13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-15, with 6,080 holding rows worth $136,212,093,000.
- Accession
- 0001140361-14-021562
- Filer
- CIK 1000275
- Filed
- 2014-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 17,645 entries on the cover page, a total value of $136,212,093,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $136,212,093,000 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 |
|---|---|---|---|---|---|---|
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 10,000 | $110,000 | thousands by filing date | call |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 7,121 | $110,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 6,222 | $110,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 2,071 | $110,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 6,147 | $109,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 33,661 | $109,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 1,816 | $108,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 3,955 | $108,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 8,000 | $108,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 6,545 | $108,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 3,295 | $107,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 3,250 | $107,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,812 | $107,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 12,365 | $107,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 26,014 | $107,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 1,800 | $107,000 | thousands by filing date | call |
| REX ENERGY CORPORATION | 761565100 | COM | 5,695 | $107,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 2,967 | $107,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U415 | COLUMBIA ETF | 6,025 | $107,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 1,877 | $106,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 7,596 | $106,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 2,584 | $106,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 7,752 | $105,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 1,320 | $105,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 4,152 | $105,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 3,385 | $105,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 1,500 | $105,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 2,615 | $104,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 3,137 | $104,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 4,323 | $104,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,114 | $104,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 3,720 | $104,000 | thousands by filing date | |
| T.G.C. INDUSTRIES INC | 872417308 | COM | 17,500 | $104,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 6,300 | $103,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 1,229 | $103,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 7,064 | $103,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 11,300 | $102,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 5,815 | $102,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 8,350 | $102,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R759 | CDA BD IDX FD | 1,110 | $102,000 | thousands by filing date | |
| ROVI CORP | 779376AB8 | CORPORATE OBLIG | 100,000 | $101,000 | thousands by filing date | principal |
| GUARANTY BANCORP | 40075T607 | COM | 7,100 | $101,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 8,400 | $101,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 3,136 | $101,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 5,203 | $100,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 1,345 | $100,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 11,056 | $100,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 2,950 | $100,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 14,441 | $100,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 7,314 | $99,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 1,264 | $99,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 6,500 | $99,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319AC8 | NOTE 5.750% 6/1 | 25,000 | $99,000 | thousands by filing date | principal |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 6,100 | $98,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,503 | $98,000 | thousands by filing date | |
| DST SYS INC DEL | 233326107 | COM | 1,035 | $98,000 | thousands by filing date | |
| NPS PHARMACEUTICALS INC | 62936P103 | COM | 3,257 | $98,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 29,200 | $98,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 5,000 | $97,000 | thousands by filing date | put |
| ROGERS CORP COM | 775133101 | Stock | 1,559 | $97,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 17,344 | $97,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 13,694 | $97,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 16,991 | $97,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,800 | $97,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 5,170 | $97,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 1,594 | $96,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 7,629 | $96,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 5,297 | $96,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 3,481 | $95,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 5,209 | $95,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 8,924 | $95,000 | thousands by filing date | |
| EASTGROUP PPTYS INC | 277276101 | COM | 1,498 | $94,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 3,632 | $94,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 6,507 | $94,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 2,074 | $94,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 6,700 | $94,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 7,300 | $94,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 1,874 | $94,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 12,200 | $94,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W200 | ENH US SCP ETF | 3,070 | $94,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 4,279 | $94,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 48,584 | $93,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 2,151 | $93,000 | thousands by filing date | |
| IVANHOE ENERGY INC | 465790301 | COM NEW | 173,309 | $93,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 1,225 | $92,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 14,470 | $92,000 | thousands by filing date | |
| ROCKVILLE FINANCIAL INC | 774188106 | COM | 6,779 | $92,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 38,556 | $92,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 3,713 | $92,000 | thousands by filing date | principal |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 14,800 | $92,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 3,362 | $91,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 7,525 | $91,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 3,931 | $91,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 2,000 | $91,000 | thousands by filing date | put |
| BOOKS-A-MILLION INC | 098570104 | COM | 37,801 | $91,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 3,850 | $90,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 9,614 | $90,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 12,736 | $90,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 3,396 | $90,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 7,286 | $89,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 3,185 | $89,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 3,321 | $89,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 1,407 | $89,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 18,500 | $89,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,107 | $89,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 5,004 | $89,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 11,056 | $89,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,714 | $89,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 1,250 | $89,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 8,246 | $89,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 1,245 | $88,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 1,808 | $88,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 6,230 | $88,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 16,806 | $87,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 59,360 | $87,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 42,589 | $87,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 7,570 | $87,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 1,400 | $87,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 1,022 | $87,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 8,852 | $86,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 10,643 | $86,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 7,189 | $86,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 3,291 | $86,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 1,899 | $85,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 1,717 | $85,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 6,758 | $85,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 18,094 | $85,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 3,200 | $85,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,300 | $85,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 3,640 | $85,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 1,256 | $84,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 3,262 | $84,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 5,773 | $84,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 3,553 | $84,000 | thousands by filing date | |
| ADVENT SOFTWARE INC | 007974108 | COM | 2,849 | $84,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 3,054 | $83,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 6,310 | $83,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 21,410 | $83,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 4,850 | $83,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 931 | $82,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 10,565 | $82,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 8,037 | $82,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 1,587 | $82,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 8,823 | $82,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 1,775 | $82,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 4,555 | $82,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 5,000 | $81,000 | thousands by filing date | call |
| COTY INC | 222070203 | COM CL A | 5,400 | $81,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 3,846 | $81,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 3,840 | $81,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 12,699 | $81,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 2,415 | $81,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 8,980 | $81,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 7,314 | $80,000 | thousands by filing date | |
| Alamos Gold, Inc. | 011527108 | COM | 8,900 | $80,000 | thousands by filing date | put |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 132,570 | $80,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 2,000 | $80,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 836 | $79,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 6,320 | $79,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,000 | $79,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 4,957 | $79,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 790 | $79,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 6,641 | $79,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153105 | COM | 10,000 | $79,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 4,656 | $79,000 | thousands by filing date | |
| PLATINUM UNDERWRITER HLDGS L | G7127P100 | COM | 1,289 | $78,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 2,693 | $78,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 870 | $77,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 932 | $77,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 23,607 | $77,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 5,608 | $77,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 5,060 | $77,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 2,173 | $76,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,500 | $76,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 4,888 | $76,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 5,700 | $76,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 5,200 | $75,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,925 | $75,000 | thousands by filing date | |
| ISHARES TR | 46429B622 | MSCI A/C ASIA | 1,289 | $75,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 1,443 | $74,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 5,771 | $74,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 5,429 | $74,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 1,400 | $73,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 1,901 | $73,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 7,210 | $73,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 2,575 | $73,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 4,928 | $73,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 2,600 | $72,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 2,000 | $72,000 | thousands by filing date | put |
| HILLTOP HLDGS INC | 432748101 | COM | 3,053 | $72,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 2,155 | $72,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 1,098 | $72,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 3,061 | $72,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 16,997 | $72,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 8,985 | $72,000 | thousands by filing date | |
| Alamos Gold, Inc. | 011527108 | COM | 8,000 | $72,000 | thousands by filing date | call |
| WI-LAN INC | 928972108 | COM | 24,000 | $72,000 | thousands by filing date | call |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 505 | $71,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 2,207 | $71,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 6,058 | $71,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 3,925 | $71,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 1,725 | $71,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 4,000 | $71,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 5,950 | $71,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 4,748 | $71,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 3,655 | $71,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 16,179 | $71,000 | thousands by filing date | |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 3,460 | $71,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 3,032 | $70,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 5,299 | $70,000 | thousands by filing date | |
| CASH AMER INTL INC | 14754D100 | COM | 1,832 | $70,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 4,437 | $70,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 7,636 | $69,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 7,043 | $69,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 4,600 | $69,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 5,077 | $69,000 | thousands by filing date | |
| ISHARES TR | 464289610 | INDSTRLS IX FD | 1,042 | $69,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 10,491 | $68,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 1,095 | $68,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 4,056 | $68,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 8,655 | $68,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 2,271 | $68,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 5,597 | $68,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 50,000 | $68,000 | thousands by filing date | principal |
| FOREST CITY ENTERPRISES INC | 345550107 | CL A | 3,525 | $67,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 18,300 | $67,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 1,546 | $66,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 3,405 | $66,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 10,519 | $66,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 2,156 | $66,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 5,133 | $66,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 65,271 | $66,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 6,651 | $66,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 10,000 | $66,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 1,430 | $65,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 2,109 | $65,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 5,423 | $65,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 2,250 | $65,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 6,006 | $65,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 1,469 | $65,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 53,048 | $65,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 1,339 | $65,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 21,900 | $65,000 | thousands by filing date | put |
| OI S.A. | 670851203 | SPN ADR REP PFD | 49,239 | $65,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 10,142 | $65,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 4,042 | $65,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 11,500 | $65,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 548 | $65,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 2,226 | $64,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 2,289 | $64,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 5,050 | $64,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 12,000 | $64,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 3,537 | $64,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 64,000 | $64,000 | thousands by filing date | principal |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 4,391 | $64,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $63,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 7,600 | $63,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 5,952 | $63,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 1,036 | $63,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 1,621 | $63,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 2,398 | $63,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 1,091 | $62,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 1,998 | $62,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 5,150 | $62,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 4,626 | $62,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 2,950 | $62,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 4,150 | $62,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 34,854 | $62,000 | thousands by filing date | |
| LDR HLDG CORP | 50185U105 | COM | 1,813 | $62,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 4,751 | $61,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 1,675 | $61,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 5,000 | $61,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 675 | $60,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 3,464 | $60,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 2,515 | $60,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 2,903 | $60,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 4,373 | $60,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 5,000 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 1,735 | $59,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 2,291 | $59,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 4,291 | $59,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 800 | $59,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 2,900 | $59,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 5,751 | $59,000 | thousands by filing date | |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 465 | $59,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 4,197 | $58,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 10,524 | $58,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 2,625 | $58,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 4,591 | $58,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,849 | $58,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 6,792 | $58,000 | thousands by filing date | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 54,000 | $58,000 | thousands by filing date | principal |
| HARTE-HANKS INC | 416196103 | COM | 6,571 | $58,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 6,249 | $58,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 2,075 | $58,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 1,000 | $57,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 1,916 | $57,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 2,902 | $57,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 12,000 | $57,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 23,951 | $57,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $57,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 2,500 | $57,000 | thousands by filing date | put |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 8,120 | $57,000 | thousands by filing date | |
| CON-WAY INC | 205944101 | COM | 1,385 | $57,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 4,400 | $57,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 5,512 | $57,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 20,100 | $57,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 2,906 | $56,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 5,253 | $56,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 1,788 | $56,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,200 | $56,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 1,398 | $56,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,900 | $56,000 | thousands by filing date | |
| DFC GLOBAL CORP | 23324T107 | COM | 6,300 | $56,000 | thousands by filing date | put |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 19,000 | $56,000 | thousands by filing date | put |
| CGG SPONS ADR | 12531Q105 | ADR | 3,500 | $56,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 2,000 | $56,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 19,000 | $56,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,286 | $55,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 752 | $55,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 10,729 | $55,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 1,879 | $55,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 5,712 | $55,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 840 | $55,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 4,600 | $55,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,750 | $55,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 3,081 | $55,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 3,800 | $55,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 1,752 | $55,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 552 | $54,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 949 | $54,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 3,000 | $54,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,040 | $54,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 1,185 | $54,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 51,050 | $54,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 9,580 | $54,000 | thousands by filing date | |
| POINT 360 | 730507100 | COM | 119,400 | $54,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 2,500 | $53,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $53,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 7,100 | $53,000 | thousands by filing date | call |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 8,000 | $53,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 3,858 | $53,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 4,548 | $53,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 5,750 | $53,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 4,968 | $53,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 5,300 | $53,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 2,980 | $52,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 2,400 | $52,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 12,000 | $52,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 3,900 | $52,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 4,666 | $52,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 1,330 | $51,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 1,662 | $51,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 1,275 | $51,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 1,559 | $51,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 1,753 | $51,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,000 | $51,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,000 | $51,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 2,591 | $51,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 4,510 | $51,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 1,965 | $51,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 4,127 | $51,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 417 | $51,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 9,000 | $50,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 33,442 | $50,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 5,000 | $50,000 | thousands by filing date | put |
| QUALITY DISTR INC FLA | 74756M102 | COM | 3,828 | $50,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 26,389 | $50,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 1,092 | $50,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 4,500 | $50,000 | thousands by filing date | |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 50,000 | $50,000 | thousands by filing date | principal |
| SP BANCORP INC | 78468K106 | COM | 2,500 | $50,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 6,973 | $50,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 4,154 | $49,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 3,558 | $49,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 2,245 | $49,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 4,059 | $49,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 1,800 | $49,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1,000 | $49,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 2,397 | $48,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 3,219 | $48,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 12,505 | $47,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 1,097 | $47,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 998 | $47,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 7,000 | $47,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 1,500 | $47,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 8,500 | $47,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 2,087 | $47,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 14,500 | $47,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 5,658 | $46,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,750 | $46,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 1,945 | $46,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 3,893 | $45,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 2,425 | $45,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 2,455 | $45,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 4,700 | $45,000 | thousands by filing date | call |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $45,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 4,500 | $45,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 3,890 | $45,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 7,000 | $45,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 42,453 | $45,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 5,202 | $45,000 | thousands by filing date | |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 1,300 | $44,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 2,700 | $44,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 739 | $44,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 2,557 | $44,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 1,776 | $44,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 4,000 | $44,000 | thousands by filing date | put |
| CZR | 127686103 | Stock | 2,313 | $44,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 3,387 | $44,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 3,600 | $44,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 4,407 | $44,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 2,107 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347X344 | ULTRASHT 3-7YR | 1,396 | $44,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 1,100 | $44,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 3,187 | $43,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 2,200 | $43,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 250 | $43,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 3,157 | $43,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 3,043 | $43,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 10,234 | $43,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 7,825 | $43,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 2,710 | $43,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 2,700 | $42,000 | thousands by filing date | |
| HANCOCK WHITNEY CORPORATION | 410120109 | COM | 1,157 | $42,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 8,115 | $42,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 10,449 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 1,600 | $42,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 8,500 | $42,000 | thousands by filing date | call |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 3,175 | $42,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 40,000 | $42,000 | thousands by filing date | principal |
| WILLIS GROUP HOLDINGS PLC | G96666105 | COM | 938 | $42,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,250 | $42,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,600 | $42,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 1,397 | $42,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,520 | $41,000 | thousands by filing date | |
| DWS | 23338W104 | EXCHANGE TRADED | 4,982 | $41,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 30,000 | $41,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 1,750 | $41,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 1,002 | $40,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 2,969 | $40,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 1,465 | $40,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 2,845 | $40,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,417 | $40,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 1,757 | $40,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 17,500 | $40,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $40,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 300 | $40,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 6,300 | $40,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 1,030 | $39,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 2,723 | $39,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,000 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 500 | $39,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 1,559 | $39,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 3,900 | $39,000 | thousands by filing date | call |
| FOSTER WHEELER AG | H27178104 | COM | 1,200 | $39,000 | thousands by filing date | put |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 1,674 | $39,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,555 | $39,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 3,869 | $39,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461456 | EGSHS E MKTS DIV | 1,973 | $39,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 18,462 | $38,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 1,423 | $38,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 333 | $38,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 3,112 | $38,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 1,702 | $38,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 2,820 | $38,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 2,801 | $38,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 7,831 | $38,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 2,017 | $38,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 7,000 | $38,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 1,500 | $38,000 | thousands by filing date | principal |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 550 | $38,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 2,000 | $38,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 508 | $38,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 15,235 | $38,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,500 | $37,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 1,300 | $37,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 4,908 | $37,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 2,438 | $37,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 425 | $37,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 4,942 | $37,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 819 | $37,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 72,834 | $37,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 3,257 | $37,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 19,400 | $37,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 19,823 | $37,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,507 | $37,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 4,500 | $37,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,661 | $37,000 | thousands by filing date | |
| PRIMERICA INC | 74164M108 | COM | 758 | $36,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 1,300 | $36,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,001 | $36,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,000 | $36,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 20,694 | $36,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 1,935 | $36,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 63,767 | $36,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 2,435 | $36,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 737 | $35,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 718 | $35,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 3,800 | $35,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-021562 | this filing | 2014-05-15 | acceptance time not in the bulk data set |