13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-14, with 6,050 holding rows worth $147,687,895,000.
- Accession
- 0001140361-14-032724
- Filer
- CIK 1000275
- Filed
- 2014-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A holdings report, 17,891 entries on the cover page, a total value of $147,687,895,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $147,687,895,000 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 |
|---|---|---|---|---|---|---|
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 8,014 | $111,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 12,521 | $111,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 6,300 | $111,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 2,347 | $110,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 2,827 | $110,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 12,900 | $110,000 | thousands by filing date | call |
| INVENTURE FOODS INC | 461212102 | COM | 9,738 | $110,000 | thousands by filing date | |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 2,708 | $110,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 11,700 | $109,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 9,380 | $109,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 7,313 | $109,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 15,685 | $107,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 866 | $107,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 7,549 | $107,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 7,235 | $107,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 8,300 | $107,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 12,722 | $106,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 7,319 | $106,000 | thousands by filing date | |
| ISHARES TR | 464289198 | MSCI EMG MATS | 6,429 | $106,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 2,033 | $105,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 7,126 | $105,000 | thousands by filing date | |
| GRAFTECH INTERNATIONAL LTD | 384313102 | COMMON STOCK | 9,827 | $103,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 12,848 | $103,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 3,950 | $103,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 2,242 | $103,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 14,387 | $103,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 5,383 | $103,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 8,150 | $103,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 8,400 | $103,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 4,021 | $103,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D203 | UNIT 06/11/2019 | 10,000 | $103,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 4,400 | $102,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 12,290 | $102,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,000 | $102,000 | thousands by filing date | put |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,000 | $102,000 | thousands by filing date | call |
| FINISH LINE/THE CL A | 317923100 | COM | 3,430 | $102,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 3,291 | $102,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 9,115 | $102,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 7,507 | $102,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 3,073 | $101,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 1,304 | $101,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 4,497 | $101,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,456 | $101,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 1,227 | $100,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 11,056 | $100,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 10,625 | $100,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 1,195 | $100,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 3,518 | $100,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 3,047 | $99,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 6,700 | $99,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 3,083 | $99,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 7,100 | $99,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 14,800 | $99,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 3,708 | $99,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 8,246 | $99,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 11,484 | $98,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 13,000 | $98,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AR4 | NOTE 1.875% 8/0 | 28,000 | $98,000 | thousands by filing date | principal |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 4,000 | $98,000 | thousands by filing date | principal |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 3,097 | $97,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 2,518 | $97,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 5,100 | $97,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 5,957 | $97,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 12,352 | $97,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 5,263 | $96,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,147 | $96,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 3,740 | $96,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 3,689 | $96,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 1,998 | $96,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 7,300 | $96,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 3,964 | $96,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 5,996 | $96,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 4,742 | $95,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 4,455 | $95,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 770 | $95,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 6,550 | $95,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 7,525 | $94,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 3,250 | $94,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 4,281 | $94,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 2,337 | $93,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 15,000 | $93,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 12,373 | $92,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 8,000 | $92,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 7,500 | $92,000 | thousands by filing date | |
| EXAMWORKS GROUP INC COM | 30066A105 | COM | 2,913 | $92,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 3,514 | $92,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 615 | $91,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,200 | $91,000 | thousands by filing date | put |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 6,100 | $91,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 1,153 | $91,000 | thousands by filing date | |
| ROVI CORP | 779376AB8 | CORPORATE OBLIG | 90,000 | $91,000 | thousands by filing date | principal |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 7,033 | $91,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U530 | LAT AM SML CAP | 4,521 | $91,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 7,831 | $91,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 3,460 | $90,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 15,555 | $90,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 29,751 | $90,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 2,379 | $90,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 6,000 | $90,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 3,730 | $90,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 962 | $89,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 21,540 | $89,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 5,721 | $89,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 8,852 | $89,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 5,240 | $89,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 6,660 | $89,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,403 | $89,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 8,126 | $89,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 6,179 | $89,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 1,022 | $89,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 2,736 | $89,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 5,040 | $88,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 10,000 | $88,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,300 | $88,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 3,855 | $88,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 1,194 | $87,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 5,773 | $87,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 6,723 | $87,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 16,881 | $87,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 1,735 | $87,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 6,755 | $86,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 15,900 | $86,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 8,579 | $86,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 1,000 | $86,000 | thousands by filing date | call |
| ANGIES LIST INC | 034754101 | COM | 7,200 | $86,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 5,151 | $85,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 3,216 | $85,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 13,396 | $85,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 4,850 | $85,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 1,296 | $85,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 8,823 | $85,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 4,555 | $85,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 1,626 | $84,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 1,534 | $84,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 3,400 | $84,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 2,505 | $84,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 2,710 | $83,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 1,612 | $83,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 1,912 | $83,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 7,314 | $83,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 5,903 | $83,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 3,840 | $83,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 4,195 | $83,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 4,007 | $83,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 1,775 | $83,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,000 | $82,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153105 | COM | 10,000 | $82,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 37,801 | $82,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 22,219 | $81,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 3,475 | $81,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,500 | $81,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550107 | CL A | 4,118 | $81,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X525 | S&P SMLCP ASIA | 1,860 | $81,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 3,000 | $80,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 4,064 | $80,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 5,655 | $80,000 | thousands by filing date | |
| PLATINUM UNDERWRITER HLDGS L | G7127P100 | COM | 1,226 | $80,000 | thousands by filing date | |
| ADVENT SOFTWARE INC | 007974108 | COM | 2,415 | $79,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 7,674 | $78,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 6,100 | $78,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 7,162 | $78,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 3,050 | $78,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 1,400 | $77,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 4,928 | $77,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W372 | KOREA HEDG EQT | 3,337 | $77,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 1,984 | $76,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 6,226 | $76,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 1,446 | $76,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 6,300 | $76,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 18,500 | $76,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 4,053 | $76,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 3,465 | $76,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 18,420 | $75,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 3,305 | $75,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 5,998 | $75,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $75,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 17,122 | $75,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H104 | COM | 6,960 | $75,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 781 | $74,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 11,191 | $74,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 16,225 | $74,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 5,576 | $74,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 5,063 | $73,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 2,710 | $73,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 7,911 | $73,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,925 | $73,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 6,651 | $73,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 20,000 | $73,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 2,212 | $73,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 2,588 | $72,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 2,000 | $72,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 5,299 | $72,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 4,670 | $72,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 5,597 | $72,000 | thousands by filing date | |
| SP BANCORP INC | 78468K106 | COM | 2,500 | $72,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 5,893 | $71,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 1,675 | $71,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,346 | $70,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 2,599 | $70,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 3,040 | $70,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 500 | $70,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 2,600 | $70,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 8,924 | $70,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 8,980 | $70,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 4,073 | $70,000 | thousands by filing date | |
| YONGYE INTL INC | 98607B106 | COM | 10,000 | $70,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,034 | $70,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 18,300 | $70,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 5,000 | $70,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 1,634 | $70,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R585 | RUSSIA SMALLCP | 2,000 | $70,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 4,611 | $69,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 25,163 | $69,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 5,800 | $69,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 4,943 | $69,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 10,667 | $69,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 6,028 | $68,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 1,391 | $68,000 | thousands by filing date | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 64,000 | $68,000 | thousands by filing date | principal |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 8,672 | $68,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 16,270 | $68,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 2,296 | $68,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 6,006 | $67,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 11,000 | $67,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 8,243 | $67,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $67,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 5,300 | $67,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 4,391 | $67,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 3,000 | $66,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 5,081 | $66,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 7,200 | $66,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 8,209 | $66,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 8,010 | $66,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 3,860 | $66,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 3,500 | $66,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 3,572 | $65,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 53,960 | $65,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 10,519 | $65,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 2,600 | $65,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 7,600 | $65,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 26,397 | $65,000 | thousands by filing date | |
| ISHARES TR | 46429B705 | MSCI RUSS INDX | 3,200 | $65,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 840 | $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 NJ INVT QUALITY MUN F | 670971100 | COM | 4,600 | $63,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 1,546 | $62,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 3,500 | $62,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 5,078 | $62,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,000 | $62,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,100 | $62,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 4,710 | $62,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 1,904 | $61,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 3,000 | $61,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 4,950 | $61,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 3,866 | $61,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 1,066 | $60,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 3,063 | $60,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 2,462 | $60,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 14,400 | $60,000 | thousands by filing date | |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 465 | $60,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 2,925 | $59,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 5,147 | $59,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,200 | $59,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 3,700 | $59,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 4,620 | $59,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 10,229 | $59,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 1,040 | $58,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 14,000 | $58,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 3,833 | $58,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 2,317 | $58,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,750 | $58,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 4,317 | $58,000 | thousands by filing date | |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 106,378 | $58,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 6,792 | $58,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 2,820 | $58,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 828 | $58,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 1,000 | $58,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 2,632 | $58,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 76,000 | $57,000 | thousands by filing date | principal |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 4,000 | $57,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 4,008 | $57,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 5,768 | $57,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 1,752 | $57,000 | thousands by filing date | |
| ISHARES TR | 46429B382 | MSCI EMKT LATN | 1,262 | $57,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 4,733 | $56,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 1,000 | $56,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $56,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 2,506 | $56,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 2,498 | $56,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 4,540 | $56,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 5,500 | $56,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 3,873 | $56,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 1,712 | $56,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 15,000 | $56,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 1,886 | $55,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 3,000 | $55,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 15,950 | $55,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 12,000 | $55,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 3,658 | $55,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 4,690 | $55,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 60,388 | $55,000 | thousands by filing date | |
| ISHARES TR | 464289172 | MSCI EM MK FNL | 2,181 | $55,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 1,432 | $54,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 1,007 | $54,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,510 | $54,000 | thousands by filing date | |
| TW TELECOM INC | 87311L104 | COM | 1,356 | $54,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 1,190 | $54,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 4,505 | $54,000 | thousands by filing date | |
| SOLARWINDS INC | 83416B109 | COM | 1,381 | $54,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 19,000 | $54,000 | thousands by filing date | put |
| LEHIGH GAS PARTNERS LP | 524814100 | UT LTD PTN INT | 2,000 | $54,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 1,936 | $53,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 1,593 | $53,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 17,995 | $53,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 1,944 | $53,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 4,341 | $53,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 1,102 | $53,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,040 | $53,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,750 | $53,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 561 | $53,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 43,500 | $53,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 23,100 | $53,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 10,900 | $53,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 4,162 | $53,000 | thousands by filing date | |
| TALMER BANCORP INC | 87482X101 | COM | 3,870 | $53,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 3,325 | $52,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 250 | $52,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 2,800 | $52,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 928 | $52,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $52,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 16,100 | $51,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 3,313 | $51,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 1,738 | $51,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 2,996 | $51,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 3,301 | $51,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 7,707 | $51,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 11,760 | $51,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 1,965 | $51,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 2,000 | $51,000 | thousands by filing date | principal |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 762 | $50,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 2,972 | $50,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 2,000 | $50,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 3,091 | $50,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,000 | $50,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 1,600 | $50,000 | thousands by filing date | |
| ORBITAL SCIENCES CORP | 685564106 | COM | 1,700 | $50,000 | thousands by filing date | |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 50,000 | $50,000 | thousands by filing date | principal |
| IVANHOE ENERGY INC | 465790301 | COM NEW | 129,197 | $50,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 712 | $49,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 1,434 | $49,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 1,500 | $49,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 4,792 | $49,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,000 | $49,000 | thousands by filing date | |
| ROSETTA RESOURCES INC | 777779307 | COM | 892 | $49,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 510 | $49,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 6,500 | $49,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 19,000 | $49,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 17,798 | $49,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 7,056 | $49,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 1,053 | $48,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 2,100 | $48,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 1,338 | $48,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 1,220 | $48,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 2,000 | $48,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 3,000 | $48,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 11,000 | $48,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 3,600 | $48,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 4,000 | $48,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 2,567 | $48,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 168,178 | $48,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 2,107 | $48,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 1,939 | $48,000 | thousands by filing date | principal |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 2,975 | $48,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 850 | $48,000 | thousands by filing date | principal |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 5,202 | $48,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1,000 | $48,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 1,100 | $47,000 | thousands by filing date | put |
| MACROGENICS INC | 556099109 | COM | 2,150 | $47,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 2,400 | $47,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 1,820 | $47,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 2,795 | $47,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 1,722 | $47,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,000 | $47,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 4,480 | $47,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 7,681 | $47,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 3,707 | $47,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,600 | $47,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 12,858 | $47,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 2,456 | $46,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 814 | $46,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 980 | $46,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 3,387 | $46,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 1,750 | $46,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 1,945 | $46,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,500 | $45,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 1,140 | $45,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 2,998 | $45,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 41,000 | $45,000 | thousands by filing date | principal |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,500 | $45,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 2,987 | $45,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 851 | $45,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 8,600 | $45,000 | thousands by filing date | |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 2,169 | $45,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 1,929 | $45,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 4,017 | $44,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,573 | $44,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 1,275 | $44,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 3,157 | $44,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 4,108 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 500 | $44,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 573 | $44,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,250 | $44,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 4,500 | $44,000 | thousands by filing date | |
| FIRST TR ISE GLBL PLAT INDX | 33737C104 | COM | 3,344 | $44,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 969 | $43,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 8,148 | $43,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 1,626 | $43,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 2,845 | $43,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 2,263 | $43,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 3,175 | $43,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 4,209 | $43,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 40,000 | $43,000 | thousands by filing date | principal |
| RUCKUS WIRELESS INC | 781220108 | COM | 3,600 | $43,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055AE7 | NOTE | 30,000 | $43,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 865 | $43,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 1,386 | $43,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 1,081 | $43,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,661 | $43,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 20,643 | $43,000 | thousands by filing date | |
| POINT 360 | 730507100 | COM | 119,400 | $43,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 1,550 | $43,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 2,200 | $42,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 1,486 | $42,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 2,859 | $42,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 1,935 | $42,000 | thousands by filing date | |
| DWS | 23338W104 | EXCHANGE TRADED | 4,982 | $42,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 2,574 | $42,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 25,000 | $42,000 | thousands by filing date | principal |
| RENESOLA LTD | 75971T103 | SPONS ADS | 14,500 | $42,000 | thousands by filing date | |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 1,274 | $42,000 | thousands by filing date | |
| JAN VELOCITY VELOCITY HED | 00162Q791 | Equities | 1,400 | $42,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 2,028 | $41,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 1,194 | $41,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 391 | $41,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 813 | $41,000 | thousands by filing date | |
| FOSTER WHEELER AG | H27178104 | COM | 1,200 | $41,000 | thousands by filing date | put |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 10,000 | $41,000 | thousands by filing date | |
| EXCEL TR INC | 30068C109 | COM | 3,102 | $41,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 1,750 | $41,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 300 | $41,000 | thousands by filing date | put |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 2,700 | $41,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 3,869 | $41,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 1,095 | $40,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 500 | $40,000 | thousands by filing date | put |
| MGE ENERGY INC | 55277P104 | COM | 1,011 | $40,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 1,753 | $40,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 1,425 | $40,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 40,000 | $40,000 | thousands by filing date | principal |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 38,000 | $40,000 | thousands by filing date | principal |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 3,043 | $40,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 8,420 | $40,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 4,000 | $40,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 2,866 | $40,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 550 | $40,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 2,657 | $40,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 837 | $39,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 2,609 | $39,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 88 | $39,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,000 | $39,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,000 | $39,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 2,576 | $39,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 1,500 | $39,000 | thousands by filing date | principal |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 3,865 | $39,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 7,846 | $39,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 515 | $39,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,490 | $39,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 478 | $38,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 4,908 | $38,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 3,183 | $38,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 3,795 | $38,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 891 | $38,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $38,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 300 | $38,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 2,343 | $38,000 | thousands by filing date | |
| ABENGOA YIELD PLC | G00349103 | ORD SHS | 1,000 | $38,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 2,025 | $38,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 645 | $37,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 2,217 | $37,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 2,719 | $37,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,850 | $37,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 2,500 | $37,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 40,000 | $37,000 | thousands by filing date | principal |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 30,000 | $37,000 | thousands by filing date | principal |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 40,000 | $37,000 | thousands by filing date | principal |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 3,000 | $37,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 1,500 | $37,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 35,000 | $37,000 | thousands by filing date | principal |
| ZYNGA INC. | 98986T108 | CL A | 11,189 | $36,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 465 | $36,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC | 398905AE9 | FRNT | 25,000 | $36,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-032724 | this filing | 2014-08-14 | acceptance time not in the bulk data set |