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 |
|---|---|---|---|---|---|---|
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 1,551 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 609 | $10,000 | thousands by filing date | |
| UNITED RENTALS INC | 911363AL3 | NOTE 4.000% | 1,000 | $10,000 | thousands by filing date | principal |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 10,000 | $10,000 | thousands by filing date | principal |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 687 | $10,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 400 | $10,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,000 | $9,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 275 | $9,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 120 | $9,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 937 | $9,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 500 | $9,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 151 | $9,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 520 | $9,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 251 | $9,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 956 | $9,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 400 | $9,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 465 | $9,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 270 | $9,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 7,700 | $9,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 400 | $9,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 500 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 746 | $9,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 6,000 | $9,000 | thousands by filing date | principal |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 3,000 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R205 | INTL HI YLD BD | 354 | $9,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 2,635 | $9,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 3,500 | $9,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 1,400 | $9,000 | thousands by filing date | |
| RIVER VY BANCORP | 768475105 | COM | 400 | $9,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 6,860 | $9,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 145 | $9,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 975 | $9,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 500 | $9,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 500 | $8,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 1,000 | $8,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 6,000 | $8,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 1,155 | $8,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 88 | $8,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 189 | $8,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 510 | $8,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 500 | $8,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 351 | $8,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 300 | $8,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 875 | $8,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $8,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 300 | $8,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 990 | $8,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 700 | $8,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 700 | $8,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,486 | $8,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 400 | $8,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 685 | $8,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 430 | $8,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 415 | $8,000 | thousands by filing date | |
| UNITED STATIONERS INC | 913004107 | COM | 200 | $8,000 | thousands by filing date | |
| LIFE TIME FITNESS INC | 53217R207 | COM | 166 | $8,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 6,000 | $8,000 | thousands by filing date | principal |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 307 | $8,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 400 | $8,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 115 | $8,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 515 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 459 | $8,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 864 | $8,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 1,000 | $8,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 141 | $7,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 100 | $7,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 250 | $7,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 210 | $7,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 285 | $7,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 2,000 | $7,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 100 | $7,000 | thousands by filing date | call |
| THL CREDIT INC | 872438106 | COM | 550 | $7,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 159 | $7,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 300 | $7,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,000 | $7,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 1,000 | $7,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 800 | $7,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 11,453 | $7,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $7,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 2,000 | $7,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678107 | COM | 100 | $7,000 | thousands by filing date | call |
| CINCINNATI BELL INC NEW | 171871106 | COM | 1,950 | $7,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 1,000 | $7,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 6,000 | $7,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 4,700 | $7,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,100 | $7,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 800 | $7,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 500 | $7,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 1,111 | $7,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 7,500 | $7,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 274 | $7,000 | thousands by filing date | |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 6,000 | $7,000 | thousands by filing date | principal |
| CHEROKEE INC | 16444H102 | COM | 380 | $7,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 800 | $7,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U431 | LATAM AGGR BD | 318 | $7,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 162 | $7,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 280 | $7,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 22,400 | $7,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $7,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 283 | $7,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 800 | $7,000 | thousands by filing date | |
| Ivanhoe Energy Inc | 465790509 | Common Stock | 4,482 | $7,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 500 | $6,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 125 | $6,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 100 | $6,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,071 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 100 | $6,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 1,000 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 260 | $6,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 3,000 | $6,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 800 | $6,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 3,600 | $6,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 384 | $6,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 318 | $6,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 200 | $6,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 195 | $6,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 450 | $6,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 1,501 | $6,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR REIT | 427825104 | SH BEN INT A | 1,000 | $6,000 | thousands by filing date | |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 500 | $6,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,476 | $6,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 774 | $6,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 4,450 | $6,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 383 | $6,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| AMREIT INC | 03216B208 | CL B | 250 | $6,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 300 | $6,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 2,900 | $6,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 1,000 | $6,000 | thousands by filing date | principal |
| Meru Networks, Inc. | 59047Q103 | COM | 1,500 | $6,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 500 | $6,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 400 | $6,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 1,100 | $6,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 250 | $6,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 500 | $6,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 1,000 | $6,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 200 | $5,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 194 | $5,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 39 | $5,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 100 | $5,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 200 | $5,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 194 | $5,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 600 | $5,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 150 | $5,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 2,500 | $5,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 200 | $5,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 80 | $5,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 5,000 | $5,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 815 | $5,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 300 | $5,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 165 | $5,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 500 | $5,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 400 | $5,000 | thousands by filing date | call |
| Transition Therapeutics, Inc. | 893716209 | COM | 622 | $5,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 500 | $5,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 1,137 | $5,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 6,801 | $5,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 300 | $5,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 2,000 | $5,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 200 | $5,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 6,764 | $5,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 4,300 | $5,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 2,000 | $5,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 2,000 | $5,000 | thousands by filing date | principal |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 215 | $5,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,187 | $5,000 | thousands by filing date | |
| ISHARES TR | 46429B622 | MSCI A/C ASIA | 91 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 115 | $5,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 500 | $5,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 2,538 | $5,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 300 | $4,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 312 | $4,000 | thousands by filing date | call |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 161 | $4,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 342 | $4,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 100 | $4,000 | thousands by filing date | call |
| MYRIAD GENETICS INC | 62855J104 | COM | 100 | $4,000 | thousands by filing date | call |
| ALBANY INTL CORP | 012348108 | CL A | 104 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 161 | $4,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 122 | $4,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 254 | $4,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 100 | $4,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 350 | $4,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 300 | $4,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 125 | $4,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 3,655 | $4,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 1,600 | $4,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 154 | $4,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 300 | $4,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 99 | $4,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 5,000 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739H263 | FUND | 88 | $4,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 200 | $4,000 | thousands by filing date | |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 149 | $4,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 110 | $4,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 4,000 | $4,000 | thousands by filing date | principal |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 424 | $4,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 500 | $4,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 300 | $4,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 2,950 | $4,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 400 | $4,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 2,083 | $4,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 4,350 | $4,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 5,000 | $4,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 1,900 | $4,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 250 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 100 | $4,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 300 | $4,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 139 | $4,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 2,050 | $4,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 3,900 | $4,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 1,100 | $4,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 153 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E481 | GLB X CDA PFD | 300 | $4,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 330 | $4,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 666 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288547 | RETAIL CAP IDX | 103 | $4,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 130 | $4,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 300 | $4,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641828 | LIVESTK ETN 38 | 150 | $4,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 300 | $4,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 232 | $4,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 400 | $4,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 1,330 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R445 | MSCI EM QUALITY | 80 | $4,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 65 | $3,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 238 | $3,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 55 | $3,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 100 | $3,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,403 | $3,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 114 | $3,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 50 | $3,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,000 | $3,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 80 | $3,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 200 | $3,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 1,750 | $3,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 200 | $3,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 256 | $3,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 65 | $3,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 100 | $3,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 211 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 125 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 325 | $3,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 150 | $3,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 30,000 | $3,000 | thousands by filing date | |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 4,000 | $3,000 | thousands by filing date | principal |
| COBALT INTL ENERGY INC | 19075F106 | COM | 200 | $3,000 | thousands by filing date | put |
| CRAY INC | 225223304 | COM NEW | 125 | $3,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 1,000 | $3,000 | thousands by filing date | |
| HOME INNS & HOTELS MGMT INC | 43713W107 | SPON ADR | 100 | $3,000 | thousands by filing date | |
| BBCN BANCORP INC | 073295107 | COM | 238 | $3,000 | thousands by filing date | |
| MOVE INC | 62458M207 | COM NEW | 150 | $3,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 300 | $3,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 281 | $3,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 100 | $3,000 | thousands by filing date | |
| HFF INC | 40418F108 | CL A | 119 | $3,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 300 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 115 | $3,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 1,289 | $3,000 | thousands by filing date | |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 530 | $3,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 6,000 | $3,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 300 | $3,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 422 | $3,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 175 | $3,000 | thousands by filing date | |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| AV HOMES INC | 00234P102 | COM | 181 | $3,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 2,000 | $3,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A806 | ULT INV GRD CP | 50 | $3,000 | thousands by filing date | |
| ISHARES TR | 46429B457 | MSCI HK SML CP | 90 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 82 | $3,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 200 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 55 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 106 | $3,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 225 | $3,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 809 | $3,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 1,042 | $3,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 950 | $3,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 35 | $2,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 5,000 | $2,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 103 | $2,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 100 | $2,000 | thousands by filing date | |
| MARKIT LTD | G58249106 | SHS | 100 | $2,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 574 | $2,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 136 | $2,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 72 | $2,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 19 | $2,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 100 | $2,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 280 | $2,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 600 | $2,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 90 | $2,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 59 | $2,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 450 | $2,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 17 | $2,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 230 | $2,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 2,951 | $2,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 75 | $2,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 160 | $2,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 900 | $2,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 533 | $2,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 28 | $2,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 19 | $2,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 1,012 | $2,000 | thousands by filing date | |
| OM GROUP INC | 670872100 | COM | 71 | $2,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 225 | $2,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 40 | $2,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 1,000 | $2,000 | thousands by filing date | principal |
| NOVACOPPER INC | 66988K102 | COM | 3,305 | $2,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 300 | $2,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 450 | $2,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 16 | $2,000 | thousands by filing date | principal |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 628 | $2,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 200 | $2,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 2,000 | $2,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 100 | $2,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 100 | $2,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 2,200 | $2,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 1,000 | $2,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 2,500 | $2,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 100 | $2,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 200 | $2,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 1,038 | $2,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P143 | RBS NASD LKD41 | 63 | $2,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 180 | $2,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 1,691 | $2,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 110 | $2,000 | thousands by filing date | |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 11,721 | $2,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 22 | $2,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 800 | $2,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 1,249 | $2,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 834 | $2,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 86 | $2,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 68 | $2,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 77 | $2,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 300 | $2,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526401 | COM NEW ADDED | 937 | $2,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 1,428 | $1,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 219 | $1,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 50 | $1,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 55 | $1,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 26 | $1,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 43 | $1,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 80 | $1,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 42 | $1,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 37 | $1,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 31 | $1,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 49 | $1,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 24 | $1,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 100 | $1,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,000 | $1,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 140 | $1,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 38 | $1,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 750 | $1,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 170 | $1,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 39 | $1,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 150 | $1,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| SANOFI | 80105N113 | COMMON STOCK-FO | 1,889 | $1,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 1,533 | $1,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 77 | $1,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 35 | $1,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 1,000 | $1,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 1,127 | $1,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 19 | $1,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397184 | RIGHT 10/20/2014 | 25,767 | $1,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 293 | $1,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 74 | $1,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 1 | $1,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 100 | $1,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 145 | $1,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 305 | $1,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 103 | $1,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 500 | $1,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 300 | $1,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017117 | UNIT 99/99/9999 | 14 | $1,000 | thousands by filing date | principal |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 2,000 | $1,000 | thousands by filing date | principal |
| METABOLIX INC | 591018809 | COM | 1,000 | $1,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 35 | $1,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 508 | $1,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 100 | $1,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 400 | $1,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 1,000 | $1,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 300 | $1,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 900 | $1,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 585 | $1,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 1,000 | $1,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 639 | $1,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 710 | $1,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 502 | $1,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 1,000 | $1,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 803 | $1,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 48 | $1,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 74 | $1,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 250 | $1,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P150 | CHINA TRNDP ETF | 25 | $1,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 1,025 | $1,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 300 | $1,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 1,200 | $1,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 74 | $1,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 169 | $1,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 85 | $1,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 72 | $1,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 870 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 40 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A616 | PSHS ULCONSM NEW | 49 | $1,000 | thousands by filing date | |
| GYRODYNE CO AMER INC | 403820103 | COM | 250 | $1,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 50 | $1,000 | thousands by filing date | |
| ISHARES TR | 464289198 | MSCI EMG MATS | 84 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286384 | MSCI EMRG EMEA | 18 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 91 | $1,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 93 | $1,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 1,000 | $1,000 | thousands by filing date | |
| LE GAGA HLDGS LTD | 521168104 | SPONSORED ADR | 127 | $1,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 172 | $1,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 200 | $1,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U415 | COLUMBIA ETF | 28 | $1,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 300 | $1,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K105 | CL A SHS | 1,750 | $1,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 500 | $1,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 151 | $1,000 | thousands by filing date | |
| ZAZA ENERGY CORP - NEW | 98919T407 | COM | 145 | $1,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 44 | $1,000 | thousands by filing date | |
| Coupons Com Inc | 22265J102 | Common Stock | 100 | $1,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 50 | $1,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO COM PAR NEW | 560690307 | Stock | 1,000 | $1,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 82 | $1,000 | thousands by filing date | |
| BORDERFREE INC | 09970L100 | COM | 100 | $1,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461456 | EGSHS E MKTS DIV | 72 | $1,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERACYTE INC COM | 92337F107 | Stock | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NMI HLDGS INC | 629209305 | COM | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSCAT INC | 893529107 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACCURAY INC DEL | 004397105 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO | 277461406 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AARONS INC | 002535300 | COM PAR $0.50 | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HMS HLDGS CORP | 40425J101 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INPHI CORP | 45772F107 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LANTRONIX INC | 516548203 | COMMON STOCK | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARK RESTAURANTS CORP | 040712101 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COFFEE HLDG CO INC | 192176105 | COM | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AWARE INC MASS | 05453N100 | CMN | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CSP INC | 126389105 | CMN | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| MANNATECH INC | 563771203 | COM NEW | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIR T INC | 009207101 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 222 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGENUS INC | 00847G705 | COM NEW | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INUVO INC | 46122W204 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SP PLUS CORP | 78469C103 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CITIZENS HLDG CO MISS | 174715102 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Gevo Inc | 374396109 | COMMON | 1,136 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REALPAGE INC | 75606N109 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MULTIMEDIA GAMES HOLDING CO | 625453105 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENDRELL CORP | 70686R104 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHH CORP | 693320202 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BG MEDICINE INC | 08861T107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| K12 INC | 48273U102 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PANTRY INC | 698657103 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMBASSADORS GROUP INC | 023177108 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERMOLECULAR INC | 45882D109 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GSE SYS INC | 36227k106 | COM | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 155 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OI S.A. | 670851203 | SPN ADR REP PFD | 264 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIVUS INC | 928551100 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SILVER BULL RES INC | 827458100 | COM | 157 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |