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 |
|---|---|---|---|---|---|---|
| CONNS INC | 208242107 | COM | 891 | $35,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 3,183 | $35,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 2,900 | $35,000 | thousands by filing date | put |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 73,378 | $35,000 | thousands by filing date | |
| ISHARES TR | 46429B184 | UTILITIES SECT | 700 | $35,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 33,000 | $35,000 | thousands by filing date | principal |
| NRG YIELD INC | 62942X108 | CL C | 884 | $35,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 757 | $34,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 921 | $34,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 2,250 | $34,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 560 | $34,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 2,480 | $34,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 1,504 | $34,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,610 | $34,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 2,700 | $34,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 33,000 | $34,000 | thousands by filing date | principal |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 5,386 | $34,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 15,500 | $34,000 | thousands by filing date | |
| LAKES GAMING INC COM | 51206P109 | COM | 6,751 | $34,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 1,604 | $34,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 25,390 | $34,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 1,296 | $34,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 8,334 | $34,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 418 | $33,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,950 | $33,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 2,700 | $33,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 15,020 | $33,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 2,402 | $33,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 1,500 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 1,600 | $33,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 4,403 | $33,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 3,000 | $33,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 930 | $33,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 1,875 | $32,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 7,400 | $32,000 | thousands by filing date | call |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 700 | $32,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 950 | $32,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 1,744 | $32,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 2,600 | $32,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 30,000 | $32,000 | thousands by filing date | principal |
| CONSTELLATION ENERGY PRTNR L | 21038E101 | COM UNIT LLC B | 12,300 | $32,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,000 | $32,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 8,777 | $31,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 1,100 | $31,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 3,300 | $31,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 1,940 | $31,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 31,000 | $31,000 | thousands by filing date | principal |
| RUBICON MINERALS CORP | 780911103 | COM | 29,500 | $31,000 | thousands by filing date | put |
| HANSEN MEDICAL INC | 411307101 | COM | 12,000 | $31,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 2,332 | $31,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 200 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 811 | $31,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W408 | Cmn | 1,245 | $31,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,827 | $30,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 25,000 | $30,000 | thousands by filing date | principal |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 700 | $30,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 895 | $30,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 1,337 | $30,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 4,020 | $30,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 3,600 | $30,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 16,816 | $30,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,700 | $30,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 4,050 | $30,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,000 | $29,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 1,200 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 872 | $29,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 572 | $29,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,030 | $29,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 1,800 | $29,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 1,900 | $29,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 7,550 | $29,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 2,050 | $29,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,100 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74348A293 | ULTSHT RUSS GWTH | 700 | $29,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 427 | $28,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 3,572 | $28,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 3,900 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $28,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $28,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,400 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,000 | $28,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 4,800 | $28,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 2,200 | $28,000 | thousands by filing date | |
| RICK'S CABARET INTL INC | 765641303 | COM | 2,500 | $28,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 1,011 | $27,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,084 | $27,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 45 | $27,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 3,067 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 463 | $27,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 1,211 | $27,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 465 | $27,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 1,491 | $27,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 5,425 | $27,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,329 | $27,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 5,800 | $27,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 12,000 | $27,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P150 | CHINA TRNDP ETF | 1,000 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74348A384 | ULSH RUSS2000 VL | 496 | $27,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 875 | $26,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,000 | $26,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 400 | $26,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 1,000 | $26,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 4,700 | $26,000 | thousands by filing date | put |
| REALPAGE INC | 75606N109 | COM | 1,405 | $26,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 1,500 | $26,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 275 | $26,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 7,400 | $26,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 1,356 | $26,000 | thousands by filing date | |
| Lihua International Inc. | 532352101 | COM | 5,222 | $26,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 1,000 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U381 | GERMANY SM CAP | 831 | $26,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 1,500 | $26,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 611 | $25,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 26,040 | $25,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 1,105 | $25,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 1,263 | $25,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,000 | $25,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 423 | $25,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $25,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,196 | $25,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 2,027 | $25,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 1,100 | $25,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 319 | $25,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 385 | $25,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 3,300 | $25,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 8,772 | $25,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,350 | $25,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 1,000 | $25,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 900 | $24,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 616 | $24,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 1,362 | $24,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 840 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 431 | $24,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 1,374 | $24,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 11,000 | $24,000 | thousands by filing date | call |
| BON-TON STORES INC | 09776J101 | COM | 2,150 | $24,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 6,000 | $24,000 | thousands by filing date | |
| HFF INC | 40418F108 | CL A | 710 | $24,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 5,600 | $24,000 | thousands by filing date | call |
| CLEVELAND BIOLABS INC | 185860103 | COM | 35,000 | $24,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC | 398905AE9 | FRNT | 20,000 | $24,000 | thousands by filing date | principal |
| AMERICAN INCOME FD INC | 02672T109 | COM | 3,175 | $24,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 470 | $24,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 654 | $23,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 477 | $23,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 411 | $23,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 392 | $23,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,000 | $23,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 1,065 | $23,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,000 | $23,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 1,842 | $23,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 10,400 | $23,000 | thousands by filing date | put |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,214 | $23,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 705 | $23,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 880 | $23,000 | thousands by filing date | |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 20,000 | $23,000 | thousands by filing date | principal |
| PSIVIDA CORP | 74440J101 | COM | 5,500 | $23,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 1,750 | $23,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 16,643 | $23,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 495 | $22,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,801 | $22,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 1,446 | $22,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,305 | $22,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,600 | $22,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 1,500 | $22,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,000 | $22,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,000 | $22,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 20,000 | $22,000 | thousands by filing date | principal |
| SUSSER HOLDINGS CORP | 869233106 | COMMON STOCK | 350 | $22,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 6,900 | $22,000 | thousands by filing date | call |
| COUNTERPATH CORP | 22228P203 | COM NEW | 14,800 | $22,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 1,100 | $22,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 4,766 | $22,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 5,350 | $22,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 14,286 | $22,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 2,200 | $22,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 905 | $22,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 346 | $21,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 1,682 | $21,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 6,000 | $21,000 | thousands by filing date | call |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 875 | $21,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 196 | $21,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 1,184 | $21,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $21,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 663 | $21,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 1,600 | $21,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,007 | $21,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 1,500 | $21,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 1,028 | $21,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 1,800 | $21,000 | thousands by filing date | |
| BANCORPSOUTH INC | 059692103 | COM | 844 | $21,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,262 | $21,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 872 | $21,000 | thousands by filing date | |
| JAPAN EQUITY FD INC | 471057109 | COM | 3,160 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 528 | $21,000 | thousands by filing date | |
| ISHARES TR | 464289172 | MSCI EM MK FNL | 881 | $21,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 1,813 | $21,000 | thousands by filing date | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,045 | $21,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R304 | FALLN ANGL USD | 770 | $21,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 1,700 | $21,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 1,000 | $21,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,350 | $20,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,328 | $20,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 500 | $20,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 1,071 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 769 | $20,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 1,500 | $20,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 7,209 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 400 | $20,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC | 538034AB5 | CORPORATE OBLIG | 20,000 | $20,000 | thousands by filing date | principal |
| VERTEX ENERGY INC | 92534K107 | COM | 3,030 | $20,000 | thousands by filing date | |
| L-3 COMMUNICATIONS CORP | 502413AW7 | DEBT 3.000% 8/0 | 15,000 | $20,000 | thousands by filing date | principal |
| Concur Technologies, Inc. | 206708109 | COM | 200 | $20,000 | thousands by filing date | put |
| QUANTUM CORP | 747906204 | COM DSSG | 17,000 | $20,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 11,200 | $20,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 1,500 | $20,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,000 | $20,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 9,000 | $20,000 | thousands by filing date | principal |
| GAS NAT INC | 367204104 | COM | 2,000 | $20,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 1,200 | $20,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 510 | $20,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,041 | $19,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 710 | $19,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,845 | $19,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,298 | $19,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 759 | $19,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 1,412 | $19,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| GREATBATCH INC | 39153L106 | COM | 410 | $19,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 400 | $19,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 372 | $19,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 206 | $19,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 1,296 | $19,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 1,439 | $19,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 4,000 | $19,000 | thousands by filing date | |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 584 | $19,000 | thousands by filing date | |
| NUVEEN MA DIV AD MUNI FD | 67069P101 | cs | 1,500 | $19,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 8,595 | $18,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 500 | $18,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,942 | $18,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 1,538 | $18,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,329 | $18,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,654 | $18,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 871 | $18,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 1,577 | $18,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 1,750 | $18,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 10,801 | $18,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 17,400 | $18,000 | thousands by filing date | call |
| AIXTRON SE | 009606104 | SPONSORED ADR | 1,086 | $18,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 289 | $18,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 824 | $18,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 2,000 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 650 | $18,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 29,330 | $18,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 12,730 | $18,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,210 | $18,000 | thousands by filing date | |
| ISHARES TR | 464289594 | CMN | 335 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 499 | $17,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 1,250 | $17,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,396 | $17,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,179 | $17,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 629 | $17,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 300 | $17,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,100 | $17,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 714 | $17,000 | thousands by filing date | |
| MEDASSETS INC | 584045108 | COM | 699 | $17,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 153 | $17,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 5,000 | $17,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 500 | $17,000 | thousands by filing date | |
| AMBOW ED HLDG LTD | 02322P101 | ADR REPSTG CL A | 18,000 | $17,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 723 | $17,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 632 | $16,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,200 | $16,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 980 | $16,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 800 | $16,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 800 | $16,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 715 | $16,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 1,250 | $16,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 6,116 | $16,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 10,307 | $16,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 3,400 | $16,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 502 | $16,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,200 | $16,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,681 | $16,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 591 | $16,000 | thousands by filing date | |
| AMERICAN RESIDENTIAL PROPERTIES INC | 02927E303 | COM | 876 | $16,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,468 | $16,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 10,945 | $16,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 59,501 | $16,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 4,000 | $16,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 1,100 | $15,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 11,400 | $15,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 600 | $15,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 430 | $15,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 300 | $15,000 | thousands by filing date | put |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 400 | $15,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 824 | $15,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,209 | $15,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 660 | $15,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 567 | $15,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 15,000 | $15,000 | thousands by filing date | principal |
| VONAGE HLDGS CORP | 92886T201 | COM | 3,575 | $15,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 10,233 | $15,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 15,000 | $15,000 | thousands by filing date | principal |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 1,500 | $15,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 4,250 | $15,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 1,344 | $15,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 1,002 | $15,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 3,000 | $15,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 2,824 | $15,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 1,500 | $15,000 | thousands by filing date | |
| AVIS BUDGET GROUP | 053774AB1 | NOTE 3.500%10/0 | 5,000 | $15,000 | thousands by filing date | principal |
| STRATEGY INC CL A NEW | 594972408 | Stock | 119 | $14,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 361 | $14,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 600 | $14,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 960 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 400 | $14,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 400 | $14,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 2,244 | $14,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 1,000 | $14,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 1,330 | $14,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,000 | $14,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 1,544 | $14,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 475 | $14,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 292 | $14,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 8,000 | $14,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 1,200 | $14,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 295 | $14,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,612 | $14,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 185 | $14,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 5,000 | $14,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 800 | $14,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 250 | $14,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 175 | $14,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 400 | $14,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 1,100 | $14,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 3,600 | $13,000 | thousands by filing date | put |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 500 | $13,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 410 | $13,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 689 | $13,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 1,000 | $13,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 307 | $13,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 449 | $13,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 630 | $13,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 270 | $13,000 | thousands by filing date | principal |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 1,000 | $13,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 771 | $13,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 98 | $13,000 | thousands by filing date | |
| CYBERONICS | 23251P102 | COMMON STOCK | 195 | $13,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS I | 45773H102 | COM | 3,822 | $13,000 | thousands by filing date | |
| FLEETMATICS GROUP PLC | G35569105 | COM | 390 | $13,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 1,220 | $13,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 192 | $13,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 841 | $13,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 5,300 | $13,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 750 | $13,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 3,000 | $13,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 1,000 | $13,000 | thousands by filing date | |
| CORPBANCA | 21987A209 | SPONSORED ADR | 785 | $13,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 3,321 | $13,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288547 | RETAIL CAP IDX | 353 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 450 | $13,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 1,000 | $13,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 200 | $12,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 735 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 250 | $12,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,100 | $12,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 1,375 | $12,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,000 | $12,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 345 | $12,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 300 | $12,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 2,000 | $12,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,567 | $12,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,000 | $12,000 | thousands by filing date | |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 1,500 | $12,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 7,300 | $12,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 591 | $12,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 400 | $12,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 314 | $12,000 | thousands by filing date | |
| IGATE CORP | 45169U105 | COM | 375 | $12,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 400 | $12,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $12,000 | thousands by filing date | principal |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 10,000 | $12,000 | thousands by filing date | principal |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 1,100 | $12,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 2,000 | $12,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 2,000 | $12,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 505 | $12,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 727 | $12,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 10,000 | $12,000 | thousands by filing date | principal |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 132 | $12,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 340 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 447 | $12,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 100 | $11,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 813 | $11,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 357 | $11,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 833 | $11,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 700 | $11,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,100 | $11,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 100 | $11,000 | thousands by filing date | put |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 557 | $11,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 432 | $11,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 2,075 | $11,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 600 | $11,000 | thousands by filing date | put |
| EDUCATION RLTY TR INC | 28140H104 | COM | 1,165 | $11,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 5,000 | $11,000 | thousands by filing date | principal |
| EXETER RES CORP | 301835104 | COM | 18,000 | $11,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 350 | $11,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 400 | $11,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 40,690 | $11,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 1,000 | $11,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 2,125 | $11,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 2,500 | $11,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 500 | $11,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 1,625 | $11,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 771 | $11,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 795 | $11,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 100 | $10,000 | thousands by filing date | call |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 100 | $10,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 1,352 | $10,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 3,303 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 85 | $10,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 300 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 703 | $10,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 750 | $10,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 200 | $10,000 | thousands by filing date | call |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 607 | $10,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,277 | $10,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 1,116 | $10,000 | thousands by filing date | |
| METLIFE INC | 59156R116 | PREFERRED STOCK | 337 | $10,000 | thousands by filing date | principal |
| Bowater Inc | 09066L105 | COMMON STOCKS | 3,236 | $10,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 2,600 | $10,000 | thousands by filing date | call |
| TEXAS INDUSTRIES INC | 882491103 | COM | 111 | $10,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 400 | $10,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 1,361 | $10,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 572 | $10,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 507 | $10,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 303 | $10,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 550 | $10,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 6,500 | $10,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 2,516 | $10,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 650 | $10,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 483 | $10,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 3,652 | $10,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 1,480 | $10,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L209 | US MC TRENDP ETN | 306 | $10,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 736 | $10,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 724 | $10,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 10,000 | $10,000 | thousands by filing date | principal |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $10,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 100 | $10,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 100 | $9,000 | thousands by filing date | put |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,000 | $9,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 193 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 170 | $9,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 200 | $9,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 1,671 | $9,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 170 | $9,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 151 | $9,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 4,000 | $9,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 677 | $9,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 685 | $9,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 4,857 | $9,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,100 | $9,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 316 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 252 | $9,000 | thousands by filing date | |
| MICREL INC | 594793101 | COM | 850 | $9,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 6,000 | $9,000 | thousands by filing date | principal |
| GILEAD SCIENCES INC | 375558AN3 | NOTE | 3,000 | $9,000 | thousands by filing date | principal |
| ZYGO CORP | 989855101 | COM | 600 | $9,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 208 | $9,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 707 | $9,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 1,000 | $9,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 290 | $9,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $9,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 225 | $8,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,000 | $8,000 | thousands by filing date | call |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 116 | $8,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 305 | $8,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 225 | $8,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 600 | $8,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 300 | $8,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 250 | $8,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 1,465 | $8,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 3,707 | $8,000 | thousands by filing date | |
| KID BRANDS, INC. COM | 49375T100 | COM | 23,500 | $8,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 1,346 | $8,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 400 | $8,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 400 | $8,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,000 | $8,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 199 | $8,000 | thousands by filing date | |
| PARAMETRIC SOUND CORP | 699172201 | COM NEW | 570 | $8,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 1,000 | $8,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 275 | $8,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,323 | $8,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 400 | $8,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 7,046 | $8,000 | 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 |