13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 6,081 holding rows worth $146,468,487,000.
- Accession
- 0001140361-14-042247
- Filer
- CIK 1000275
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 17,588 entries on the cover page, a total value of $146,468,487,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $146,468,487,000 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 managerRBC TRUSTEES (C.I.) LTD028-13008
- 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
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 |
|---|---|---|---|---|---|---|
| HANCOCK JOHN INVT TR II | 410142103 | COM | 6,556 | $121,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 2,126 | $121,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 10,200 | $121,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 9,527 | $121,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 1,234 | $120,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 9,000 | $120,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 8,378 | $120,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 7,762 | $120,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 14,300 | $120,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 6,970 | $119,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 1,327 | $119,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 21,756 | $119,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 38,459 | $119,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 1,320 | $119,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 39,750 | $119,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 19,621 | $118,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 5,000 | $118,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 4,418 | $117,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 5,212 | $117,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 4,085 | $117,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 928 | $117,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 8,040 | $117,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 2,053 | $117,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 15,700 | $117,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153105 | COM | 15,605 | $117,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 50,238 | $117,000 | thousands by filing date | |
| REVENUESHARES ADR | 761396605 | ADR FD | 2,932 | $116,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 3,585 | $115,000 | thousands by filing date | |
| ABM INDS INC | 000957100 | COM | 4,481 | $115,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 1,556 | $115,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 19,599 | $115,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 4,788 | $115,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 6,102 | $115,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 895 | $115,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W309 | ENH INTL SMCAP | 4,970 | $115,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 5,819 | $114,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 2,472 | $114,000 | thousands by filing date | |
| WAUSAU PAPER CORP | 943315101 | COM | 14,345 | $114,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 7,913 | $114,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 13,488 | $113,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 25,308 | $113,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 6,300 | $113,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 4,365 | $113,000 | thousands by filing date | principal |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 4,421 | $113,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 4,500 | $113,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 8,322 | $112,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 20,199 | $112,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 18,371 | $112,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 1,610 | $112,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 16,240 | $112,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 9,115 | $112,000 | thousands by filing date | |
| CUBESMART COM | 229663109 | REIT | 6,200 | $111,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 2,343 | $111,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 8,401 | $111,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 2,300 | $111,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 10,732 | $111,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 1,695 | $111,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 8,014 | $110,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 10,503 | $110,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 2,666 | $110,000 | thousands by filing date | |
| CYBERONICS | 23251P102 | COMMON STOCK | 2,171 | $110,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 4,063 | $110,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 10,500 | $110,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 50,894 | $109,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 5,313 | $109,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 23,640 | $109,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 4,300 | $109,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 2,896 | $108,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 855 | $108,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 12,521 | $108,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 5,766 | $108,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 2,411 | $108,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 3,985 | $108,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 7,000 | $108,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 3,700 | $108,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W408 | Cmn | 4,439 | $108,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 3,248 | $107,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 3,250 | $107,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 4,129 | $107,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 11,698 | $107,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 2,568 | $107,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 817 | $107,000 | thousands by filing date | principal |
| WL ROSS HLDG CORP | 92939D203 | UNIT 06/11/2019 | 10,000 | $107,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 11,700 | $106,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 9,516 | $106,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 8,800 | $106,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 1,996 | $106,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 6,860 | $106,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 3,615 | $106,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 7,323 | $106,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 4,915 | $106,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 6,780 | $106,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 5,840 | $106,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 6,314 | $105,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 12,578 | $105,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 7,936 | $105,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 6,800 | $104,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 5,814 | $104,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 25,100 | $104,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 7,478 | $104,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 7,469 | $103,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 6,643 | $103,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 14,800 | $103,000 | thousands by filing date | |
| ISHARES INC | 464286368 | MSCI GL SL MET | 5,645 | $103,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 7,064 | $103,000 | thousands by filing date | |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 4,319 | $102,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 6,578 | $102,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 6,367 | $102,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 6,047 | $102,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 16,427 | $102,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 2,162 | $101,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 2,103 | $101,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 10,801 | $101,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 6,174 | $101,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 3,518 | $101,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 8,400 | $101,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 2,795 | $100,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 2,319 | $100,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 8,261 | $100,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 5,185 | $100,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 6,323 | $99,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,000 | $99,000 | thousands by filing date | put |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,000 | $99,000 | thousands by filing date | call |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 6,275 | $99,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 10,000 | $99,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 1,834 | $99,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 9,029 | $98,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,792 | $98,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 5,883 | $98,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 11,765 | $98,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 29,751 | $98,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 3,800 | $98,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 1,853 | $97,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 7,633 | $97,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 5,100 | $97,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 5,699 | $97,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 7,560 | $97,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 5,700 | $97,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 6,100 | $96,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 5,125 | $96,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 7,558 | $96,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 6,923 | $96,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 4,200 | $96,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 233,009 | $96,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550107 | CL A | 4,900 | $96,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 7,100 | $96,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 3,241 | $95,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 13,158 | $95,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 3,637 | $95,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 25,954 | $95,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 12,133 | $95,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 75,000 | $95,000 | thousands by filing date | principal |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 3,984 | $95,000 | thousands by filing date | principal |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 7,507 | $95,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 2,736 | $95,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 6,433 | $94,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,188 | $94,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 2,140 | $94,000 | thousands by filing date | |
| LEXMARK INTL NEW | 529771107 | CL A | 2,200 | $94,000 | thousands by filing date | call |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 11,150 | $94,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 4,249 | $94,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 7,525 | $93,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 6,400 | $93,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 7,045 | $93,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 6,500 | $93,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 8,852 | $92,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 12,257 | $92,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 10,550 | $92,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 14,592 | $92,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 600 | $92,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 135,542 | $92,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 1,191 | $91,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 1,242 | $91,000 | thousands by filing date | |
| SAPIENT CORPORATION | 803062108 | COMMON STOCK | 6,460 | $91,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 16,639 | $91,000 | thousands by filing date | |
| ROVI CORP | 779376AB8 | CORPORATE OBLIG | 90,000 | $91,000 | thousands by filing date | principal |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 3,513 | $91,000 | thousands by filing date | principal |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 1,902 | $90,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 4,150 | $90,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 32,805 | $89,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 2,323 | $89,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 10,836 | $89,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 1,164 | $89,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 21,362 | $89,000 | thousands by filing date | |
| ISHARES TR | 46429B705 | MSCI RUSS INDX | 5,166 | $89,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 7,755 | $88,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 3,348 | $88,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 6,650 | $88,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 3,291 | $88,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 4,700 | $87,000 | thousands by filing date | |
| DIGITAL RIV INC | 25388B104 | COM | 5,981 | $87,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,300 | $87,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 5,215 | $86,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 5,773 | $86,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 6,601 | $86,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 5,473 | $86,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 6,861 | $86,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 3,430 | $86,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 2,219 | $86,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 3,700 | $85,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 886 | $85,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 8,536 | $85,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 3,228 | $85,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 9,534 | $84,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 1,681 | $84,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H104 | COM | 8,196 | $84,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 14,181 | $84,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 8,823 | $84,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 1,838 | $83,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 8,000 | $83,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 4,300 | $83,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 5,620 | $83,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 22,600 | $83,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 16,140 | $82,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $82,000 | thousands by filing date | |
| ADVENT SOFTWARE INC | 007974108 | COM | 2,584 | $82,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 6,553 | $82,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 5,067 | $82,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 3,967 | $82,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 1,665 | $82,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 23,926 | $81,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 470 | $81,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 3,300 | $81,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,841 | $81,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 1,113 | $81,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 1,376 | $81,000 | thousands by filing date | |
| ISHARES TR | 464289172 | MSCI EM MK FNL | 3,241 | $81,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 3,200 | $80,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 5,866 | $80,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 4,920 | $80,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 46,384 | $80,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 5,756 | $79,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 6,723 | $79,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 1,850 | $79,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 697 | $79,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,085 | $79,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 7,924 | $79,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 1,022 | $79,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 18,300 | $79,000 | thousands by filing date | |
| EXLSERVICE HLDGS INC COM | 302081104 | Stock | 3,186 | $78,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 2,798 | $78,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 6,000 | $78,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 4,612 | $78,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 2,000 | $78,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 6,350 | $78,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 5,387 | $78,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 1,400 | $77,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 12,033 | $77,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 2,730 | $77,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $77,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 3,400 | $77,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 6,100 | $77,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 3,000 | $76,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 2,361 | $76,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 5,050 | $76,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,453 | $76,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 9,752 | $76,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,086 | $76,000 | thousands by filing date | |
| ORBITAL SCIENCES CORP | 685564106 | COM | 2,716 | $76,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 3,964 | $76,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 5,904 | $76,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 3,600 | $76,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 4,928 | $75,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,500 | $75,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 3,182 | $75,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 12,900 | $75,000 | thousands by filing date | call |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 2,600 | $75,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 3,498 | $75,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 3,600 | $75,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 2,721 | $74,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 4,190 | $74,000 | thousands by filing date | |
| CHESAPEAKE LODGING TR | 165240102 | SH BEN INT | 2,553 | $74,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 5,700 | $74,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 1,265 | $74,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 2,906 | $74,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 3,640 | $74,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 5,944 | $73,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 11,191 | $73,000 | thousands by filing date | |
| MEMORIAL RESOURCE DEVELOPMENT | 58605Q109 | COM | 2,700 | $73,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 7,067 | $72,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 6,701 | $72,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 6,976 | $72,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 8,809 | $72,000 | thousands by filing date | |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 3,000 | $72,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 8,700 | $72,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 7,800 | $71,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 2,000 | $71,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 5,299 | $71,000 | thousands by filing date | |
| SYNAGEVA BIOPHARMA CORP | 87159A103 | COM | 1,032 | $71,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 5,085 | $71,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 12,900 | $71,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 4,555 | $71,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 1,272 | $70,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 1,996 | $70,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 2,000 | $70,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 5,000 | $69,000 | thousands by filing date | put |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 4,000 | $69,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 4,800 | $69,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 12,000 | $69,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 13,325 | $68,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 8,500 | $68,000 | thousands by filing date | |
| LEHIGH GAS PARTNERS LP | 524814100 | UT LTD PTN INT | 2,000 | $68,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 4,064 | $68,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 5,081 | $67,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 6,006 | $67,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 2,604 | $67,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 3,795 | $67,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 3,000 | $66,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 9,307 | $66,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 3,777 | $66,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 5,647 | $66,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 3,377 | $66,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 10,000 | $66,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 3,850 | $66,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,034 | $66,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 5,300 | $66,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 4,391 | $66,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 3,800 | $66,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 2,699 | $65,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,825 | $65,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $65,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 2,000 | $65,000 | thousands by filing date | call |
| RTI INTL METALS INC | 74973W107 | COM | 2,632 | $65,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 20,042 | $65,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 2,557 | $64,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 666 | $64,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 1,756 | $64,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 3,400 | $64,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 5,012 | $64,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 9,517 | $64,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 16,000 | $64,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 9,807 | $64,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 64,000 | $64,000 | thousands by filing date | principal |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 5,000 | $64,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 2,309 | $64,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 7,210 | $63,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 2,355 | $63,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 11,000 | $63,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 838 | $63,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 5,925 | $63,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 8,942 | $63,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 37,800 | $63,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 16,875 | $63,000 | thousands by filing date | |
| ISHARES TR | 46429B374 | ALCO ASIA INFO | 1,857 | $63,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 5,952 | $63,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 18,507 | $62,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 1,782 | $62,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 2,322 | $62,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 4,497 | $62,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 2,600 | $62,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 4,608 | $62,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 4,543 | $62,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 5,034 | $61,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 5,200 | $61,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 2,790 | $61,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 12,270 | $61,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 4,448 | $61,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 3,006 | $61,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 4,644 | $61,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 4,600 | $61,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 3,169 | $61,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 3,198 | $60,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 2,111 | $60,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 4,852 | $60,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 2,207 | $60,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 3,000 | $60,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 3,576 | $60,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 15,796 | $60,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 2,900 | $60,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 3,700 | $60,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 8,960 | $60,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 634 | $59,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 3,150 | $59,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 2,860 | $59,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 878 | $59,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 3,860 | $59,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 5,000 | $58,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 14,950 | $58,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 4,525 | $58,000 | thousands by filing date | |
| GLOBE SPECIALTY METALS INC | 37954N206 | COM | 3,183 | $58,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 5,125 | $58,000 | thousands by filing date | |
| POINT 360 | 730507100 | COM | 119,400 | $58,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 2,656 | $58,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 1,659 | $58,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 1,095 | $57,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 2,450 | $57,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 6,000 | $57,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 4,634 | $57,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 4,300 | $57,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 2,263 | $57,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 464 | $57,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 14,000 | $56,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 840 | $56,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,000 | $56,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,750 | $56,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 4,200 | $56,000 | thousands by filing date | |
| TW TELECOM INC | 87311L104 | COM | 1,356 | $56,000 | thousands by filing date | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 54,000 | $56,000 | thousands by filing date | principal |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,674 | $56,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 2,560 | $56,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 3,650 | $55,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 3,172 | $55,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 3,213 | $55,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 4,950 | $55,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 2,415 | $55,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 4,008 | $55,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 4,690 | $55,000 | thousands by filing date | |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 465 | $55,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 1,531 | $55,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 1,546 | $54,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 1,344 | $54,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 1,023 | $54,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 5,807 | $54,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 1,510 | $54,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 1,335 | $54,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 6,006 | $54,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 11,300 | $54,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 2,095 | $54,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 1,905 | $53,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 11,500 | $53,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 2,684 | $53,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 4,162 | $53,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 2,828 | $53,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $53,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 4,733 | $52,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 1,000 | $52,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 10,000 | $52,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 289 | $52,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 3,005 | $52,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,080 | $52,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,235 | $52,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 5,468 | $52,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 6,109 | $52,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 18,500 | $52,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 8,181 | $52,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 10,176 | $52,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 1,330 | $51,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 1,197 | $51,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 4,732 | $51,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 1,052 | $51,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 2,550 | $51,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 2,498 | $51,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 1,017 | $51,000 | thousands by filing date | |
| DEMANDWARE INC | 24802Y105 | COM | 1,000 | $51,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 851 | $51,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 14,470 | $51,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 10,000 | $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 |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 4,412 | $50,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,522 | $50,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 2,726 | $50,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 8,600 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 1,805 | $50,000 | thousands by filing date | |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 50,000 | $50,000 | thousands by filing date | principal |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 768 | $49,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 17,995 | $49,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 1,180 | $49,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 10,519 | $49,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 12,000 | $49,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 65,098 | $49,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 16,232 | $49,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 1,936 | $49,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 1,915 | $49,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 1,752 | $49,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 2,000 | $49,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 500 | $48,000 | thousands by filing date | put |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,326 | $48,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 2,975 | $48,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 558 | $48,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 1,995 | $48,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 1,351 | $48,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 2,000 | $48,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 1,203 | $48,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 3,000 | $48,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 1,220 | $48,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 2,107 | $48,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 1,616 | $48,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 2,450 | $48,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 1,756 | $47,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 2,400 | $47,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 75 | $47,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $47,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 1,880 | $47,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 4,000 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1,000 | $47,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 4,000 | $47,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 1,100 | $46,000 | thousands by filing date | put |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,946 | $46,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 1,730 | $46,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 2,000 | $46,000 | thousands by filing date | put |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 3,175 | $46,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 1,000 | $46,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 6,200 | $46,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 6,100 | $46,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 7,000 | $46,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 376 | $46,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 3,707 | $46,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 850 | $46,000 | thousands by filing date | principal |
| CATHAY GEN BANCORP | 149150104 | COM | 1,820 | $45,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 3,000 | $45,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-042247 | this filing | 2014-11-14 | acceptance time not in the bulk data set |