000 | thousands by filing date | call |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 90,198 | $5,257,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 204,758 | $5,255,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 56,600 | $5,254,000 | thousands by filing date | call |
| COMMERCE BANCSHARES INC | 200525103 | COM | 116,829 | $5,247,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 113,581 | $5,234,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 290,025 | $5,226,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 134,736 | $5,224,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 670,198 | $5,221,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 100,100 | $5,216,000 | thousands by filing date | call |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 656,493 | $5,213,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 180,565 | $5,209,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 267,286 | $5,199,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 200,000 | $5,191,000 | thousands by filing date | call |
| AMDOCS LTD | G02602103 | SHS | 125,745 | $5,186,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 231,903 | $5,183,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 73,723 | $5,180,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 70,535 | $5,176,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 4,415,000 | $5,165,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 161,200 | $5,163,000 | thousands by filing date | call |
| ASTA FUNDING INC | 046220109 | COM | 612,846 | $5,160,000 | thousands by filing date | |
| Crown Castle | 228227104 | COM | 70,000 | $5,140,000 | thousands by filing date | put |
| ANN INC | 035623107 | COM | 140,580 | $5,139,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 177,100 | $5,113,000 | thousands by filing date | call |
| Lowes Companies,Inc. | 548661107 | COM | 102,800 | $5,094,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 129,859 | $5,092,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y488 | DLY SC BEAR3XNEW | 300,000 | $5,091,000 | thousands by filing date | call |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 46,503 | $5,088,000 | thousands by filing date | |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 4,490,000 | $5,088,000 | thousands by filing date | principal |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 35,379 | $5,078,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 66,761 | $5,063,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 103,710 | $5,059,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 757,067 | $5,057,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 258,402 | $5,046,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 357,334 | $5,045,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 184,476 | $5,045,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 100,000 | $5,040,000 | thousands by filing date | call |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 261,825 | $5,032,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 71,400 | $5,025,000 | thousands by filing date | put |
| NEWFIELD EXPL CO | 651290108 | COM | 203,971 | $5,024,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 125,906 | $5,022,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 127,218 | $4,983,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 237,421 | $4,981,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 62,718 | $4,980,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 41,974 | $4,979,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 146,200 | $4,977,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 60,544 | $4,956,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 154,829 | $4,955,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 153,784 | $4,950,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 242,522 | $4,945,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 220,139 | $4,942,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 87,894 | $4,938,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 200,000 | $4,926,000 | thousands by filing date | put |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 99,391 | $4,918,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 686,684 | $4,916,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 78,622 | $4,915,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 461,383 | $4,901,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 51,913 | $4,898,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 106,259 | $4,895,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 216,801 | $4,893,000 | thousands by filing date | |
| AXIALL CORP | 05463D100 | COM | 103,163 | $4,893,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 241,924 | $4,885,000 | thousands by filing date | |
| PETROLOGISTICS LP UNIT LTD PARTNERSHIP INT | 71672U101 | COM | 419,058 | $4,882,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 52,248 | $4,880,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 112,777 | $4,866,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 207,047 | $4,838,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 87,908 | $4,836,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 123,293 | $4,817,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 63,800 | $4,814,000 | thousands by filing date | call |
| BERKLEY W R CORP COM | 084423102 | Stock | 110,940 | $4,814,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 58,908 | $4,813,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 135,000 | $4,813,000 | thousands by filing date | call |
| UBS AG | H89231338 | SHS | 249,993 | $4,811,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 145,783 | $4,810,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 271,823 | $4,809,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 197,691 | $4,804,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 164,845 | $4,802,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 276,200 | $4,798,000 | thousands by filing date | call |
| VANGUARD MALVERN FDS | 922020805 | SHS | 96,929 | $4,781,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 58,563 | $4,781,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 182,868 | $4,775,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 147,854 | $4,774,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 70,599 | $4,765,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 227,160 | $4,732,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 4,220,798 | $4,728,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 224,158 | $4,727,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 90,367 | $4,709,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 659,422 | $4,702,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 274,468 | $4,699,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 205,231 | $4,689,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 325,492 | $4,680,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 136,228 | $4,646,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 114,728 | $4,637,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 172,801 | $4,634,000 | thousands by filing date | |
| SUN CMNTYS INC COM | 866674104 | REIT | 108,592 | $4,630,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 60,000 | $4,628,000 | thousands by filing date | put |
| MANITOWOC COMPANY INC | 563571108 | COM | 197,554 | $4,607,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 2,000,000 | $4,584,000 | thousands by filing date | principal |
| ALCOA INC | 013817101 | COM | 431,000 | $4,582,000 | thousands by filing date | call |
| QUANTA SVCS INC | 74762E102 | COM | 144,980 | $4,576,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 3,000,000 | $4,573,000 | thousands by filing date | principal |
| ELIZABETH ARDEN INC | 28660G106 | COM | 128,401 | $4,552,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 48,038 | $4,540,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 63,877 | $4,539,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 175,751 | $4,531,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 321,913 | $4,526,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 320,200 | $4,521,000 | thousands by filing date | put |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 380,312 | $4,499,000 | thousands by filing date | call |
| NEWMONT CORP | 651639106 | COM | 195,000 | $4,491,000 | thousands by filing date | put |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 70,559 | $4,489,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 33,100 | $4,485,000 | thousands by filing date | put |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 36,314 | $4,468,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 196,010 | $4,462,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 231,935 | $4,452,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 94,156 | $4,450,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 50,000 | $4,450,000 | thousands by filing date | put |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 50,000 | $4,450,000 | thousands by filing date | call |
| BROADCOM CORP | 111320107 | CL A | 150,000 | $4,447,000 | thousands by filing date | put |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 125,800 | $4,445,000 | thousands by filing date | call |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 169,164 | $4,439,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 133,947 | $4,430,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 216,747 | $4,414,000 | thousands by filing date | |
| BABCOCK & WILCOX CO NEW | 05615F102 | COM | 129,102 | $4,414,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 341,960 | $4,398,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 78,499 | $4,398,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 68,200 | $4,398,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 622,231 | $4,394,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 146,453 | $4,387,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 179,933 | $4,379,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 128,750 | $4,368,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 93,700 | $4,368,000 | thousands by filing date | call |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 63,734 | $4,364,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 52,549 | $4,361,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 27,179 | $4,351,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 4,154,000 | $4,351,000 | thousands by filing date | principal |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 219,273 | $4,346,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 353,523 | $4,327,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 81,768 | $4,326,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 67,671 | $4,318,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 225,425 | $4,316,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 138,831 | $4,311,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 73,608 | $4,303,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 100,000 | $4,298,000 | thousands by filing date | call |
| H & Q HEALTHCARE INVESTORS | 404052102 | SH BEN INT | 159,153 | $4,293,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 380,321 | $4,286,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 100,163 | $4,286,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 556,858 | $4,283,000 | thousands by filing date | |
| NIELSEN HOLDINGS N V | N63218106 | COM | 93,210 | $4,277,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 51,000 | $4,272,000 | thousands by filing date | put |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 133,463 | $4,269,000 | thousands by filing date | |
| EL PASO PIPELINE PARTNERS | 283702108 | COMMON STOCK | 118,504 | $4,265,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 391,175 | $4,260,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 172,518 | $4,256,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 239,934 | $4,247,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 52,600 | $4,245,000 | thousands by filing date | put |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 80,889 | $4,234,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 47,067 | $4,229,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 63,600 | $4,217,000 | thousands by filing date | call |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 140,733 | $4,204,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 178,183 | $4,203,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 106,168 | $4,201,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 1,635,303 | $4,187,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 358,466 | $4,176,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 181,210 | $4,155,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 134,851 | $4,155,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 50,000 | $4,147,000 | thousands by filing date | call |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 718,575 | $4,139,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 125,299 | $4,136,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 87,919 | $4,134,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 243,399 | $4,133,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 294,438 | $4,126,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 189,355 | $4,120,000 | thousands by filing date | |
| ENERGIZER HLDGS INC | 29266R108 | COM | 38,049 | $4,118,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 41,616 | $4,114,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 71,200 | $4,110,000 | thousands by filing date | call |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 214,420 | $4,100,000 | thousands by filing date | |
| FOREST LABS INC | 345838106 | COM | 68,211 | $4,095,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AR4 | NOTE 1.875% 8/0 | 1,778,000 | $4,092,000 | thousands by filing date | principal |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 26,239 | $4,089,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 57,460 | $4,080,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 414,515 | $4,074,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694AB3 | NOTE 3.800% 7/0 | 3,184,000 | $4,061,000 | thousands by filing date | principal |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 34,249 | $4,049,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 100,000 | $4,047,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 124,421 | $4,018,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 90,973 | $4,013,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 176,530 | $4,000,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 40,000 | $3,998,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 173,959 | $3,991,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 118,703 | $3,987,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 196,900 | $3,975,000 | thousands by filing date | put |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 38,599 | $3,974,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 97,554 | $3,967,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 107,936 | $3,956,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 150,300 | $3,951,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 221,575 | $3,937,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 159,899 | $3,936,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 79,976 | $3,932,000 | thousands by filing date | |
| BEMIS INC | 081437105 | COM | 95,905 | $3,927,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 83,000 | $3,923,000 | thousands by filing date | put |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 58,283 | $3,922,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAC6 | NOTE 6.250% | 3,614,000 | $3,914,000 | thousands by filing date | principal |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 99,718 | $3,911,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 70,956 | $3,908,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 176,716 | $3,906,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 80,510 | $3,899,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 86,133 | $3,890,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 38,876 | $3,888,000 | thousands by filing date | |
| KODIAK OIL & GAS CORP | 50015Q100 | COM | 346,285 | $3,882,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 143,183 | $3,879,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 78,412 | $3,877,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 33,301 | $3,870,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 185,418 | $3,870,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 73,779 | $3,862,000 | thousands by filing date | |
| DFC GLOBAL CORP | 256664AC7 | NOTE | 4,000,000 | $3,853,000 | thousands by filing date | principal |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 113,407 | $3,851,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 11,522 | $3,850,000 | thousands by filing date | |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 85,232 | $3,847,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 56,295 | $3,834,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 80,400 | $3,826,000 | thousands by filing date | put |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 23,724 | $3,820,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 105,882 | $3,814,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 59,855 | $3,809,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 289,164 | $3,808,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 169,400 | $3,800,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 55,234 | $3,784,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 110,889 | $3,776,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 280,633 | $3,772,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 218,442 | $3,762,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 83,264 | $3,748,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 138,571 | $3,747,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 53,299 | $3,746,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 63,224 | $3,742,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 74,236 | $3,738,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 90,000 | $3,730,000 | thousands by filing date | call |
| BALL CORP | 058498106 | COM | 72,161 | $3,728,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 44,843 | $3,722,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 31,417 | $3,718,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 70,476 | $3,710,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 42,049 | $3,708,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 45,900 | $3,704,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 110,320 | $3,699,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 44,700 | $3,681,000 | thousands by filing date | call |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 438,828 | $3,670,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 202,239 | $3,667,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 127,152 | $3,651,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 58,830 | $3,639,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 50,692 | $3,637,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 53,124 | $3,629,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 65,768 | $3,625,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 28,568 | $3,615,000 | thousands by filing date | |
| RACKSPACE HOSTING INC | 750086100 | COM | 92,240 | $3,609,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 114,200 | $3,605,000 | thousands by filing date | put |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 33,804 | $3,599,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 224,597 | $3,596,000 | thousands by filing date | |
| ROCKWOOD HLDGS INC | 774415103 | COM | 50,000 | $3,596,000 | thousands by filing date | put |
| Schwab US TIPS ETF | 808524870 | SHS | 67,938 | $3,585,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 59,820 | $3,576,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435116 | COMMON STOCK-FO | 3,721,322 | $3,572,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 124,272 | $3,570,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 200,000 | $3,568,000 | thousands by filing date | put |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 291,417 | $3,562,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 34,300 | $3,551,000 | thousands by filing date | call |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 70,073 | $3,538,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 46,700 | $3,531,000 | thousands by filing date | put |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 137,203 | $3,526,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 25,000 | $3,524,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 100,000 | $3,516,000 | thousands by filing date | put |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 386,760 | $3,508,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 158,104 | $3,505,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 98,669 | $3,505,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 41,122 | $3,498,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 75,000 | $3,497,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 40,000 | $3,485,000 | thousands by filing date | call |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 74,977 | $3,485,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 1,371,618 | $3,483,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 83,802 | $3,479,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 312,791 | $3,478,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 199,900 | $3,478,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 266,270 | $3,475,000 | thousands by filing date | |
| PAA NAT GAS STORAGE L P | 693139107 | COM UNIT LTD | 151,089 | $3,475,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 113,300 | $3,473,000 | thousands by filing date | put |
| T-Mobile US,Inc. | 872590104 | COM | 103,058 | $3,467,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 426,829 | $3,453,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 50,000 | $3,451,000 | thousands by filing date | put |
| CRANE CO | 224399105 | COM | 51,260 | $3,448,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 77,743 | $3,436,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 122,423 | $3,421,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 36,651 | $3,420,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 125,022 | $3,419,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 92,754 | $3,413,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 124,444 | $3,412,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 30,500 | $3,409,000 | thousands by filing date | call |
| PETSMART INC | 716768106 | COM | 46,864 | $3,409,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 32,900 | $3,406,000 | thousands by filing date | put |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 25,013 | $3,402,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 64,749 | $3,400,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 46,095 | $3,390,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 58,500 | $3,388,000 | thousands by filing date | put |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 42,000 | $3,388,000 | thousands by filing date | call |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 359,600 | $3,387,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 81,030 | $3,382,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 70,000 | $3,377,000 | thousands by filing date | call |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 38,035 | $3,377,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 65,200 | $3,377,000 | thousands by filing date | call |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 387,440 | $3,375,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 71,940 | $3,372,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 90,113 | $3,369,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 64,900 | $3,360,000 | thousands by filing date | call |
| CUSHING RENAISSANCE FD | 231647108 | COM | 133,735 | $3,349,000 | thousands by filing date | |
| TECHNE CORP | 878377100 | COM | 35,336 | $3,345,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 38,856 | $3,332,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 35,273 | $3,327,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 465,601 | $3,326,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 35,631 | $3,323,000 | thousands by filing date | |
| IDEX CORP COM | 45167R104 | Stock | 44,911 | $3,317,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 66,748 | $3,313,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 53,677 | $3,311,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 31,909 | $3,304,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 979,825 | $3,302,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 23,500 | $3,296,000 | thousands by filing date | call |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 205,604 | $3,292,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 50,000 | $3,288,000 | thousands by filing date | call |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 61,846 | $3,270,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 2,000,000 | $3,270,000 | thousands by filing date | principal |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 29,704 | $3,268,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 38,000 | $3,266,000 | thousands by filing date | put |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 61,685 | $3,262,000 | thousands by filing date | |
| MEADWESTVACO CORP | 583334107 | COM | 88,262 | $3,259,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 55,396 | $3,257,000 | thousands by filing date | |
| PALL CORP | 696429307 | COM | 38,101 | $3,252,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 80,000 | $3,249,000 | thousands by filing date | put |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 137,907 | $3,248,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 100,700 | $3,229,000 | thousands by filing date | |
| TORCHMARK CORP | 891027104 | COM | 41,065 | $3,209,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 173,486 | $3,203,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 172,711 | $3,199,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 59,300 | $3,197,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 50,000 | $3,183,000 | thousands by filing date | call |
| FIFTH & PAC COS INC | 316645100 | COM | 99,045 | $3,177,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 32,076 | $3,175,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 60,283 | $3,165,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 98,009 | $3,164,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 223,670 | $3,152,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 829,202 | $3,152,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 41,071 | $3,148,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 116,000 | $3,147,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 123,251 | $3,145,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 101,133 | $3,142,000 | thousands by filing date | |
| ISHARES INC | 464286566 | MSCI EMKT EUR | 119,632 | $3,130,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 55,093 | $3,117,000 | thousands by filing date | |
| LEXMARK INTL NEW | 529771107 | CL A | 87,700 | $3,115,000 | thousands by filing date | put |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 60,939 | $3,109,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 119,706 | $3,104,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 129,767 | $3,104,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 93,533 | $3,093,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 43,948 | $3,092,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 151,565 | $3,089,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 106,239 | $3,087,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 45,000 | $3,087,000 | thousands by filing date | call |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 365,133 | $3,081,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 169,649 | $3,081,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 93,425 | $3,073,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 88,705 | $3,060,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 190,600 | $3,053,000 | thousands by filing date | put |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 77,197 | $3,044,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 67,239 | $3,033,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 75,000 | $3,032,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 105,974 | $3,032,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 46,746 | $3,023,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 12,603 | $3,021,000 | thousands by filing date | |
| IAC INTERACTIVECORP | 44919P508 | COM | 44,000 | $3,021,000 | thousands by filing date | call |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 1,954,000 | $3,018,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 59,083 | $3,002,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 49,744 | $3,002,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 428,900 | $2,994,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 125,000 | $2,991,000 | thousands by filing date | put |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 28,617 | $2,987,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 190,238 | $2,987,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 55,038 | $2,983,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 10,399 | $2,977,000 | thousands by filing date | principal |
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 |