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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 46429B184 | UTILITIES SECT | 700 | $36,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 1,104 | $35,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 1,509 | $35,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 3,748 | $35,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,000 | $35,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 1,168 | $35,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC | 538034AB5 | CORPORATE OBLIG | 35,000 | $35,000 | thousands by filing date | principal |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $35,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 2,600 | $35,000 | thousands by filing date | |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 1,623 | $35,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 31,809 | $35,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,500 | $35,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 8,334 | $35,000 | thousands by filing date | |
| SAFEWAY INC | 786514208 | COM NEW | 1,000 | $34,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 22,132 | $34,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 2,600 | $34,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 3,900 | $34,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,950 | $34,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 1,000 | $34,000 | thousands by filing date | call |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,610 | $34,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 30,000 | $34,000 | thousands by filing date | principal |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 35,000 | $34,000 | thousands by filing date | principal |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 1,935 | $34,000 | thousands by filing date | |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 30,000 | $34,000 | thousands by filing date | principal |
| MOLYCORP INC DEL | 608753109 | COM | 13,244 | $34,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 1,836 | $34,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 1,300 | $34,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 2,539 | $33,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 10,000 | $33,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 3,300 | $33,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 784 | $33,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 2,402 | $33,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 5,558 | $33,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 1,500 | $33,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,007 | $33,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 7,500 | $33,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 18,600 | $33,000 | thousands by filing date | |
| CONSTELLATION ENERGY PRTNR L | 21038E101 | COM UNIT LLC B | 12,300 | $33,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,555 | $33,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W408 | Cmn | 1,245 | $33,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 350 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 400 | $32,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 639 | $32,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $32,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 30,000 | $32,000 | thousands by filing date | principal |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 8,550 | $32,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 2,814 | $32,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 30,000 | $32,000 | thousands by filing date | principal |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 30,000 | $32,000 | thousands by filing date | principal |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 2,300 | $32,000 | thousands by filing date | |
| MEMORIAL RESOURCE DEVELOPMENT | 58605Q109 | COM | 1,300 | $32,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 1,050 | $31,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 1,226 | $31,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 405 | $31,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 400 | $31,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 972 | $31,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 501 | $31,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 3,600 | $31,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 2,527 | $31,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 4,500 | $31,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,000 | $31,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,698 | $31,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 650 | $30,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 1,839 | $30,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,000 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,000 | $30,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 1,200 | $30,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,119 | $30,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 2,183 | $30,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 200 | $30,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 1,535 | $30,000 | thousands by filing date | |
| AETRIUM INC | 00817R202 | COM NEW | 5,660 | $30,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 2,679 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 336 | $29,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 976 | $29,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,853 | $29,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $29,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 400 | $29,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,072 | $29,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,624 | $29,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,000 | $29,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 5,000 | $29,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 1,800 | $29,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 81,788 | $29,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 2,397 | $28,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 639 | $28,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 200 | $28,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,084 | $28,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,312 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 463 | $28,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 1,500 | $28,000 | thousands by filing date | |
| LAKES GAMING INC COM | 51206P109 | COM | 6,000 | $28,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 2,500 | $28,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 565 | $28,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P150 | CHINA TRNDP ETF | 1,000 | $28,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 458 | $27,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 4,244 | $27,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 1,000 | $27,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 851 | $27,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 2,768 | $27,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 500 | $27,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,027 | $27,000 | thousands by filing date | |
| TAYLOR CAPITAL GROUP INC | 876851106 | COM | 1,240 | $27,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,000 | $27,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 27,000 | $27,000 | thousands by filing date | principal |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 6,198 | $27,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 12,573 | $27,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 2,010 | $27,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 941 | $26,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 1,800 | $26,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 1,506 | $26,000 | thousands by filing date | |
| RICK'S CABARET INTL INC | 765641303 | COM | 2,500 | $26,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 1,000 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 1,000 | $26,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 622 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R445 | MSCI EM QUALITY | 480 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A384 | ULSH RUSS2000 VL | 496 | $26,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,000 | $25,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 2,958 | $25,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 1,946 | $25,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,977 | $25,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,296 | $25,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 26,387 | $25,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 4,437 | $25,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 10,556 | $25,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 12,000 | $25,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768300 | UNIT 99/99/9999 | 1,500 | $25,000 | thousands by filing date | principal |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 1,000 | $25,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 500 | $24,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 424 | $24,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,487 | $24,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 977 | $24,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 40 | $24,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 1,374 | $24,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 294 | $24,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $24,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 3,635 | $24,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 1,957 | $24,000 | thousands by filing date | |
| GREATBATCH INC | 39153L106 | COM | 490 | $24,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 1,000 | $24,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 1,500 | $24,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 275 | $24,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 15,500 | $24,000 | thousands by filing date | |
| BURGER KING WORLDWIDE INC | 121220107 | COM | 902 | $24,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 5,500 | $24,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,350 | $24,000 | thousands by filing date | |
| ISHARES MSCI EM ENRGY | 464286376 | CMN | 620 | $24,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 3,910 | $24,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 309 | $23,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 1,000 | $23,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 800 | $23,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 1,105 | $23,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,600 | $23,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 1,500 | $23,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 1,065 | $23,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 454 | $23,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 663 | $23,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 663 | $23,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 1,267 | $23,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 17,342 | $23,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 2,200 | $23,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 9,000 | $23,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 1,000 | $23,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 20,000 | $23,000 | thousands by filing date | principal |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 346 | $22,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 830 | $22,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 477 | $22,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 1,100 | $22,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,305 | $22,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,000 | $22,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 966 | $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 |
| AGENUS INC | 00847G705 | COM NEW | 6,900 | $22,000 | thousands by filing date | call |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,500 | $22,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 1,600 | $22,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,160 | $22,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 1,000 | $22,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 1,957 | $22,000 | thousands by filing date | |
| MEDASSETS INC | 584045108 | COM | 928 | $22,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 14,500 | $22,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,800 | $22,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,329 | $22,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 8,772 | $22,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,362 | $22,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R304 | FALLN ANGL USD | 770 | $22,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 316 | $21,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 1,250 | $21,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 920 | $21,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,372 | $21,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,325 | $21,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 959 | $21,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 2,567 | $21,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 2,460 | $21,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 5,300 | $21,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,000 | $21,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 3,656 | $21,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 1,500 | $21,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 2,000 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 810 | $21,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 1,100 | $21,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 2,000 | $21,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 800 | $20,000 | thousands by filing date | call |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 880 | $20,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 26,040 | $20,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 2,035 | $20,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,845 | $20,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 11,455 | $20,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 206 | $20,000 | thousands by filing date | |
| SALIX PHARMACEUTICAL 1.500 | 795435AE6 | NOTE 1.500% 3/ | 10,000 | $20,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 287 | $20,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 1,200 | $20,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 1,600 | $20,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 545 | $19,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 499 | $19,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 1,538 | $19,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 300 | $19,000 | thousands by filing date | put |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 400 | $19,000 | thousands by filing date | put |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 872 | $19,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 549 | $19,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 565 | $19,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,298 | $19,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 681 | $19,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 1,400 | $19,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 906 | $19,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 4,000 | $19,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,196 | $19,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 15,000 | $19,000 | thousands by filing date | principal |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 280 | $18,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,251 | $18,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 731 | $18,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,200 | $18,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 7,209 | $18,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 575 | $18,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 1,000 | $18,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 1,250 | $18,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 3,320 | $18,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 4,500 | $18,000 | thousands by filing date | |
| NORTH VALLEY BANCORP | 66304M204 | COM NEW | 840 | $18,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 372 | $18,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 511 | $18,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 400 | $18,000 | thousands by filing date | call |
| NEURALSTEM INC | 64127R302 | COM | 4,361 | $18,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 3,500 | $18,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 500 | $18,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 10,945 | $18,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 30,500 | $18,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 2,300 | $18,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 450 | $18,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 3,302 | $18,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 475 | $17,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 1,090 | $17,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 1,127 | $17,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,200 | $17,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,179 | $17,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 700 | $17,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,100 | $17,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 14,100 | $17,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 100 | $17,000 | thousands by filing date | call |
| COBALT INTL ENERGY INC | 19075F106 | COM | 900 | $17,000 | thousands by filing date | call |
| CASH AMER INTL INC | 14754D100 | COM | 386 | $17,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 3,549 | $17,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 1,177 | $17,000 | thousands by filing date | |
| GENTIVA HEALTH SERVICES | 37247A102 | COM | 1,157 | $17,000 | thousands by filing date | |
| TORTOISE ENERGY CAP CORP | 89147U100 | COM | 460 | $17,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 5,350 | $17,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 4,000 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E507 | CHINA ENRG ETF | 1,123 | $17,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 723 | $17,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 700 | $16,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 753 | $16,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 250 | $16,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 600 | $16,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 980 | $16,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,000 | $16,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,654 | $16,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 955 | $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 | |
| COUNTERPATH CORP | 22228P203 | COM NEW | 14,800 | $16,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 1,589 | $16,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 567 | $16,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,468 | $16,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 5,000 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 800 | $16,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 16,000 | $16,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R452 | EM QUAL DIVID | 300 | $16,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461456 | EGSHS E MKTS DIV | 772 | $16,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 440 | $15,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 466 | $15,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 248 | $15,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 200 | $15,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 1,000 | $15,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 400 | $15,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 300 | $15,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,209 | $15,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 567 | $15,000 | thousands by filing date | |
| COURIER CORP | 222660102 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 15,000 | $15,000 | thousands by filing date | principal |
| QLT INC | 746927102 | COMMON STOCK | 2,475 | $15,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 292 | $15,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 460 | $15,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,568 | $15,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 841 | $15,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 2,000 | $15,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 1,000 | $15,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 8,000 | $15,000 | thousands by filing date | principal |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 3,000 | $15,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,616 | $15,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 1,000 | $15,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 15,000 | $15,000 | thousands by filing date | principal |
| AEROVIRONMENT INC COM | 008073108 | Stock | 450 | $14,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 1,010 | $14,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 1,354 | $14,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 1,000 | $14,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 992 | $14,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 270 | $14,000 | thousands by filing date | principal |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,800 | $14,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 1,000 | $14,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 1,544 | $14,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 1,000 | $14,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 14,530 | $14,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 313 | $14,000 | thousands by filing date | |
| IGATE CORP | 45169U105 | COM | 375 | $14,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 498 | $14,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,000 | $14,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 410 | $13,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 619 | $13,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 200 | $13,000 | thousands by filing date | call |
| TRUEBLUE INC | 89785X101 | COM | 475 | $13,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 500 | $13,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 600 | $13,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 432 | $13,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,000 | $13,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 743 | $13,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 1,206 | $13,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 3,575 | $13,000 | thousands by filing date | |
| FLEETMATICS GROUP PLC | G35569105 | COM | 390 | $13,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 5,000 | $13,000 | thousands by filing date | principal |
| EXETER RES CORP | 301835104 | COM | 18,000 | $13,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $13,000 | thousands by filing date | principal |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 7,500 | $13,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 8,800 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 500 | $13,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 450 | $13,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 200 | $12,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 1,100 | $12,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 357 | $12,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,100 | $12,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 715 | $12,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 200 | $12,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 300 | $12,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,581 | $12,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 500 | $12,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 711 | $12,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 660 | $12,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 1,000 | $12,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 250 | $12,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 940 | $12,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 1,500 | $12,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 1,000 | $12,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 1,100 | $12,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 5,000 | $12,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 59,501 | $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 |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,045 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 447 | $12,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 400 | $12,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 250 | $11,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 100 | $11,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 400 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 85 | $11,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 488 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 208 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 170 | $11,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 300 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 703 | $11,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 250 | $11,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,277 | $11,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 100 | $11,000 | thousands by filing date | put |
| EBIX INC | 278715206 | COM NEW | 771 | $11,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 1,006 | $11,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 4,250 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 218 | $11,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 400 | $11,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 800 | $11,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,323 | $11,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 3,000 | $11,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 2,125 | $11,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 800 | $11,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 483 | $11,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L209 | US MC TRENDP ETN | 306 | $11,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 727 | $11,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 25,300 | $11,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R759 | CDA BD IDX FD | 110 | $11,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 100 | $11,000 | thousands by filing date | |
| 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 | |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 300 | $10,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 200 | $10,000 | thousands by filing date | call |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 120 | $10,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,000 | $10,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 700 | $10,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 750 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 175 | $10,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 875 | $10,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 607 | $10,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 990 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 443 | $10,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,022 | $10,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 7,300 | $10,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 7,502 | $10,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 872 | $10,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 8,000 | $10,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 3,236 | $10,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 373 | $10,000 | thousands by filing date | |
| LIFE TIME FITNESS INC | 53217R207 | COM | 206 | $10,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,100 | $10,000 | thousands by filing date | |
| MICREL INC | 594793101 | COM | 850 | $10,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 640 | $10,000 | thousands by filing date | |
| REGIS CORP | 758932AA5 | NOTE | 10,000 | $10,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 550 | $10,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 10,000 | $10,000 | thousands by filing date | principal |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 687 | $10,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $10,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 160 | $10,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063209 | ADR NEW | 285 | $10,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 100 | $9,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 603 | $9,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 3,303 | $9,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,000 | $9,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 447 | $9,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 200 | $9,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 500 | $9,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 151 | $9,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,000 | $9,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 293 | $9,000 | thousands by filing date | |
| CYBERONICS | 23251P102 | COMMON STOCK | 147 | $9,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 320 | $9,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 400 | $9,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 159 | $9,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 685 | $9,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 380 | $9,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 242 | $9,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 5,610 | $9,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 650 | $9,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 400 | $9,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 202 | $9,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 3,650 | $9,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 1,515 | $9,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 1,400 | $9,000 | thousands by filing date | |
| UNITED RENTALS INC | 911363AL3 | NOTE 4.000% | 1,000 | $9,000 | thousands by filing date | principal |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 85 | $9,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 700 | $9,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 200 | $9,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 743 | $9,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 700 | $8,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 290 | $8,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 550 | $8,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 500 | $8,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 391 | $8,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 410 | $8,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 948 | $8,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 400 | $8,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 2,593 | $8,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 525 | $8,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 407 | $8,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 3,389 | $8,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 613 | $8,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 4,450 | $8,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 4,500 | $8,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 650 | $8,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 1,115 | $8,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 3,846 | $8,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 162 | $8,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,000 | $8,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 500 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 359 | $8,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 330 | $8,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 2,814 | $8,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 1,000 | $8,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 111 | $7,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 125 | $7,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 277 | $7,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 100 | $7,000 | thousands by filing date | call |
| GREEN PLAINS INC | 393222104 | COM | 200 | $7,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 300 | $7,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 75 | $7,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,000 | $7,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 1,321 | $7,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $7,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 172 | $7,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 357 | $7,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 600 | $7,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 2,900 | $7,000 | thousands by filing date |
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 |