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 |
|---|---|---|---|---|---|---|
| VANTIV INC | 92210H105 | CL A | 464,681 | $14,359,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 12,186,000 | $14,349,000 | thousands by filing date | principal |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 285,681 | $14,344,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 991,784 | $14,342,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 150,178 | $14,332,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 350,809 | $14,310,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 300,000 | $14,307,000 | thousands by filing date | put |
| VALE S A | 91912E105 | SPONSORED ADS | 1,297,300 | $14,283,000 | thousands by filing date | put |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 285,287 | $14,275,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 13,013,000 | $14,249,000 | thousands by filing date | principal |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 241,200 | $14,202,000 | thousands by filing date | put |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 478,014 | $14,182,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 428,512 | $14,175,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 807,555 | $14,174,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 238,034 | $14,149,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 109,900 | $14,139,000 | thousands by filing date | call |
| UNUM GROUP COM | 91529Y106 | Stock | 409,991 | $14,096,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 160,643 | $14,035,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 239,924 | $13,963,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 374,703 | $13,943,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 1,864,394 | $13,927,000 | thousands by filing date | |
| ROCKWOOD HLDGS INC | 774415103 | COM | 182,000 | $13,914,000 | thousands by filing date | call |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 210,977 | $13,912,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 600,000 | $13,902,000 | thousands by filing date | put |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 144,437 | $13,850,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 282,000 | $13,846,000 | thousands by filing date | put |
| DILLARDS INC CL A | 254067101 | Stock | 127,000 | $13,840,000 | thousands by filing date | call |
| NEWMONT CORP | 651639106 | COM | 600,000 | $13,830,000 | thousands by filing date | call |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 80,010 | $13,805,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC | 795435106 | COM | 88,360 | $13,805,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 88,434 | $13,774,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 448,282 | $13,735,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 626,101 | $13,680,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 379,872 | $13,657,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 342,922 | $13,656,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 130,630 | $13,652,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 406,616 | $13,650,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 48,873 | $13,647,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 162,794 | $13,629,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 391,200 | $13,622,000 | thousands by filing date | call |
| BLOCK H & R INC COM | 093671105 | Stock | 438,818 | $13,608,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 386,822 | $13,590,000 | thousands by filing date | |
| Concur Technologies, Inc. | 206708109 | COM | 106,600 | $13,519,000 | thousands by filing date | call |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 358,644 | $13,513,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 591,928 | $13,490,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 235,212 | $13,452,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 388,800 | $13,441,000 | thousands by filing date | call |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 80,925 | $13,419,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612JAF8 | DBCV 0.625% 8/1 | 13,331,000 | $13,358,000 | thousands by filing date | principal |
| DONALDSON INC COM | 257651109 | Stock | 328,690 | $13,355,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 720,394 | $13,342,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 298,556 | $13,331,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 392,964 | $13,200,000 | thousands by filing date | |
| AIRTRAN HLDGS INC | 00949PAD0 | NOTE 5.250%11/0 | 5,292,000 | $13,131,000 | thousands by filing date | principal |
| ROFIN-SINAR TECHNOLOGIES INC | 775043102 | COMMON STOCK | 567,886 | $13,096,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 232,546 | $13,058,000 | thousands by filing date | |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 10,365,000 | $13,053,000 | thousands by filing date | principal |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 501,367 | $13,040,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 373,238 | $13,033,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 280,185 | $12,992,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 438,800 | $12,975,000 | thousands by filing date | call |
| IAC INTERACTIVECORP | 44919P508 | COM | 196,189 | $12,928,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 307,699 | $12,926,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 330,309 | $12,905,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 250,000 | $12,883,000 | thousands by filing date | call |
| AIR LEASE CORP | 00912X302 | CL A | 394,640 | $12,826,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 433,677 | $12,790,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 535,469 | $12,766,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 290,897 | $12,765,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 286,045 | $12,735,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 505,900 | $12,734,000 | thousands by filing date | put |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 1,099,000 | $12,726,000 | thousands by filing date | put |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 873,174 | $12,695,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 9,500,000 | $12,623,000 | thousands by filing date | principal |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 348,600 | $12,602,000 | thousands by filing date | put |
| PACCAR INC COM | 693718108 | Stock | 220,678 | $12,551,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 319,600 | $12,519,000 | thousands by filing date | put |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 1,037,700 | $12,515,000 | thousands by filing date | put |
| AOL INC | 00184X105 | COM | 277,924 | $12,492,000 | thousands by filing date | |
| RF MICRODEVICES INC | 749941100 | COM | 1,081,491 | $12,480,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 1,076,927 | $12,471,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 337,488 | $12,467,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 140,000 | $12,464,000 | thousands by filing date | put |
| NEWFIELD EXPL CO | 651290108 | COM | 336,204 | $12,463,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 425,743 | $12,411,000 | thousands by filing date | |
| TOWERS WATSON & CO | 891894107 | CL A | 124,394 | $12,377,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 272,860 | $12,309,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 1,209,634 | $12,279,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 573,811 | $12,211,000 | thousands by filing date | |
| GANNETT INC | 364730101 | COM | 410,518 | $12,180,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 128,800 | $12,114,000 | thousands by filing date | put |
| SALIX PHARMACEUTICAL 1.500 | 795435AE6 | NOTE 1.500% 3/ | 5,005,000 | $12,106,000 | thousands by filing date | principal |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 92,730 | $12,082,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 11,389,000 | $12,056,000 | thousands by filing date | principal |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 300,000 | $12,051,000 | thousands by filing date | put |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 11,065,000 | $12,016,000 | thousands by filing date | principal |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 437,228 | $12,002,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 19,133,000 | $11,994,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 49,305 | $11,965,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 206,712 | $11,944,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 107,683 | $11,912,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 90,000 | $11,878,000 | thousands by filing date | call |
| ARROW ELECTRS INC | 042735100 | COM | 214,489 | $11,872,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 123,000 | $11,826,000 | thousands by filing date | call |
| WESTERN UN CO COM | 959802109 | Stock | 736,254 | $11,810,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 335,000 | $11,805,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F302 | COM SER C | 316,630 | $11,804,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 36,500 | $11,769,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 350,000 | $11,767,000 | thousands by filing date | put |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 337,114 | $11,698,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 737,735 | $11,694,000 | thousands by filing date | |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 11,391,000 | $11,676,000 | thousands by filing date | principal |
| FLOTEK INDS INC DEL | 343389102 | COM | 446,876 | $11,650,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 392,574 | $11,639,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 346,037 | $11,634,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 86,206 | $11,632,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 275,506 | $11,609,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678107 | COM | 174,440 | $11,572,000 | thousands by filing date | |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 9,743,000 | $11,570,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 11,200,000 | $11,564,000 | thousands by filing date | principal |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 114,890 | $11,552,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 70,915 | $11,539,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 112,655 | $11,508,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 300,000 | $11,484,000 | thousands by filing date | call |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 510,679 | $11,475,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 936,620 | $11,473,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 200,000 | $11,454,000 | thousands by filing date | put |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 200,000 | $11,454,000 | thousands by filing date | call |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 484,476 | $11,448,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 256,944 | $11,383,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 260,839 | $11,374,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 1,151,326 | $11,369,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 558,570 | $11,350,000 | thousands by filing date | |
| INTERNATIONAL RECTIFIER CORP | 460254105 | COMMON STOCK | 289,200 | $11,348,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 449,000 | $11,315,000 | thousands by filing date | put |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 96,859 | $11,312,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 959,400 | $11,292,000 | thousands by filing date | call |
| SWIFT ENERGY CO | 870738101 | COM | 1,173,927 | $11,269,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 347,569 | $11,268,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 140,095 | $11,260,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 152,828 | $11,248,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 413,891 | $11,237,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 551,051 | $11,230,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 91,079 | $11,228,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 95,550 | $11,224,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 177,009 | $11,218,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 325,691 | $11,160,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 319,692 | $11,145,000 | thousands by filing date | put |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 3,545,000 | $11,138,000 | thousands by filing date | principal |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 178,519 | $11,137,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 665,900 | $11,134,000 | thousands by filing date | put |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 413,428 | $11,117,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 309,353 | $11,099,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 520,386 | $11,085,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 78,900 | $11,082,000 | thousands by filing date | call |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 300,843 | $11,068,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 222,717 | $11,045,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 156,475 | $11,034,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 159,533 | $11,030,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 97,957 | $11,026,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 460,212 | $11,026,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 191,440 | $10,984,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 286,414 | $10,977,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 481,342 | $10,955,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 273,145 | $10,942,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 127,018 | $10,939,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 408,379 | $10,929,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 170,719 | $10,919,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 538,139 | $10,892,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 175,800 | $10,891,000 | thousands by filing date | call |
| VERA BRADLEY INC | 92335C106 | COM | 523,207 | $10,820,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729NBP4 | NOTE 7.000% 3/1 | 6,370,000 | $10,813,000 | thousands by filing date | principal |
| MARKELGROUPINC | 570535104 | STOK | 16,940 | $10,776,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 809,542 | $10,775,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 2,632,092 | $10,685,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 10,112,000 | $10,680,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 253,024 | $10,662,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 387,607 | $10,644,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 597,608 | $10,584,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 305,900 | $10,572,000 | thousands by filing date | call |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 186,078 | $10,562,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 146,700 | $10,559,000 | thousands by filing date | put |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 499,000 | $10,544,000 | thousands by filing date | principal |
| PACKAGING CORP AMER COM | 695156109 | Stock | 164,967 | $10,528,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 80,100 | $10,509,000 | thousands by filing date | call |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 592,620 | $10,484,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 159,588 | $10,460,000 | thousands by filing date | |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 341,937 | $10,447,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 10,627,000 | $10,422,000 | thousands by filing date | principal |
| AUTOZONE INC COM | 053332102 | Stock | 20,437 | $10,416,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 710,100 | $10,410,000 | thousands by filing date | put |
| AbbVie,Inc. | 00287Y109 | COM | 180,000 | $10,397,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 353,575 | $10,384,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 286,629 | $10,382,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 177,289 | $10,368,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 4,755,000 | $10,363,000 | thousands by filing date | principal |
| SAFEWAY INC | 786514208 | COM NEW | 302,000 | $10,359,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 192,600 | $10,352,000 | thousands by filing date | call |
| APACHE CORP | 037411105 | COM | 110,000 | $10,326,000 | thousands by filing date | call |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 120,056 | $10,296,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 419,908 | $10,242,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 628,526 | $10,233,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 337,673 | $10,177,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 342,304 | $10,160,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 438,900 | $10,117,000 | thousands by filing date | put |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 160,000 | $9,954,000 | thousands by filing date | call |
| CLAYMORE EXCHANGE TRD FD TR | 18383M571 | GUGG CRP BD 2014 | 471,071 | $9,931,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 214,600 | $9,930,000 | thousands by filing date | put |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 90,322 | $9,906,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 202,870 | $9,904,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 429,835 | $9,891,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 657,441 | $9,887,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 265,000 | $9,871,000 | thousands by filing date | put |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 170,379 | $9,863,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 100,407 | $9,829,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 185,609 | $9,770,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 1,251,087 | $9,757,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 279,692 | $9,750,000 | thousands by filing date | call |
| CME Group Inc. Class A | 12572Q105 | COM | 121,627 | $9,725,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 226,168 | $9,725,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 447,648 | $9,691,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 149,911 | $9,689,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NE | 611740101 | COM | 105,347 | $9,658,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 119,998 | $9,640,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 210,200 | $9,613,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 269,800 | $9,608,000 | thousands by filing date | call |
| Southern Company | 842587107 | COM | 220,000 | $9,603,000 | thousands by filing date | call |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 300,000 | $9,591,000 | thousands by filing date | put |
| Charles Schwab Corp | 808513105 | COM | 326,300 | $9,590,000 | thousands by filing date | put |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 68,284 | $9,583,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 7,500,000 | $9,567,000 | thousands by filing date | principal |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 75,756 | $9,555,000 | thousands by filing date | |
| BROOKFIELD RESIDENTIAL PPTYS | 11283W104 | COM | 504,509 | $9,530,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 221,520 | $9,515,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 7,484,000 | $9,514,000 | thousands by filing date | principal |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 387,491 | $9,481,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 997,971 | $9,480,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 39,000 | $9,465,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 213,224 | $9,453,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 228,714 | $9,447,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 557,148 | $9,400,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 604,474 | $9,333,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 838,837 | $9,311,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 320,700 | $9,310,000 | thousands by filing date | call |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 1,427,698 | $9,294,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 226,958 | $9,269,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 111,205 | $9,253,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 71,897 | $9,249,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 129,417 | $9,238,000 | thousands by filing date | |
| GOOGLE INC | 38259P706 | CL C | 16,000 | $9,238,000 | thousands by filing date | put |
| GOOGLE INC | 38259P706 | CL C | 16,000 | $9,238,000 | thousands by filing date | call |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 71,198 | $9,233,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 98,100 | $9,226,000 | thousands by filing date | call |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 266,200 | $9,200,000 | thousands by filing date | put |
| ASSURANT INC COM | 04621X108 | Stock | 143,035 | $9,197,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 207,000 | $9,193,000 | thousands by filing date | put |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 132,462 | $9,171,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 682,666 | $9,158,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 289,870 | $9,149,000 | thousands by filing date | |
| BALLY TECHNOLOGIES | 05874B107 | COMMON STOCK | 113,349 | $9,147,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 132,777 | $9,144,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 289,300 | $9,107,000 | thousands by filing date | call |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 8,136,000 | $9,071,000 | thousands by filing date | principal |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 1,471,056 | $9,047,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 416,607 | $9,040,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 8,000,000 | $9,010,000 | thousands by filing date | principal |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 428,777 | $8,996,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 106,669 | $8,988,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 333,940 | $8,935,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 322,492 | $8,931,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 493,901 | $8,910,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 857,300 | $8,899,000 | thousands by filing date | put |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 213,461 | $8,887,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 100,000 | $8,879,000 | thousands by filing date | put |
| CENOVUS ENERGY INC | 15135U109 | COM | 330,000 | $8,870,000 | thousands by filing date | put |
| NASDAQ INC COM | 631103108 | Stock | 209,005 | $8,866,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 217,530 | $8,829,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 42,463 | $8,823,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 8,457,000 | $8,816,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 370,442 | $8,802,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 237,091 | $8,798,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 177,300 | $8,792,000 | thousands by filing date | call |
| TECO ENERGY INC | 872375100 | COM | 505,363 | $8,783,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 303,746 | $8,769,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 340,000 | $8,711,000 | thousands by filing date | call |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 252,395 | $8,706,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 391,820 | $8,706,000 | thousands by filing date | |
| CONVERGYS CORP | 212485AE6 | SDCV | 5,000,000 | $8,700,000 | thousands by filing date | principal |
| EXELON CORP COM | 30161N101 | Stock | 255,000 | $8,693,000 | thousands by filing date | call |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 311,242 | $8,677,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 165,897 | $8,626,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 174,091 | $8,616,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 125,704 | $8,598,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 52,286 | $8,570,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 202,300 | $8,567,000 | thousands by filing date | call |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 753,327 | $8,550,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 308,438 | $8,534,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 90,371 | $8,517,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 306,831 | $8,512,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 208,621 | $8,465,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 153,859 | $8,461,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 1,745,005 | $8,445,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 385,420 | $8,444,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 403,482 | $8,442,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 436,800 | $8,409,000 | thousands by filing date | call |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 182,415 | $8,404,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 138,350 | $8,395,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 307,683 | $8,388,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 159,134 | $8,372,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 82,648 | $8,357,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 8,000,000 | $8,314,000 | thousands by filing date | principal |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 120,000 | $8,304,000 | thousands by filing date | put |
| ALLIANT TECHSYSTEMS INC | 018804104 | COM | 65,000 | $8,297,000 | thousands by filing date | call |
| HATTERAS FINL CORP | 41902R103 | COM | 461,171 | $8,282,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 83,463 | $8,262,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NE | 611740101 | COM | 90,000 | $8,250,000 | thousands by filing date | call |
| ENOVIS CORP | 194014106 | COMMON STOCK | 144,651 | $8,240,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 104,881 | $8,233,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 56,504 | $8,230,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 393,667 | $8,208,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 399,418 | $8,196,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 195,295 | $8,186,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 96,351 | $8,180,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 1,004,207 | $8,174,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 73,605 | $8,163,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 195,279 | $8,141,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 1,468,666 | $8,137,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 540,787 | $8,128,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 80,000 | $8,115,000 | thousands by filing date | put |
| Liberty Media Corp | 531229300 | COMMON STOCK | 172,655 | $8,112,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 714,300 | $8,107,000 | thousands by filing date | put |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 416,598 | $8,107,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 667,475 | $8,078,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 282,322 | $8,077,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 537,143 | $8,073,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 205,937 | $8,065,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 150,000 | $8,063,000 | thousands by filing date | put |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 100,574 | $8,058,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 253,859 | $8,049,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 150,000 | $8,025,000 | thousands by filing date | call |
| NEWCASTLE INVESTMENT CORP | 65105M504 | COM | 629,642 | $7,984,000 | thousands by filing date | |
| EL PASO PIPELINE PARTNERS | 283702108 | COMMON STOCK | 198,562 | $7,974,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 343,568 | $7,952,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 402,541 | $7,942,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 89,912 | $7,926,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 193,589 | $7,917,000 | thousands by filing date | |
| COVANCE INC | 222816100 | COM | 100,592 | $7,916,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 129,705 | $7,910,000 | thousands by filing date | |
| HOMEAWAY INC | 43739Q100 | COM | 222,630 | $7,904,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 52,013 | $7,877,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 5,278,697 | $7,866,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 137,378 | $7,863,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 191,662 | $7,832,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 44,331 | $7,820,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 170,100 | $7,814,000 | thousands by filing date | call |
| MCKESSON CORP COM | 58155Q103 | Stock | 40,000 | $7,787,000 | thousands by filing date | put |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 6,000,000 | $7,778,000 | thousands by filing date | principal |
| MITEL NETWORKS CORP | 60671Q104 | COM | 849,931 | $7,776,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 7,510,000 | $7,760,000 | thousands by filing date | principal |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 453,419 | $7,758,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 81,700 | $7,746,000 | thousands by filing date | put |
| BANCFIRST CORP | 05945F103 | COM | 123,361 | $7,717,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 165,704 | $7,693,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 303,900 | $7,673,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 518,600 | $7,670,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 319,150 | $7,650,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 301,000 | $7,642,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 184,876 | $7,626,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 64,680 | $7,623,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 166,061 | $7,618,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 301,400 | $7,604,000 | thousands by filing date | put |
| BARRICK GOLD CORP | 067901108 | COM | 517,700 | $7,590,000 | thousands by filing date | call |
| Equinix, Inc. | 29444U502 | EQIX | 35,559 | $7,555,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 92,000 | $7,543,000 | thousands by filing date | put |
| HANESBRANDS INC | 410345102 | COM | 70,059 | $7,527,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 192,840 | $7,501,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 49,706 | $7,501,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 152,941 | $7,495,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 218,031 | $7,495,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 7,500,000 | $7,463,000 | thousands by filing date | principal |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 59,938 | $7,460,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 343,194 | $7,454,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 200,000 | $7,440,000 | thousands by filing date | put |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 102,532 | $7,398,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 354,888 | $7,379,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 179,074 | $7,378,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 81,667 | $7,368,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 110,446 | $7,366,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 171,733 | $7,338,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 136,449 | $7,304,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 200,000 | $7,254,000 | thousands by filing date | put |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 338,600 | $7,232,000 | thousands by filing date | call |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 36,600 | $7,209,000 | thousands by filing date | put |
| CAMERON INTERNATIONAL CORP | 13342B105 | COM | 108,500 | $7,203,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 423,792 | $7,157,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 109,780 | $7,142,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 214,325 | $7,139,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 100,000 | $7,134,000 | thousands by filing date | put |
| ISHARES TR | 464287812 | US CONSM STAPLES | 72,226 | $7,133,000 | thousands by filing date | |
| DEALERTRACK TECHNOLOGIES INC | 242309AB8 | NOTE 1.500% 3/1 | 5,505,000 | $7,129,000 | thousands by filing date | principal |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 67,500 | $7,128,000 | thousands by filing date | put |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 67,500 | $7,128,000 | thousands by filing date | call |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 67,088 | $7,124,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 99,707 | $7,123,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 115,100 | $7,119,000 | thousands by filing date | call |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 101,634 | $7,113,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 114,700 | $7,095,000 | thousands by filing date | put |
| COHERENT INC | 192479103 | COM | 115,229 | $7,072,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 139,423 | $7,068,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 71,173 | $7,064,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 439,000 | $7,064,000 | thousands by filing date | call |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 82,732 | $7,054,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 318,200 | $7,035,000 | thousands by filing date | call |
| GRAHAM CORP | 384556106 | COM | 244,168 | $7,020,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 86,181 | $7,019,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 50,818 | $7,018,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 167,085 | $6,963,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 115,000 | $6,956,000 | thousands by filing date | put |
| HOLOGIC INC | 436440101 | COM | 285,833 | $6,954,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 70,000 | $6,931,000 | thousands by filing date | call |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 290,143 | $6,923,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 100,000 | $6,910,000 | thousands by filing date | put |
| PANDORA MEDIA INC | 698354107 | COM | 285,971 | $6,909,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 1,169,492 | $6,901,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 628,293 | $6,893,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 170,000 | $6,871,000 | thousands by filing date | put |
| CENTENE CORP DEL COM | 15135B101 | Stock | 83,032 | $6,867,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 1,901,326 | $6,845,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 114,497 | $6,825,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 69,703 | $6,810,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 72,155 | $6,785,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 160,538 | $6,774,000 | thousands by filing date | |
| FIFTH STR FIN CORP | 31679BAC4 | NOTE 5.375% 4/0 | 6,530,000 | $6,734,000 | thousands by filing date | principal |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 151,606 | $6,724,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 1,000,071 | $6,710,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 216,897 | $6,709,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 133,808 | $6,685,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 529,736 | $6,675,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 75,000 | $6,675,000 | thousands by filing date | put |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 109,000 | $6,674,000 | thousands by filing date | principal |
| Timmins Gold Corp | 88741P103 | COM | 5,171,563 | $6,672,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 282,433 | $6,663,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 378,771 | $6,649,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 47,300 | $6,644,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 126,708 | $6,643,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 97,077 | $6,639,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 466,101 | $6,637,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 200,495 | $6,611,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 96,176 | $6,610,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 86,366 | $6,608,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 1,667,998 | $6,606,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 259,950 | $6,601,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 160,778 | $6,595,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 189,300 | $6,591,000 | thousands by filing date | put |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 744,496 | $6,589,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 676,540 | $6,576,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 655,006 | $6,576,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 212,728 | $6,573,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 30,000 | $6,570,000 | thousands by filing date | put |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 9,453,000 | $6,570,000 | thousands by filing date | principal |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 133,000 | $6,569,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 124,779 | $6,555,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 456,903 | $6,525,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 156,000 | $6,523,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 53,956 | $6,517,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 186,211 | $6,507,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 446,630 | $6,499,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 70,970 | $6,489,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 152,382 | $6,465,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 100,000 | $6,458,000 | thousands by filing date | call |
| FERRO CORP | 315405100 | COM | 445,593 | $6,456,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 276,309 | $6,443,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 692,644 | $6,421,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 6,129,000 | $6,391,000 | thousands by filing date | principal |
| BURLINGTON STORES INC COM | 122017106 | Stock | 159,932 | $6,376,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 6,384,000 | $6,364,000 | thousands by filing date | principal |
| Vanguard Communication Services ETF | 92204A884 | SHS | 72,832 | $6,358,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 471,593 | $6,356,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 194,245 | $6,330,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 284,700 | $6,309,000 | thousands by filing date | call |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 107,412 | $6,302,000 | thousands by filing date | |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 321,888 | $6,287,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 92,375 | $6,285,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 41,936 | $6,282,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 88,224 | $6,278,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 12,300 | $6,269,000 | thousands by filing date | call |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 586,100 | $6,260,000 | thousands by filing date | call |
| TYSON FOODS INC CL A | 902494103 | Stock | 158,700 | $6,248,000 | thousands by filing date | call |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 48,152 | $6,233,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 182,960 | $6,228,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 124,138 | $6,224,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 187,413 | $6,211,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 135,302 | $6,195,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 454,060 | $6,175,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 227,942 | $6,172,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 127,941 | $6,171,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 67,526 | $6,166,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 277,810 | $6,156,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 83,833 | $6,153,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 37,100 | $6,152,000 | 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 |