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 |
|---|---|---|---|---|---|---|
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 479,006 | $2,969,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 36,160 | $2,968,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 150,036 | $2,966,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 40,739 | $2,963,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 80,000 | $2,960,000 | thousands by filing date | put |
| NORTHERN TR CORP COM | 665859104 | Stock | 47,590 | $2,946,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 29,317 | $2,935,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 57,530 | $2,934,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 549,606 | $2,923,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 67,100 | $2,912,000 | thousands by filing date | put |
| AIRCASTLE LTD | G0129K104 | COM | 151,748 | $2,907,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 85,813 | $2,904,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 110,361 | $2,902,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 174,481 | $2,902,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 348,665 | $2,901,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 32,839 | $2,889,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 50,690 | $2,884,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 254,299 | $2,884,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 104,303 | $2,883,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 296,742 | $2,878,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 2,458,000 | $2,876,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 51,264 | $2,875,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 125,207 | $2,875,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 26,185 | $2,869,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 266,995 | $2,868,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 93,750 | $2,864,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 438,679 | $2,861,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 100,809 | $2,861,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 20,200 | $2,847,000 | thousands by filing date | call |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 38,922 | $2,845,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 50,000 | $2,838,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 79,968 | $2,832,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 185,725 | $2,823,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 200,100 | $2,805,000 | thousands by filing date | put |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 110,557 | $2,804,000 | thousands by filing date | principal |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 57,131 | $2,801,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 60,744 | $2,799,000 | thousands by filing date | |
| TORCHMARK CORP | 891027104 | COM | 35,800 | $2,798,000 | thousands by filing date | call |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 269,311 | $2,795,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 108,174 | $2,795,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 63,257 | $2,791,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 55,030 | $2,786,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS INC | 018804104 | COM | 22,896 | $2,786,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 89,948 | $2,783,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 45,387 | $2,782,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 90,700 | $2,776,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 77,425 | $2,775,000 | thousands by filing date | |
| WELLPOINT INC | 94973V107 | COM | 30,000 | $2,772,000 | thousands by filing date | put |
| LEXMARK INTL NEW | 529771107 | CL A | 78,010 | $2,770,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 96,429 | $2,769,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 33,911 | $2,769,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 155,159 | $2,769,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 20,626 | $2,761,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 75,269 | $2,758,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 28,006 | $2,755,000 | thousands by filing date | |
| WORLD KINECT CORPORATION | 981475106 | COM | 63,732 | $2,751,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 52,868 | $2,743,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG | 03938LAK0 | NOTE 5.000% 5/1 | 2,710,000 | $2,742,000 | thousands by filing date | principal |
| FORTUNA MNG CORP F | 349915108 | COM | 953,045 | $2,735,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 70,105 | $2,729,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 300,000 | $2,721,000 | thousands by filing date | put |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 34,868 | $2,720,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 50,000 | $2,719,000 | thousands by filing date | put |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 157,566 | $2,713,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 153,942 | $2,713,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 28,182 | $2,707,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 41,500 | $2,706,000 | thousands by filing date | put |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 178,842 | $2,703,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 63,227 | $2,700,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 69,855 | $2,698,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 92,892 | $2,697,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 32,380 | $2,696,000 | thousands by filing date | |
| URS CORP NEW | 903236107 | COM | 50,800 | $2,692,000 | thousands by filing date | call |
| BARNES GROUP INC | 067806AD1 | BOND | 2,000,000 | $2,688,000 | thousands by filing date | principal |
| THIRD PT REINS LTD | G8827U100 | COM | 144,900 | $2,685,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 42,244 | $2,678,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 42,445 | $2,675,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 32,387 | $2,673,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 108,692 | $2,673,000 | thousands by filing date | |
| PHH CORP | 693320AN3 | CORPORATE OBLIG | 2,500,000 | $2,667,000 | thousands by filing date | principal |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 5,000 | $2,664,000 | thousands by filing date | call |
| SMITH A O CORP COM | 831865209 | Stock | 49,093 | $2,648,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 42,800 | $2,648,000 | thousands by filing date | put |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 182,862 | $2,648,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 101,300 | $2,634,000 | thousands by filing date | put |
| COMSCORE INC | 20564W105 | COM | 92,000 | $2,632,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 85,921 | $2,625,000 | thousands by filing date | |
| BANKUNITED INC | 06652K103 | COM | 79,617 | $2,621,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 24,795 | $2,620,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 211,586 | $2,611,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 281,214 | $2,609,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 267,853 | $2,609,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 457,600 | $2,604,000 | thousands by filing date | call |
| GUGGENHEIM ETF | 78355W866 | cs | 32,198 | $2,602,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 73,378 | $2,601,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 92,521 | $2,599,000 | thousands by filing date | |
| WGL HLDGS INC | 92924F106 | COM | 64,630 | $2,589,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 127,532 | $2,588,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 34,419 | $2,586,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 742,027 | $2,583,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 24,299 | $2,581,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 74,367 | $2,577,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 43,263 | $2,570,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 54,636 | $2,562,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 57,359 | $2,562,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 70,671 | $2,561,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 22,882 | $2,560,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 55,249 | $2,560,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 85,000 | $2,558,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 47,501 | $2,557,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 419,005 | $2,556,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A441 | NUVN CALI MUNI | 116,351 | $2,552,000 | thousands by filing date | |
| JABIL INC COM | 466313103 | Stock | 146,181 | $2,549,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 110,965 | $2,545,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 40,756 | $2,540,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 19,441 | $2,532,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 91,545 | $2,531,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 25,000 | $2,530,000 | thousands by filing date | put |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 29,865 | $2,527,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 100,000 | $2,525,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 48,756 | $2,524,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 73,655 | $2,522,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 895 | $2,502,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 60,004 | $2,493,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 320,551 | $2,491,000 | thousands by filing date | |
| CAREFUSION CORP | 14170T101 | COM | 62,552 | $2,491,000 | thousands by filing date | |
| ISHARES INC | 464286384 | MSCI EMRG EMEA | 46,520 | $2,488,000 | thousands by filing date | |
| MULTIMEDIA GAMES HOLDING CO | 625453105 | COM | 79,305 | $2,487,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 129,736 | $2,482,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 1,797,635 | $2,480,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 220,000 | $2,475,000 | thousands by filing date | call |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 65,000 | $2,469,000 | thousands by filing date | put |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 70,000 | $2,462,000 | thousands by filing date | call |
| PHARMACYCLICS INC | 716933106 | COM | 23,264 | $2,461,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 100,000 | $2,460,000 | thousands by filing date | put |
| HUNTSMAN CORP | 447011107 | COM | 100,000 | $2,460,000 | thousands by filing date | call |
| WESCO INTL INC COM | 95082P105 | Stock | 26,943 | $2,454,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 22,226 | $2,447,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 32,802 | $2,447,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 121,044 | $2,444,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 125,318 | $2,444,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 30,586 | $2,442,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 41,264 | $2,440,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 34,196 | $2,438,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 112,855 | $2,436,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 79,291 | $2,432,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 96,314 | $2,430,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 60,966 | $2,428,000 | thousands by filing date | |
| ISHARES INC | 464286418 | EMKT CNSM DISC | 43,954 | $2,425,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 72,792 | $2,423,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 70,273 | $2,421,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 260,996 | $2,417,000 | thousands by filing date | |
| TIM HORTONS INC | 88706M103 | COM | 41,400 | $2,417,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q825 | VELOSH EMASIA | 41,647 | $2,416,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 117,345 | $2,414,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 50,000 | $2,412,000 | thousands by filing date | put |
| UDR INC COM | 902653104 | REIT | 103,102 | $2,407,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 92,995 | $2,407,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 91,686 | $2,406,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 317,729 | $2,403,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 19,837 | $2,399,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q841 | VELOCSHS EMKTS | 48,385 | $2,397,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 25,787 | $2,393,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 45,787 | $2,392,000 | thousands by filing date | |
| PARTNERRE LTD | G6852T105 | COM | 22,636 | $2,386,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 74,282 | $2,385,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 24,320 | $2,381,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 378,310 | $2,380,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U605 | AGRIBUS ETF | 43,634 | $2,378,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 113,763 | $2,374,000 | thousands by filing date | |
| INTEGRYS ENERGY GROUP INC | 45822P105 | COM | 43,633 | $2,374,000 | thousands by filing date | |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 65,072 | $2,374,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 1,393,694 | $2,369,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 26,223 | $2,367,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 115,508 | $2,363,000 | thousands by filing date | |
| ARRIS GROUP INC | 04270V106 | COM | 96,978 | $2,359,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 604,295 | $2,345,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 54,713 | $2,342,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q833 | VELOSH RUSSSEL | 48,327 | $2,336,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 75,000 | $2,328,000 | thousands by filing date | put |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 83,996 | $2,327,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 256,248 | $2,326,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 65,594 | $2,320,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 63,113 | $2,319,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 53,682 | $2,318,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 40,421 | $2,318,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 495,974 | $2,316,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 28,286 | $2,315,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 82,064 | $2,314,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 22,494 | $2,310,000 | thousands by filing date | |
| IMRIS INC | 45322N105 | COM | 1,449,452 | $2,305,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 120,833 | $2,303,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 115,038 | $2,302,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 139,700 | $2,298,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 291,363 | $2,284,000 | thousands by filing date | |
| CEPHEID | 15670R107 | COM | 48,932 | $2,284,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 54,571 | $2,277,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 106,351 | $2,276,000 | thousands by filing date | |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 145,949 | $2,276,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 125,000 | $2,270,000 | thousands by filing date | call |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 88,972 | $2,270,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 16,411 | $2,268,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 35,800 | $2,265,000 | thousands by filing date | call |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 93,885 | $2,265,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 43,607 | $2,260,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 2,250,000 | $2,256,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 28,938 | $2,255,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 60,691 | $2,252,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 95,603 | $2,251,000 | thousands by filing date | |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 41,761 | $2,251,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 160,450 | $2,250,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 33,866 | $2,250,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 175,188 | $2,249,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 60,577 | $2,248,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 76,021 | $2,246,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 61,438 | $2,246,000 | thousands by filing date | |
| MADISON SQUARE GARDEN CO | 55826P100 | CL A | 38,992 | $2,246,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 194,952 | $2,246,000 | thousands by filing date | |
| MINDRAY MEDICAL INTL LTD | 602675100 | SPON ADR | 61,664 | $2,242,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 49,200 | $2,237,000 | thousands by filing date | call |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 180,880 | $2,234,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 73,543 | $2,231,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 101,749 | $2,230,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 70,700 | $2,227,000 | thousands by filing date | put |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 126,353 | $2,226,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 72,800 | $2,225,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H511 | ADS7.75%PFD S4 | 87,627 | $2,219,000 | thousands by filing date | principal |
| COBIZ FINANCIAL INC | 190897108 | COM | 185,288 | $2,216,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 46,568 | $2,213,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 110,915 | $2,211,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 84,972 | $2,207,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 30,916 | $2,206,000 | thousands by filing date | |
| DFC GLOBAL CORP | 23324T107 | COM | 192,702 | $2,206,000 | thousands by filing date | |
| PVR PARTNERS L P | 693665101 | COM UNIT REPTG L | 82,246 | $2,206,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 280,110 | $2,201,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 141,288 | $2,200,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 133,400 | $2,199,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 95,800 | $2,198,000 | thousands by filing date | put |
| ZIFF DAVIS INC | 48123V102 | COM | 43,868 | $2,194,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 153,533 | $2,192,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 90,000 | $2,191,000 | thousands by filing date | call |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 38,684 | $2,189,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 21,200 | $2,188,000 | thousands by filing date | call |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 37,927 | $2,185,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 114,469 | $2,184,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 44,334 | $2,184,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 46,798 | $2,184,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 112,303 | $2,183,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 26,805 | $2,182,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 104,900 | $2,179,000 | thousands by filing date | put |
| ISHARES TR | 464287192 | US TRSPRTION | 16,460 | $2,171,000 | thousands by filing date | |
| PROSHARES ULTRA RUSS2000 VAL | 74347R479 | PSHS | 37,594 | $2,168,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 185,200 | $2,167,000 | thousands by filing date | call |
| FULTON FINL CORP PA | 360271100 | COM | 165,673 | $2,167,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 2,170,000 | $2,167,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 97,154 | $2,165,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 103,770 | $2,160,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 38,949 | $2,151,000 | thousands by filing date | |
| TRIQUINT SEMICONDUCTOR INC | 89674K103 | COM | 257,849 | $2,150,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 74,946 | $2,149,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 43,276 | $2,147,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 19,856 | $2,145,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 55,851 | $2,145,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 93,169 | $2,143,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 55,424 | $2,138,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 107,835 | $2,137,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 68,761 | $2,136,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 47,772 | $2,135,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 2,000,000 | $2,134,000 | thousands by filing date | principal |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 129,842 | $2,124,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 77,538 | $2,123,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 41,265 | $2,122,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 30,579 | $2,116,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 33,400 | $2,113,000 | thousands by filing date | call |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 20,655 | $2,106,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 32,937 | $2,098,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 69,600 | $2,096,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 17,875 | $2,094,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 35,109 | $2,093,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 150,000 | $2,093,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 34,318 | $2,089,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 35,249 | $2,085,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 20,100 | $2,083,000 | thousands by filing date | call |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 24,432 | $2,080,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 25,000 | $2,078,000 | thousands by filing date | put |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 34,558 | $2,075,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 167,135 | $2,066,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 59,198 | $2,065,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 429,063 | $2,059,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 52,321 | $2,055,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 100,228 | $2,053,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 41,295 | $2,053,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 25,000 | $2,052,000 | thousands by filing date | put |
| ROCKWOOD HLDGS INC | 774415103 | COM | 28,467 | $2,048,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 3,084 | $2,046,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 27,040 | $2,044,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 23,150 | $2,041,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 128,870 | $2,035,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 115,918 | $2,029,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 179,611 | $2,024,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 48,090 | $2,019,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 140,000 | $2,016,000 | thousands by filing date | put |
| STAPLES INC | 855030102 | COM | 126,700 | $2,013,000 | thousands by filing date | put |
| SILVER BULL RES INC | 827458100 | COM | 5,753,000 | $2,008,000 | thousands by filing date | |
| GSI GROUP INC | 36191C205 | COM | 178,576 | $2,008,000 | thousands by filing date | |
| HITTITE MICROWAVE CORP | 43365Y104 | COM | 32,525 | $2,007,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 24,339 | $2,004,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 45,313 | $2,002,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 118,123 | $2,001,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 95,950 | $1,994,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 105,566 | $1,994,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 55,932 | $1,993,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 301,000 | $1,993,000 | thousands by filing date | call |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 150,046 | $1,990,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 36,053 | $1,986,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 78,476 | $1,986,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 18,007 | $1,979,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 295,630 | $1,975,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 155,883 | $1,967,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 518,231 | $1,954,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 58,346 | $1,951,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 83,489 | $1,950,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 48,130 | $1,938,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 87,476 | $1,929,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 91,934 | $1,925,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 31,165 | $1,920,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAA8 | NOTE | 1,606,000 | $1,913,000 | thousands by filing date | principal |
| TORO CO | 891092108 | COM | 30,029 | $1,909,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 41,190 | $1,909,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 80,000 | $1,908,000 | thousands by filing date | put |
| MACERICH CO | 554382101 | COM | 32,372 | $1,906,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 48,335 | $1,905,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 20,000 | $1,902,000 | thousands by filing date | call |
| TRUSTMARK CORP | 898402102 | COM | 70,798 | $1,900,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 500,000 | $1,900,000 | thousands by filing date | put |
| PACKAGING CORP AMER COM | 695156109 | Stock | 30,000 | $1,898,000 | thousands by filing date | call |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 85,777 | $1,893,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 53,061 | $1,889,000 | thousands by filing date | |
| HOSPIRA INC | 441060100 | COM | 45,612 | $1,884,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 160,507 | $1,877,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 47,722 | $1,877,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 79,797 | $1,877,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 75,070 | $1,866,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 69,731 | $1,865,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 629,899 | $1,865,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 104,250 | $1,860,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 119,500 | $1,856,000 | thousands by filing date | put |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 152,636 | $1,856,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 23,747 | $1,854,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 260,447 | $1,854,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 21,200 | $1,852,000 | thousands by filing date | call |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 100,192 | $1,852,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 63,051 | $1,851,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 92,876 | $1,851,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 56,548 | $1,849,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 37,693 | $1,847,000 | thousands by filing date | |
| XL GROUP PLC | G98290102 | SHS | 57,900 | $1,844,000 | thousands by filing date | call |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 34,522 | $1,843,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 100,704 | $1,841,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 10,000 | $1,841,000 | thousands by filing date | call |
| OIL STS INTL INC | 678026105 | COM | 18,043 | $1,835,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 76,024 | $1,835,000 | thousands by filing date | principal |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 73,651 | $1,833,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 103,498 | $1,832,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 76,198 | $1,832,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 428,403 | $1,829,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 20,000 | $1,827,000 | thousands by filing date | call |
| RR DONNELLEY + SONS CO | 257867101 | COM | 89,710 | $1,820,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 29,201 | $1,817,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 38,072 | $1,815,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 193,001 | $1,809,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 55,335 | $1,808,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 196,879 | $1,805,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 147,600 | $1,801,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 29,377 | $1,795,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 124,500 | $1,795,000 | thousands by filing date | |
| HOME INNS & HOTELS MGMT INC | 43713W107 | SPON ADR | 41,080 | $1,793,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 101,257 | $1,792,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 39,566 | $1,787,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 213,600 | $1,786,000 | thousands by filing date | call |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 174,520 | $1,784,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 20,334 | $1,784,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 28,854 | $1,783,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 14,624 | $1,781,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 209,449 | $1,776,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 534,052 | $1,773,000 | thousands by filing date | |
| MAC-GRAY CORP | 554153106 | COMMON STOCK | 83,456 | $1,772,000 | thousands by filing date | |
| QUESTCOR PHARMACEUTICALS INC | 74835Y101 | COM | 32,483 | $1,768,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 62,250 | $1,766,000 | thousands by filing date | |
| VECTREN CORP | 92240G101 | COM | 49,674 | $1,763,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 140,708 | $1,762,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 73,140 | $1,751,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 40,417 | $1,750,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 51,233 | $1,747,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 147,629 | $1,747,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 69,386 | $1,746,000 | thousands by filing date | principal |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 21,772 | $1,744,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 109,906 | $1,743,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 179,028 | $1,742,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 16,800 | $1,741,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 81,839 | $1,737,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 40,602 | $1,735,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 38,906 | $1,734,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 71,200 | $1,733,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 111,738 | $1,732,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 35,600 | $1,730,000 | thousands by filing date | call |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 136,411 | $1,730,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 20,481 | $1,729,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 80,124 | $1,714,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 92,568 | $1,713,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 23,383 | $1,712,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 132,246 | $1,710,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 126,378 | $1,710,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 95,928 | $1,708,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 34,900 | $1,696,000 | thousands by filing date | put |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 36,911 | $1,696,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 23,280 | $1,694,000 | thousands by filing date | |
| NAUGATUCK VY FINL CORP MD | 63906P107 | COM | 233,955 | $1,694,000 | thousands by filing date | |
| NETSUITE INC | 64118Q107 | COM | 16,407 | $1,689,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 20,000 | $1,686,000 | thousands by filing date | put |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 16,888 | $1,682,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 40,739 | $1,680,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 163,129 | $1,680,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 60,248 | $1,679,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 3,500 | $1,673,000 | thousands by filing date | put |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 1,363,000 | $1,671,000 | thousands by filing date | principal |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 363,919 | $1,663,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 20,000 | $1,659,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 81,294 | $1,659,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 31,412 | $1,655,000 | thousands by filing date | |
| FIRSTMERIT CORP | 337915102 | COM | 74,229 | $1,650,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 30,271 | $1,649,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 141,500 | $1,648,000 | thousands by filing date | call |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 127,524 | $1,645,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 43,900 | $1,645,000 | thousands by filing date | put |
| KINROSS GOLD CORP | 496902404 | COM | 375,000 | $1,643,000 | thousands by filing date | put |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 20,918 | $1,643,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 21,975 | $1,641,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 33,400 | $1,640,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 83,933 | $1,638,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 104,704 | $1,638,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 98,774 | $1,637,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 37,490 | $1,635,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 55,722 | $1,634,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 122,710 | $1,634,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 70,776 | $1,633,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 51,871 | $1,631,000 | thousands by filing date | |
| FEDERAL REALTY INVESTMENT TRUS | 313747206 | SH BEN INT NEW | 16,079 | $1,631,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 52,513 | $1,630,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 65,232 | $1,629,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 43,471 | $1,627,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 56,043 | $1,627,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 200,000 | $1,622,000 | thousands by filing date | call |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 53,585 | $1,621,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 34,337 | $1,617,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 36,953 | $1,616,000 | thousands by filing date | |
| Hubbell Inc Class B | 443510201 | COM | 14,799 | $1,612,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 24,113 | $1,608,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 51,000 | $1,607,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 161,525 | $1,607,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 17,915 | $1,602,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 55,550 | $1,600,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 123,326 | $1,599,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 57,640 | $1,597,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 59,233 | $1,597,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 30,483 | $1,596,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 58,942 | $1,594,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 19,400 | $1,588,000 | thousands by filing date | put |
| AUTOLIV INC | 052800109 | COM | 17,246 | $1,582,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 28,732 | $1,579,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 25,500 | $1,578,000 | thousands by filing date | call |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 30,000 | $1,578,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 20,461 | $1,578,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 51,400 | $1,575,000 | thousands by filing date | call |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 55,000 | $1,574,000 | thousands by filing date | call |
| WP CAREY INC COM | 92936U109 | REIT | 25,518 | $1,565,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 128,473 | $1,565,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 62,153 | $1,560,000 | thousands by filing date | |
| TORTOISE ENERGY CAP CORP | 89147U100 | COM | 47,751 | $1,559,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 44,900 | $1,556,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 46,500 | $1,556,000 | thousands by filing date | put |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 59,234 | $1,554,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 17,528 | $1,552,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 193,549 | $1,552,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 4,900 | $1,551,000 | thousands by filing date | put |
| TFS FINL CORP | 87240R107 | COM | 127,943 | $1,550,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 35,390 | $1,547,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 71,208 | $1,547,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 88,558 | $1,547,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 20,000 | $1,544,000 | thousands by filing date | call |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 30,231 | $1,543,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 62,490 | $1,543,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M571 | GUGG CRP BD 2014 | 72,483 | $1,541,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 124,179 | $1,539,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 60,787 | $1,537,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 93,829 | $1,537,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 74,575 | $1,536,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 34,378 | $1,536,000 | thousands by filing date | |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 62,728 | $1,536,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 38,674 | $1,535,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-007922 | this filing | 2014-02-14 | acceptance time not in the bulk data set |