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 |
|---|---|---|---|---|---|---|
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 77,671 | $2,981,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 193,435 | $2,979,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 127,513 | $2,968,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 130,200 | $2,966,000 | thousands by filing date | call |
| CAREFUSION CORP | 14170T101 | COM | 65,522 | $2,965,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 50,000 | $2,964,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 93,299 | $2,962,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 34,146 | $2,957,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 37,748 | $2,955,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 85,984 | $2,945,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 41,698 | $2,943,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 315,846 | $2,943,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 202,786 | $2,934,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 424,890 | $2,923,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 40,700 | $2,908,000 | thousands by filing date | put |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 44,892 | $2,899,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 351,804 | $2,888,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 70,200 | $2,887,000 | thousands by filing date | call |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 212,964 | $2,881,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 25,625 | $2,877,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 48,597 | $2,876,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 70,891 | $2,871,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 84,148 | $2,871,000 | thousands by filing date | |
| SQNM 5 10/1/17 | 817337AB4 | Bond 30/360P2 U | 3,000,000 | $2,871,000 | thousands by filing date | principal |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 58,000 | $2,865,000 | thousands by filing date | put |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 86,593 | $2,865,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 156,100 | $2,860,000 | thousands by filing date | put |
| UGI CORP NEW COM | 902681105 | Stock | 83,774 | $2,855,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 300,000 | $2,850,000 | thousands by filing date | put |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 24,180 | $2,841,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 28,649 | $2,839,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 49,882 | $2,838,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 88,666 | $2,829,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 61,717 | $2,826,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 80,692 | $2,815,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 65,500 | $2,814,000 | thousands by filing date | call |
| GOLDCORP INC NEW | 380956409 | COM | 122,100 | $2,812,000 | thousands by filing date | put |
| ISHARES TR | 46429B770 | ISHARES INT INFL LINKED BOND | 60,732 | $2,812,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 330,592 | $2,798,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 85,000 | $2,791,000 | thousands by filing date | call |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 425,431 | $2,787,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 277,860 | $2,782,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 126,634 | $2,781,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 162,268 | $2,773,000 | thousands by filing date | |
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 23,300 | $2,771,000 | thousands by filing date | |
| ISHARES TR | 464288190 | FTSE CHINA ETF | 57,515 | $2,765,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 84,586 | $2,759,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 222,829 | $2,758,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 124,000 | $2,742,000 | thousands by filing date | put |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 298,132 | $2,737,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 57,032 | $2,736,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 57,123 | $2,735,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 70,018 | $2,735,000 | thousands by filing date | |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 104,250 | $2,734,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 83,522 | $2,734,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 78,047 | $2,734,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 65,000 | $2,731,000 | thousands by filing date | call |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 366,754 | $2,729,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 78,372 | $2,722,000 | thousands by filing date | |
| Alamos Gold, Inc. | 011527108 | COM | 342,000 | $2,722,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 58,874 | $2,721,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 87,384 | $2,720,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 53,313 | $2,719,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 35,706 | $2,716,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 41,809 | $2,715,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 50,000 | $2,714,000 | thousands by filing date | call |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 55,267 | $2,713,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 107,040 | $2,709,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 50,000 | $2,701,000 | thousands by filing date | put |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 144,093 | $2,694,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 78,500 | $2,683,000 | thousands by filing date | call |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 38,832 | $2,680,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 1,080,552 | $2,680,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 40,268 | $2,674,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 621,429 | $2,673,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 40,603 | $2,666,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 102,570 | $2,663,000 | thousands by filing date | principal |
| Oracle Corporation | 68389X105 | COM | 69,500 | $2,660,000 | thousands by filing date | put |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 105,892 | $2,660,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 3,000,000 | $2,659,000 | thousands by filing date | principal |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 40,071 | $2,658,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 128,367 | $2,657,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 101,060 | $2,657,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 323,002 | $2,655,000 | thousands by filing date | |
| NETSUITE INC | 64118Q107 | COM | 29,646 | $2,654,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 241,494 | $2,652,000 | thousands by filing date | |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 68,539 | $2,652,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 200,000 | $2,646,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 59,082 | $2,640,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 52,918 | $2,637,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 175,417 | $2,637,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 42,300 | $2,634,000 | thousands by filing date | call |
| WESCO INTL INC COM | 95082P105 | Stock | 33,625 | $2,632,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 28,000 | $2,628,000 | thousands by filing date | put |
| ENBRIDGE INC COM | 29250N105 | Stock | 54,800 | $2,624,000 | thousands by filing date | put |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 123,349 | $2,624,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 19,431 | $2,620,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 95,807 | $2,611,000 | thousands by filing date | |
| ANN INC | 035623107 | COM | 63,455 | $2,609,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 134,778 | $2,600,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 421,463 | $2,592,000 | thousands by filing date | |
| CLECO CORP NEW | 12561W105 | COM | 53,732 | $2,587,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 5,600 | $2,586,000 | thousands by filing date | call |
| NW Biotherapeutics | 66737P600 | USD | 513,714 | $2,584,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 35,000 | $2,576,000 | thousands by filing date | put |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 50,000 | $2,573,000 | thousands by filing date | put |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 133,132 | $2,571,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 193,249 | $2,570,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 114,933 | $2,566,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y488 | DLY SC BEAR3XNEW | 151,659 | $2,566,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 112,991 | $2,562,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 10,817 | $2,560,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 32,315 | $2,559,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q841 | VELOCSHS EMKTS | 48,385 | $2,557,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 258,509 | $2,554,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 128,498 | $2,553,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 51,523 | $2,550,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 121,230 | $2,547,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 256,905 | $2,546,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 144,117 | $2,545,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 29,237 | $2,539,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 64,951 | $2,539,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 487,624 | $2,535,000 | thousands by filing date | |
| PROSHARES TR | 74348A335 | COM | 58,453 | $2,533,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 70,000 | $2,531,000 | thousands by filing date | put |
| WP CAREY INC COM | 92936U109 | REIT | 39,616 | $2,526,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 90,775 | $2,525,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 186,890 | $2,525,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 69,333 | $2,519,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 87,470 | $2,519,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 36,112 | $2,511,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 57,000 | $2,511,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 105,503 | $2,510,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 107,510 | $2,510,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 116,000 | $2,507,000 | thousands by filing date | put |
| ROCKWOOD HLDGS INC | 774415103 | COM | 32,791 | $2,507,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AA0 | NOTE 4.000% 2/1 | 2,412,000 | $2,507,000 | thousands by filing date | principal |
| MANULIFE FINL CORP | 56501R106 | COM | 130,000 | $2,503,000 | thousands by filing date | put |
| CREE INC | 225447101 | COM | 61,074 | $2,501,000 | thousands by filing date | |
| CEPHEID | 15670R107 | COM | 56,677 | $2,496,000 | thousands by filing date | |
| PHARMACYCLICS INC | 716933106 | COM | 21,232 | $2,494,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 23,498 | $2,492,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 534,588 | $2,492,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 47,820 | $2,491,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 66,182 | $2,483,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 176,413 | $2,482,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 165,406 | $2,481,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 53,304 | $2,478,000 | thousands by filing date | |
| BLACKHAWK NET B | 09238E203 | Common Stock | 76,480 | $2,470,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 55,199 | $2,459,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 48,068 | $2,459,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 414,976 | $2,452,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 124,191 | $2,452,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 409,343 | $2,448,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 62,783 | $2,445,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 145,572 | $2,434,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 78,771 | $2,426,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 50,768 | $2,423,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 177,073 | $2,421,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 125,000 | $2,418,000 | thousands by filing date | call |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 141,233 | $2,416,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 73,987 | $2,415,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 39,105 | $2,407,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 400,000 | $2,400,000 | thousands by filing date | put |
| REXNORD CORP | 76169B102 | COMMON STOCK | 84,268 | $2,397,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 81,753 | $2,395,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 73,920 | $2,392,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 271,500 | $2,392,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 31,848 | $2,388,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 168,316 | $2,384,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 76,631 | $2,383,000 | thousands by filing date | |
| OMNICARE INC | 681904AP3 | NOTE 3.750% 4/0 | 1,520,000 | $2,382,000 | thousands by filing date | principal |
| EMERALD OIL INC | 29101U209 | COM NEW | 387,259 | $2,382,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 48,178 | $2,371,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q833 | VELOSH RUSSSEL | 48,327 | $2,368,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 23,900 | $2,367,000 | thousands by filing date | call |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 24,721 | $2,366,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 193,155 | $2,364,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 71,980 | $2,353,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 24,848 | $2,352,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 38,595 | $2,351,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 60,956 | $2,350,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 307,260 | $2,350,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 171,614 | $2,346,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 213,920 | $2,345,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 105,000 | $2,342,000 | thousands by filing date | call |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 105,805 | $2,340,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 504,400 | $2,335,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 122,411 | $2,332,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 104,719 | $2,327,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 156,171 | $2,325,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 69,671 | $2,325,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 64,525 | $2,322,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 50,000 | $2,319,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 200,867 | $2,306,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 50,000 | $2,299,000 | thousands by filing date | put |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 50,000 | $2,299,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 30,000 | $2,294,000 | thousands by filing date | put |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 240,000 | $2,280,000 | thousands by filing date | call |
| LENNOX INTL INC COM | 526107107 | Stock | 29,603 | $2,275,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 200,000 | $2,270,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 44,602 | $2,270,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 20,072 | $2,262,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 284,219 | $2,259,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 100,000 | $2,259,000 | thousands by filing date | put |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 165,914 | $2,256,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 85,010 | $2,253,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 97,751 | $2,252,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 47,683 | $2,251,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 152,421 | $2,247,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 34,490 | $2,239,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 133,173 | $2,234,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 149,149 | $2,229,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 39,216 | $2,228,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 170,000 | $2,227,000 | thousands by filing date | put |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 128,202 | $2,226,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 45,570 | $2,224,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 32,788 | $2,220,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 58,783 | $2,218,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 69,711 | $2,218,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 184,802 | $2,217,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 33,206 | $2,215,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 64,465 | $2,213,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 247,632 | $2,212,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 166,735 | $2,206,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 180,858 | $2,205,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 67,000 | $2,204,000 | thousands by filing date | call |
| AUTODESK INC COM | 052769106 | Stock | 40,000 | $2,204,000 | thousands by filing date | put |
| PARSLEY ENERGY INC | 701877102 | CL A | 102,850 | $2,193,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 88,911 | $2,193,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 183,444 | $2,191,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 24,786 | $2,190,000 | thousands by filing date | |
| ATLAS ENERGY LP | 04930A104 | COM UNITS LP | 49,788 | $2,190,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 40,000 | $2,189,000 | thousands by filing date | call |
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 60,000 | $2,188,000 | thousands by filing date | call |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 21,953 | $2,183,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 43,299 | $2,181,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 23,000 | $2,179,000 | thousands by filing date | call |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 95,233 | $2,179,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 45,667 | $2,175,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 49,840 | $2,170,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 121,959 | $2,164,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 79,946 | $2,160,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 70,400 | $2,158,000 | thousands by filing date | put |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 1,084,157 | $2,157,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 102,032 | $2,156,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 81,049 | $2,156,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 87,799 | $2,155,000 | thousands by filing date | |
| WORLD KINECT CORPORATION | 981475106 | COM | 53,942 | $2,153,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 79,504 | $2,149,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 20,883 | $2,146,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 155,766 | $2,134,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 107,230 | $2,131,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 17,594 | $2,130,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 294,933 | $2,130,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 150,000 | $2,124,000 | thousands by filing date | call |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 2,195,000 | $2,124,000 | thousands by filing date | principal |
| ISHARES TR | 464288125 | 3YRTB ETF | 23,741 | $2,121,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 283,559 | $2,121,000 | thousands by filing date | |
| VOLCANO CORPORATION | 928645100 | COM | 199,143 | $2,119,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 32,800 | $2,118,000 | thousands by filing date | put |
| TEREX CORP NEW COM | 880779103 | Stock | 66,620 | $2,117,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 96,349 | $2,115,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 61,468 | $2,112,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 44,903 | $2,102,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 20,858 | $2,101,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 68,215 | $2,097,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 19,787 | $2,094,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 215,357 | $2,091,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 2,000,000 | $2,089,000 | thousands by filing date | principal |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 63,382 | $2,086,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 577,641 | $2,085,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 10,000 | $2,075,000 | thousands by filing date | put |
| LTC PPTYS INC COM | 502175102 | REIT | 56,140 | $2,071,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 243,113 | $2,069,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 79,928 | $2,066,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 184,838 | $2,066,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 79,786 | $2,063,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 97,828 | $2,062,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 126,263 | $2,061,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 67,223 | $2,060,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 46,599 | $2,051,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 134,129 | $2,048,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 556,895 | $2,044,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 141,250 | $2,043,000 | thousands by filing date | |
| ELIZABETH ARDEN INC | 28660G106 | COM | 121,768 | $2,038,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 29,037 | $2,036,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 114,251 | $2,035,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 20,000 | $2,034,000 | thousands by filing date | put |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 20,556 | $2,030,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 47,576 | $2,029,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 84,348 | $2,029,000 | thousands by filing date | |
| MINDRAY MEDICAL INTL LTD | 602675100 | SPON ADR | 67,215 | $2,027,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 55,000 | $2,023,000 | thousands by filing date | call |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 47,957 | $2,021,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 31,815 | $2,018,000 | thousands by filing date | |
| PROSHARES TR | 74347X815 | ULTRA MDCAP400 | 20,643 | $2,018,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 352,732 | $2,018,000 | thousands by filing date | |
| BANKUNITED INC | 06652K103 | COM | 66,052 | $2,014,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 155,727 | $2,013,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 85,876 | $2,013,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 44,700 | $2,009,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 53,907 | $2,008,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 75,000 | $2,007,000 | thousands by filing date | put |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 42,672 | $2,005,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 188,533 | $2,004,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 34,900 | $1,996,000 | thousands by filing date | call |
| REED ELSEVIER PLC-SPONS ADR | 758205207 | SPON | 30,932 | $1,993,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 21,641 | $1,991,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 93,354 | $1,989,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 20,603 | $1,983,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 60,000 | $1,982,000 | thousands by filing date | call |
| CUMMINS INC COM | 231021106 | Stock | 15,000 | $1,980,000 | thousands by filing date | put |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 51,174 | $1,979,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 1,500,000 | $1,978,000 | thousands by filing date | principal |
| CZR | 127686103 | Stock | 157,081 | $1,976,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 10,000 | $1,970,000 | thousands by filing date | call |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 44,507 | $1,969,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 22,742 | $1,966,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 65,686 | $1,964,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 62,962 | $1,962,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 28,826 | $1,962,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 385,483 | $1,962,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 49,890 | $1,959,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 61,947 | $1,954,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 74,413 | $1,952,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 16,214 | $1,951,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 157,383 | $1,950,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 26,000 | $1,944,000 | thousands by filing date | put |
| DOLLAR GEN CORP COM | 256677105 | Stock | 31,785 | $1,943,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 50,000 | $1,942,000 | thousands by filing date | put |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 39,901 | $1,942,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 216,592 | $1,937,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 25,000 | $1,933,000 | thousands by filing date | call |
| ICAD INC | 44934S206 | COM NEW | 196,200 | $1,933,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 37,739 | $1,929,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 63,998 | $1,927,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 15,890 | $1,926,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 78,317 | $1,926,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 350,001 | $1,925,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 28,075 | $1,923,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 83,894 | $1,922,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 96,400 | $1,921,000 | thousands by filing date | call |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 222,268 | $1,918,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 53,009 | $1,917,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 27,342 | $1,916,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 41,884 | $1,910,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 54,597 | $1,908,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 110,172 | $1,908,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 25,082 | $1,904,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 54,132 | $1,899,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 31,727 | $1,898,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 229,686 | $1,897,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 21,620 | $1,896,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 24,434 | $1,894,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 2,119,600 | $1,891,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 147,647 | $1,890,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 62,160 | $1,890,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 24,164 | $1,888,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 100,000 | $1,888,000 | thousands by filing date | call |
| GOPRO INC | 38268T103 | CL A | 20,142 | $1,887,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 51,023 | $1,880,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 49,448 | $1,879,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 126,173 | $1,876,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 132,583 | $1,871,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 38,434 | $1,869,000 | thousands by filing date | |
| GSI GROUP INC | 36191C205 | COM | 162,323 | $1,866,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 69,219 | $1,860,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 91,143 | $1,858,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 111,211 | $1,857,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 287,100 | $1,849,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 18,068 | $1,848,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 30,220 | $1,847,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 129,192 | $1,846,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 25,418 | $1,846,000 | thousands by filing date | |
| BURGER KING WORLDWIDE INC | 121220107 | COM | 62,081 | $1,842,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 86,774 | $1,841,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 73,121 | $1,840,000 | thousands by filing date | principal |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 34,289 | $1,838,000 | thousands by filing date | |
| METHODE ELECTRONICS INC | 591520200 | COMMON STOCK | 49,812 | $1,837,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 204,609 | $1,829,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 188,330 | $1,825,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 200,599 | $1,824,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 29,781 | $1,821,000 | thousands by filing date | |
| THOMSON REUTERS CORP | 884903105 | COM | 50,000 | $1,821,000 | thousands by filing date | call |
| FIREEYE INC | 31816Q101 | COM | 59,516 | $1,820,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 71,899 | $1,820,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 53,699 | $1,819,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 32,131 | $1,817,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 177,005 | $1,814,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 147,613 | $1,813,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 59,625 | $1,809,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 50,000 | $1,808,000 | thousands by filing date | call |
| Lineage, Inc. | 536020100 | COM | 60,000 | $1,808,000 | thousands by filing date | put |
| Lineage, Inc. | 536020100 | COM | 60,000 | $1,808,000 | thousands by filing date | call |
| FINISAR CORP | 31787A507 | COM NEW | 108,574 | $1,806,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 30,034 | $1,801,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 27,500 | $1,786,000 | thousands by filing date | call |
| QUESTAR CORP | 748356102 | COM | 80,054 | $1,785,000 | thousands by filing date | |
| ISHARES TR | 46432FAD9 | 2016 INVTGR BD | 17,800 | $1,778,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 37,545 | $1,775,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 257,864 | $1,774,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 47,979 | $1,774,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 50,000 | $1,774,000 | thousands by filing date | put |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 50,000 | $1,774,000 | thousands by filing date | call |
| PINNACLE WEST CAP CORP | 723484101 | COM | 32,439 | $1,772,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 36,011 | $1,770,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 69,623 | $1,767,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 51,313 | $1,766,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 15,865 | $1,766,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 302,963 | $1,766,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 326,920 | $1,758,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 58,943 | $1,752,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 20,239 | $1,752,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 164,825 | $1,750,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 52,311 | $1,750,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 236,200 | $1,748,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 61,192 | $1,743,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 28,550 | $1,740,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 18,682 | $1,738,000 | thousands by filing date | |
| ISHARES TR | 464289313 | 2016 S&P AMTFR | 32,509 | $1,738,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 132,381 | $1,736,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 70,722 | $1,727,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 127,856 | $1,725,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 37,500 | $1,724,000 | thousands by filing date | call |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 183,140 | $1,723,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 130,552 | $1,719,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 69,232 | $1,719,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 25,000 | $1,718,000 | thousands by filing date | put |
| iShares MSCI Mexico ETF | 464286822 | SHS | 25,000 | $1,718,000 | thousands by filing date | call |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 186,461 | $1,716,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 200,000 | $1,716,000 | thousands by filing date | call |
| ANR 4.875 12/20 | 02076XAF9 | Bond 30/360P2 U | 2,900,000 | $1,716,000 | thousands by filing date | principal |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 131,620 | $1,715,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 125,124 | $1,714,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 17,184 | $1,713,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 146,389 | $1,712,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 55,900 | $1,710,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 25,000 | $1,709,000 | thousands by filing date | put |
| SYSCOCORP | 871829107 | COM | 45,000 | $1,708,000 | thousands by filing date | call |
| NEWS CORP NEW CL A | 65249B109 | Stock | 104,419 | $1,707,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 71,794 | $1,705,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 46,900 | $1,700,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 15,656 | $1,698,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 56,600 | $1,696,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 8,964 | $1,695,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 25,173 | $1,693,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 10,534 | $1,691,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 50,964 | $1,691,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 87,474 | $1,684,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 45,568 | $1,682,000 | thousands by filing date | |
| KODIAK OIL & GAS CORP | 50015Q100 | COM | 123,761 | $1,679,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 18,448 | $1,678,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 35,000 | $1,671,000 | thousands by filing date | put |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 6,731 | $1,671,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 38,223 | $1,671,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 69,420 | $1,670,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 47,116 | $1,669,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 93,280 | $1,669,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 23,065 | $1,666,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 199,754 | $1,654,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 34,862 | $1,654,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 54,034 | $1,649,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 69,426 | $1,648,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 89,479 | $1,648,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 48,094 | $1,647,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 68,953 | $1,645,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 101,417 | $1,644,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 231,173 | $1,644,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 34,389 | $1,640,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 147,771 | $1,638,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 64,016 | $1,635,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 21,232 | $1,635,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 39,490 | $1,632,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 36,590 | $1,632,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 23,845 | $1,627,000 | thousands by filing date | |
| ISHARES INC | 464286459 | EMKTS VALU IDX | 34,588 | $1,627,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 59,383 | $1,625,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 62,047 | $1,622,000 | thousands by filing date | |
| BARNES GROUP INC | 067806109 | COM | 53,389 | $1,620,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 30,000 | $1,615,000 | thousands by filing date | call |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 43,395 | $1,615,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 200,000 | $1,614,000 | thousands by filing date | put |
| CENOVUS ENERGY INC | 15135U109 | COM | 60,000 | $1,613,000 | thousands by filing date | call |
| GENTHERM INC | 37253A103 | COM | 38,179 | $1,612,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 18,805 | $1,610,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 176,800 | $1,609,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 47,359 | $1,605,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 53,459 | $1,605,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 63,251 | $1,603,000 | thousands by filing date | principal |
| LEXMARK INTL NEW | 529771107 | CL A | 37,700 | $1,602,000 | thousands by filing date | put |
| AK STEEL HOLDING CORP | 001547108 | COM | 200,000 | $1,602,000 | thousands by filing date | call |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 23,667 | $1,601,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 28,956 | $1,599,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 19,636 | $1,598,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 87,683 | $1,595,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 43,046 | $1,592,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 69,108 | $1,588,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 31,455 | $1,587,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 62,766 | $1,586,000 | 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 |