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 |
|---|---|---|---|---|---|---|
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 3,387 | $45,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 9,661 | $45,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 1,046 | $44,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 1,426 | $44,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 3,100 | $44,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 3,157 | $44,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 3,760 | $44,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 41,000 | $44,000 | thousands by filing date | principal |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,500 | $44,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,000 | $44,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 3,201 | $44,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 14,500 | $44,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 618 | $44,000 | thousands by filing date | |
| CONSTELLATION ENERGY PRTNR L | 21038E101 | COM UNIT LLC B | 12,300 | $44,000 | thousands by filing date | |
| BAXANO SURGICAL | 071773105 | COM | 242,719 | $44,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 5,202 | $44,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 22,723 | $44,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 13,451 | $43,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 1,944 | $43,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 18,000 | $43,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 3,959 | $43,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 3,886 | $43,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 1,684 | $43,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 58,960 | $43,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 43,000 | $43,000 | thousands by filing date | principal |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 4,120 | $43,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U530 | LAT AM SML CAP | 2,421 | $43,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 910 | $42,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 2,100 | $42,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 40,000 | $42,000 | thousands by filing date | principal |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,000 | $42,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 1,367 | $42,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 9,524 | $42,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 1,140 | $41,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 1,350 | $41,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 1,166 | $41,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,019 | $41,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 2,845 | $41,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 2,634 | $41,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 2,291 | $41,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 3,177 | $41,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 3,330 | $41,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 2,700 | $41,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 650 | $41,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 6,959 | $41,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 2,700 | $40,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 2,300 | $40,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 1,876 | $40,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 40,000 | $40,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,250 | $40,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 15,900 | $40,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 1,831 | $40,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 2,875 | $40,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 541 | $40,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 1,330 | $40,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 387 | $40,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 2,350 | $40,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 4,500 | $40,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 4,982 | $40,000 | thousands by filing date | |
| JAN VELOCITY VELOCITY HED | 00162Q791 | Equities | 1,350 | $40,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 3,200 | $39,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 3,054 | $39,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 40,000 | $39,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 35,000 | $39,000 | thousands by filing date | principal |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 1,577 | $39,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,000 | $39,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 9,443 | $39,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 2,866 | $39,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 1,500 | $39,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 800 | $39,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 3,004 | $39,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 1,550 | $39,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 40,000 | $39,000 | thousands by filing date | principal |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 583 | $38,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 600 | $38,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 1,147 | $38,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 2,613 | $38,000 | thousands by filing date | |
| FOSTER WHEELER AG | H27178104 | COM | 1,200 | $38,000 | thousands by filing date | put |
| Cbs Corporation Cl A New | 124857103 | CLA | 700 | $38,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 30,000 | $38,000 | thousands by filing date | principal |
| K2M GROUP HLDGS INC | 48273J107 | COM | 2,657 | $38,000 | thousands by filing date | |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 562 | $37,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 1,095 | $37,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 2,435 | $37,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 2,200 | $37,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $37,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 35,000 | $37,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 33,309 | $37,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,661 | $37,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 5,000 | $37,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 3,700 | $36,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,777 | $36,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 1,500 | $36,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 4,500 | $36,000 | thousands by filing date | |
| ISHARES TR | 46429B184 | UTILITIES SECT | 700 | $36,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 1,680 | $36,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 35,000 | $36,000 | thousands by filing date | principal |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 1,773 | $35,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 1,050 | $35,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 9,396 | $35,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 4,702 | $35,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 1,221 | $35,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 2,400 | $35,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 35,000 | $35,000 | thousands by filing date | principal |
| SAFEWAY INC | 786514208 | COM NEW | 1,000 | $34,000 | thousands by filing date | put |
| TECHTARGET INC | 87874R100 | COM | 3,900 | $34,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,000 | $34,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 2,155 | $34,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 3,183 | $34,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,500 | $34,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 930 | $34,000 | thousands by filing date | |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 1,700 | $34,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 19,000 | $34,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 1,500 | $33,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 490 | $33,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 2,820 | $33,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 2,910 | $33,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 1,500 | $33,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 1,250 | $33,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 3,057 | $33,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 709 | $33,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 2,012 | $33,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 9,302 | $33,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 40,000 | $33,000 | thousands by filing date | principal |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 3,400 | $33,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 16,100 | $32,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 520 | $32,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,000 | $32,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 1,935 | $32,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 3,544 | $32,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 638 | $32,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 35,000 | $32,000 | thousands by filing date | principal |
| ICONIX BRAND GROUP INC | 451055AE7 | NOTE | 25,000 | $32,000 | thousands by filing date | principal |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 108,380 | $32,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 1,300 | $31,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 1,133 | $31,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 900 | $31,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $31,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 2,402 | $31,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 5,300 | $31,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 30,000 | $31,000 | thousands by filing date | principal |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,000 | $31,000 | thousands by filing date | |
| ISHARES TR | 464288455 | EPRA/NAR NA IN | 610 | $31,000 | thousands by filing date | |
| ISHARES INC | 464286467 | EMKTS GRW IDX | 551 | $31,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $31,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 2,181 | $31,000 | thousands by filing date | |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 30,000 | $31,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y249 | MID CAP BULL2X | 800 | $31,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 2,501 | $30,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 360 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,000 | $30,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 3,606 | $30,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 3,607 | $30,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,000 | $30,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 2,400 | $30,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,000 | $30,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 1,500 | $30,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 3,600 | $30,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 5,750 | $30,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,600 | $30,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 4,000 | $30,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 10,096 | $30,000 | thousands by filing date | |
| ALCO STORES INC | 001600105 | COM | 15,007 | $30,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 1,300 | $30,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 3,750 | $30,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 3,669 | $29,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 1,200 | $29,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 1,960 | $29,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 2,500 | $29,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 292 | $29,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 3,095 | $29,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 1,600 | $29,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 2,930 | $29,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 1,800 | $29,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,119 | $29,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 6,698 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74348A384 | ULSH RUSS2000 VL | 496 | $29,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 2,679 | $28,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 548 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $28,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 1,250 | $28,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 950 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 565 | $28,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 490 | $28,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,007 | $28,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 6,625 | $28,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 178,337 | $28,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 17,800 | $28,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 145,358 | $28,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,922 | $28,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 22,643 | $28,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,120 | $28,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 2,944 | $28,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 762 | $27,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,084 | $27,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 1,500 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 450 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 468 | $27,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 3,908 | $26,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 252 | $26,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $26,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,584 | $26,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 900 | $26,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 1,935 | $26,000 | thousands by filing date | |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 25,000 | $26,000 | thousands by filing date | principal |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,880 | $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 | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 250 | $26,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 25,000 | $26,000 | thousands by filing date | principal |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 4,244 | $25,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 608 | $25,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 10,620 | $25,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,027 | $25,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 500 | $25,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 2,281 | $25,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,800 | $25,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 1,192 | $25,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 47,649 | $25,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L209 | US MC TRENDP ETN | 750 | $25,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 800 | $25,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R437 | MSCI IN QLT DI | 495 | $25,000 | thousands by filing date | |
| LAKES ENTERTAINMEN | 51206P208 | COM | 3,000 | $25,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 3,020 | $24,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 1,700 | $24,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,000 | $24,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 3,600 | $24,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 1,005 | $24,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,000 | $24,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 675 | $24,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,072 | $24,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 25,000 | $24,000 | thousands by filing date | principal |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 2,716 | $24,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 5,666 | $24,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 5,500 | $24,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 605 | $24,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 1,800 | $24,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,367 | $24,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 2,000 | $24,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 199 | $24,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 1,000 | $23,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 475 | $23,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,200 | $23,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 1,737 | $23,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 303 | $23,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 1,000 | $23,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 1,400 | $23,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,000 | $23,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 9,000 | $23,000 | thousands by filing date | principal |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 1,760 | $23,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 6,000 | $23,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 3,910 | $23,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 1,200 | $23,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,600 | $22,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 900 | $22,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 531 | $22,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,000 | $22,000 | thousands by filing date | |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 25,000 | $22,000 | thousands by filing date | principal |
| 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 | |
| EMULEX CORP | 292475209 | COM NEW | 4,437 | $22,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 1,000 | $22,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 1,347 | $22,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 436 | $22,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 277 | $22,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,420 | $22,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,555 | $22,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 707 | $21,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 841 | $21,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 1,000 | $21,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,393 | $21,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 1,306 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 282 | $21,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 700 | $21,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 1,950 | $21,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,968 | $21,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $21,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 454 | $21,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,442 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 200 | $21,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 663 | $21,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 6,078 | $21,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $21,000 | thousands by filing date | principal |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 7,448 | $21,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 17,700 | $21,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 796 | $21,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,366 | $21,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R304 | FALLN ANGL USD | 770 | $21,000 | thousands by filing date | |
| CHINA MOBILE GAMES & ENTERTAINMENT LTD | 16952T100 | COM | 1,000 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 1,000 | $21,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 1,381 | $20,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 265 | $20,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 1,100 | $20,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 920 | $20,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,305 | $20,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 7,854 | $20,000 | thousands by filing date | |
| MEDASSETS INC | 584045108 | COM | 949 | $20,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 372 | $20,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,000 | $20,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 1,157 | $20,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 1,600 | $20,000 | thousands by filing date | |
| AETRIUM INC | 00817R202 | COM NEW | 4,716 | $20,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 810 | $19,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 2,055 | $19,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 1,538 | $19,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 438 | $19,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,000 | $19,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,845 | $19,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 500 | $19,000 | thousands by filing date | call |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 10,945 | $19,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 1,856 | $19,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 1,200 | $19,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 507 | $19,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 200 | $18,000 | thousands by filing date | call |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 789 | $18,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 613 | $18,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 564 | $18,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 5,408 | $18,000 | thousands by filing date | |
| GREATBATCH INC | 39153L106 | COM | 421 | $18,000 | thousands by filing date | |
| NORTH VALLEY BANCORP | 66304M204 | COM NEW | 840 | $18,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 206 | $18,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,329 | $18,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 5,361 | $18,000 | thousands by filing date | |
| CORPBANCA | 21987A209 | SPONSORED ADR | 982 | $18,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 4,000 | $18,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 515 | $18,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 1,537 | $17,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 800 | $17,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 345 | $17,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 29,040 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 499 | $17,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 4,750 | $17,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 995 | $17,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,421 | $17,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 1,997 | $17,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,200 | $17,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 300 | $17,000 | thousands by filing date | put |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 400 | $17,000 | thousands by filing date | put |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 2,300 | $17,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,000 | $17,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,100 | $17,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 2,460 | $17,000 | thousands by filing date | |
| GENTIVA HEALTH SERVICES | 37247A102 | COM | 1,016 | $17,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 533 | $17,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,162 | $17,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 800 | $17,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 825 | $16,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 650 | $16,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 980 | $16,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $16,000 | thousands by filing date | |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 950 | $16,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 1,300 | $16,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 3,320 | $16,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 900 | $16,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 1,000 | $16,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 1,079 | $16,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 27,775 | $16,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,468 | $16,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 1,300 | $16,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 3,825 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 500 | $16,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 489 | $16,000 | thousands by filing date | |
| TALMER BANCORP INC | 87482X101 | COM | 1,163 | $16,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 573 | $15,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 200 | $15,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 219 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 200 | $15,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 749 | $15,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 200 | $15,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 152 | $15,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 842 | $15,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 325 | $15,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 7,850 | $15,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 3,000 | $15,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,620 | $15,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 1,600 | $15,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,100 | $15,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 854 | $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 |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 1,750 | $15,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,000 | $14,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $14,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 1,480 | $14,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 198 | $14,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 600 | $14,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 2,067 | $14,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 600 | $14,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 270 | $14,000 | thousands by filing date | principal |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 3,268 | $14,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 7,584 | $14,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 200 | $14,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P203 | COM NEW | 14,800 | $14,000 | thousands by filing date | |
| IGATE CORP | 45169U105 | COM | 375 | $14,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 300 | $14,000 | thousands by filing date | put |
| SEQUENOM INC COM NEW | 817337405 | COM | 5,000 | $14,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 2,000 | $14,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 59,501 | $14,000 | thousands by filing date | |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 698 | $14,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 281 | $13,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 566 | $13,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 400 | $13,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 438 | $13,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 700 | $13,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 3,606 | $13,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 1,000 | $13,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 200 | $13,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 400 | $13,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,000 | $13,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 1,000 | $13,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 1,798 | $13,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 2,655 | $13,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 650 | $13,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 450 | $13,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,100 | $13,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 9,321 | $13,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 575 | $13,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 859 | $13,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $13,000 | thousands by filing date | principal |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 12,000 | $13,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 1,350 | $13,000 | thousands by filing date | |
| PUREFUNDS ISE JUNIOR SILV | 30304R308 | COM | 1,300 | $13,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $13,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 250 | $13,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 18,070 | $13,000 | thousands by filing date | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,000 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 450 | $13,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 1,100 | $12,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,000 | $12,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,100 | $12,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,000 | $12,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,179 | $12,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 250 | $12,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 600 | $12,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 1,544 | $12,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 3,575 | $12,000 | thousands by filing date | |
| FLEETMATICS GROUP PLC | G35569105 | COM | 390 | $12,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 250 | $12,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 10,244 | $12,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 5,000 | $12,000 | thousands by filing date | principal |
| TELETECH HOLDINGS INC | 879939106 | COM | 498 | $12,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 19,500 | $12,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 1,168 | $12,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 6,801 | $12,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 954 | $12,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 418 | $12,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 185 | $12,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 483 | $12,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 14,286 | $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 |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 30,500 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 447 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 85 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 703 | $11,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $11,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 181 | $11,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 200 | $11,000 | thousands by filing date | call |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 607 | $11,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 337 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 580 | $11,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 660 | $11,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 10,000 | $11,000 | thousands by filing date | principal |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,001 | $11,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 899 | $11,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 7,300 | $11,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,585 | $11,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 1,000 | $11,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 449 | $11,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 7,937 | $11,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 1,250 | $11,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 158 | $11,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 800 | $11,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 8,600 | $11,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 830 | $11,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 10,000 | $11,000 | thousands by filing date | principal |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 200 | $11,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 500 | $11,000 | thousands by filing date | |
| FIRST TR ISE GLBL PLAT INDX | 33737C104 | COM | 1,000 | $11,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 443 | $11,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 600 | $11,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063209 | ADR NEW | 285 | $11,000 | thousands by filing date | |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 300 | $10,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 120 | $10,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 10,000 | $10,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 357 | $10,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 300 | $10,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 1,000 | $10,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 708 | $10,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 253 | $10,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 750 | $10,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 1,841 | $10,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $10,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | principal |
| APPLOVIN CORP CLASS A | 023850100 | COM | 12,800 | $10,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 300 | $10,000 | thousands by filing date | |
| MICREL INC | 594793101 | COM | 850 | $10,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 16,500 | $10,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 10,000 | $10,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 5,000 | $10,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 650 | $10,000 | 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 |