13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-17, with 6,320 holding rows worth $154,655,960,000.
- Accession
- 0001140361-15-007480
- Filer
- CIK 1000275
- Filed
- 2015-02-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 18,753 entries on the cover page, a total value of $154,655,960,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $154,655,960,000 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
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRBC Trust Co (Jersey) Ltd028-14648
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 |
|---|---|---|---|---|---|---|
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 11,493 | $156,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 6,792 | $156,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 10,009 | $156,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 12,059 | $156,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 9,150 | $156,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 8,861 | $156,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 6,500 | $156,000 | thousands by filing date | principal |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 6,645 | $156,000 | thousands by filing date | principal |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 11,916 | $156,000 | thousands by filing date | |
| ISHARES INC | 464286384 | MSCI EMRG EMEA | 3,676 | $156,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS | 05334D107 | COMMON STOCK | 4,505 | $155,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 6,938 | $154,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 4,702 | $154,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 6,491 | $154,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 11,700 | $154,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 1,000 | $154,000 | thousands by filing date | |
| AMERICAN INDEPENDENCE CORP | 026760405 | COM | 14,971 | $154,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 12,120 | $153,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 3,577 | $152,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 4,943 | $152,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 2,000 | $151,000 | thousands by filing date | put |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 7,500 | $151,000 | thousands by filing date | call |
| JINPAN INTL LTD | G5138L100 | ORD | 23,500 | $151,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 12,950 | $151,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 10,213 | $151,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 2,241 | $151,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 13,033 | $150,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 21,320 | $150,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 26,205 | $149,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 10,131 | $149,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 1,625 | $148,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 38,692 | $148,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 10,048 | $148,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 3,000 | $148,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 31,440 | $148,000 | thousands by filing date | |
| ROVI CORP | 779376102 | COM | 6,546 | $148,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 144,499 | $148,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 9,650 | $148,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 5,112 | $147,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 5,979 | $147,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 1,542 | $146,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 3,714 | $146,000 | thousands by filing date | |
| PACIFIC BOOKER MINERALS INC | 69403R108 | COM | 36,990 | $146,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 4,002 | $145,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 8,200 | $145,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 10,279 | $145,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 8,800 | $145,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 54,770 | $145,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 91,650 | $145,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 25,576 | $145,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 22,290 | $144,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 4,000 | $144,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 3,085 | $144,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 154,136 | $143,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 15,516 | $143,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 4,533 | $143,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 4,500 | $142,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 2,297 | $142,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 12,617 | $142,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 16,092 | $142,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 42,461 | $141,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 5,882 | $141,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 10,648 | $141,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 12,700 | $140,000 | thousands by filing date | put |
| EXXI 3 12/18 | 29274UAB7 | Bond 30/360P2 U | 500,000 | $140,000 | thousands by filing date | principal |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 9,984 | $139,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 9,556 | $139,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 5,603 | $139,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 31,249 | $139,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 25,000 | $139,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 47,693 | $139,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 17,972 | $138,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 4,911 | $138,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 7,451 | $138,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 10,917 | $138,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 9,062 | $137,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 3,198 | $137,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 7,700 | $137,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 5,463 | $137,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 1,547 | $136,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 5,768 | $136,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 6,000 | $135,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 7,325 | $135,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 13,526 | $135,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 15,501 | $135,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 8,327 | $135,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 6,470 | $135,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 11,000 | $134,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 8,040 | $134,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 6,836 | $134,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 2,523 | $134,000 | thousands by filing date | |
| UNITED STATIONERS INC | 913004107 | COM | 3,179 | $134,000 | thousands by filing date | |
| SKYSTAR BIO-PHARMA CO | 830884300 | COM PAR $.001 | 31,852 | $134,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 4,768 | $133,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 8,558 | $132,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 16,107 | $132,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 10,570 | $132,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 4,537 | $132,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 4,303 | $132,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 5,866 | $132,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 29,134 | $131,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 15,825 | $131,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 8,620 | $130,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 11,235 | $130,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 4,412 | $130,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 2,779 | $129,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 7,100 | $129,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 7,344 | $129,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 8,849 | $129,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 16,240 | $129,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 6,979 | $129,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 10,000 | $129,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 3,080 | $128,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 2,106 | $128,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 10,540 | $128,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 4,788 | $128,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 120,401 | $128,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 31,255 | $128,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 3,293 | $128,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 1,249 | $127,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 4,794 | $127,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 2,480 | $126,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 1,320 | $126,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 7,045 | $126,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 7,577 | $126,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 2,460 | $125,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 21,600 | $125,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 3,123 | $124,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 13,000 | $124,000 | thousands by filing date | call |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 11,740 | $124,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 40,000 | $124,000 | thousands by filing date | put |
| STARWOOD WAYPOINT RESIDENTL | 85571W109 | COM SHS | 4,715 | $124,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 1,100 | $123,000 | thousands by filing date | call |
| TERNIUM SA | 880890108 | SPONSORED ADS | 6,982 | $123,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 58,484 | $123,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 5,267 | $123,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 8,500 | $122,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 8,413 | $122,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 18,066 | $122,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 9,000 | $122,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 15,200 | $122,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 4,033 | $121,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 13,550 | $121,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 43,032 | $120,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 74,659 | $120,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 9,496 | $120,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 3,300 | $118,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 3,194 | $118,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 7,739 | $118,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 23,115 | $118,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 3,812 | $118,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 6,139 | $118,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 8,350 | $117,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 34,751 | $117,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 5,809 | $117,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 7,939 | $117,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 9,915 | $117,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 2,006 | $116,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 8,800 | $116,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 3,683 | $116,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D203 | UNIT 06/11/2019 | 10,000 | $116,000 | thousands by filing date | |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 5,800 | $115,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 4,290 | $115,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 43,319 | $115,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 2,527 | $115,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 3,481 | $113,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 23,616 | $113,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 8,375 | $113,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 129,508 | $113,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 6,616 | $113,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 7,846 | $113,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628409 | CUM PFD E 7.25% | 4,450 | $113,000 | thousands by filing date | principal |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 7,043 | $112,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 12,615 | $112,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 2,553 | $112,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 6,300 | $112,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 8,455 | $112,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 8,780 | $112,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 4,365 | $112,000 | thousands by filing date | principal |
| FIRST TRUST | 33733G109 | COM BEN INTR | 14,300 | $112,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 11,066 | $111,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 12,000 | $111,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q736 | FDMTL EMKLODBT | 5,477 | $111,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 9,497 | $111,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 2,200 | $111,000 | thousands by filing date | principal |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 1,140 | $110,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 12,637 | $110,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 5,522 | $110,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,000 | $110,000 | thousands by filing date | put |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 193,116 | $110,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 7,365 | $110,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X467 | MSCI EM50 ETF | 2,400 | $110,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 4,200 | $109,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 7,100 | $109,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 2,647 | $109,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 8,386 | $109,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 5,800 | $108,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 5,640 | $108,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 4,351 | $108,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 15,400 | $108,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 7,507 | $108,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 32,662 | $108,000 | thousands by filing date | |
| AMER RLTY CAP HEALTHCAR TR INC COM | 02917R108 | COM | 9,046 | $108,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 2,064 | $107,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 3,143 | $107,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 5,700 | $106,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 11,095 | $106,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 2,343 | $106,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 7,936 | $106,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 700 | $105,000 | thousands by filing date | put |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 338 | $105,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 7,739 | $105,000 | thousands by filing date | |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 72,000 | $105,000 | thousands by filing date | principal |
| INTERPARFUMS INC COM | 458334109 | Stock | 3,788 | $104,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 2,888 | $104,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 2,833 | $104,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 2,140 | $104,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 10,649 | $104,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 5,667 | $104,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 14,800 | $104,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 4,805 | $103,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 7,100 | $103,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 9,874 | $103,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 8,458 | $103,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 6,591 | $102,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 7,633 | $102,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 2,256 | $102,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 2,155 | $102,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 7,762 | $102,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 6,215 | $102,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 8,816 | $101,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 4,937 | $101,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 39,924 | $101,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 22,314 | $101,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 3,424 | $100,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 1,395 | $100,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 10,950 | $100,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 5,051 | $100,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 2,671 | $99,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 3,700 | $99,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 14,146 | $99,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 13,369 | $99,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 31,781 | $99,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 75,000 | $99,000 | thousands by filing date | principal |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 7,525 | $98,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 5,050 | $98,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,402 | $98,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 5,669 | $97,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 1,600 | $97,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 8,000 | $97,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 66,532 | $96,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 6,400 | $96,000 | thousands by filing date | |
| SYNAGEVA BIOPHARMA CORP | 87159A103 | COM | 1,032 | $96,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 5,778 | $96,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 5,013 | $96,000 | thousands by filing date | |
| REVENUESHARES ADR | 761396605 | ADR FD | 2,682 | $96,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 3,984 | $96,000 | thousands by filing date | principal |
| MEDIFAST INC | 58470H101 | COM | 2,834 | $95,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 3,540 | $95,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 2,038 | $95,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 7,926 | $95,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 19,665 | $95,000 | thousands by filing date | |
| JAN VELOCITY VELOCITY HED | 00162Q791 | Equities | 3,150 | $95,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 2,000 | $94,000 | thousands by filing date | call |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 8,852 | $93,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 3,000 | $93,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,244 | $93,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 6,311 | $93,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 6,322 | $93,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 4,923 | $93,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 11,010 | $93,000 | thousands by filing date | |
| LIBERTY BB-C RGH2014 | 530307115 | COM | 9,849 | $93,000 | thousands by filing date | |
| RevShares Ultra Dividend Fund | 761396886 | COM | 3,048 | $93,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 27,948 | $92,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 1,001 | $91,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 3,749 | $91,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 148,180 | $91,000 | thousands by filing date | |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 1,921 | $91,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 1,900 | $90,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,887 | $90,000 | thousands by filing date | |
| ROVI CORP | 779376AB8 | CORPORATE OBLIG | 90,000 | $90,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 21,002 | $90,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 3,513 | $90,000 | thousands by filing date | principal |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 5,773 | $89,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 3,358 | $89,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 3,700 | $89,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 10,844 | $89,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 4,301 | $89,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 2,884 | $89,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 1,685 | $88,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 1,458 | $88,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 1,002 | $88,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 4,507 | $88,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 5,254 | $88,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 9,500 | $88,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 7,367 | $88,000 | thousands by filing date | |
| ISHARES INC | 464286368 | MSCI GL SL MET | 5,625 | $88,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,300 | $88,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 4,024 | $87,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 5,289 | $87,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 1,118 | $87,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 1,113 | $87,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 6,896 | $87,000 | thousands by filing date | |
| ISHARES TR | 46429B481 | MSCI AUSTRL ETF | 5,070 | $87,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 6,754 | $86,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 5,248 | $86,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 2,798 | $86,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 6,000 | $86,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 4,402 | $86,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 13,683 | $85,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 5,870 | $85,000 | thousands by filing date | |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 6,509 | $85,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 1,640 | $84,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 4,920 | $84,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 7,903 | $84,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 9,025 | $84,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 6,553 | $84,000 | thousands by filing date | |
| ISHARES TR | 46429B374 | ALCO ASIA INFO | 2,528 | $84,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 12,456 | $83,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 16,139 | $83,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 2,000 | $83,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 17,303 | $83,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 2,000 | $83,000 | thousands by filing date | put |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 1,500 | $83,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 5,198 | $83,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 2,736 | $83,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 3,307 | $82,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 3,866 | $82,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 7,256 | $82,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 8,000 | $82,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 6,650 | $82,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 1,350 | $82,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 16,829 | $82,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 4,463 | $82,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 1,665 | $82,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 2,543 | $81,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 3,643 | $81,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 5,975 | $81,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 1,559 | $81,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 3,006 | $81,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 9,660 | $81,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 3,863 | $81,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 5,050 | $80,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 2,097 | $80,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 2,746 | $80,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 5,048 | $80,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 5,683 | $80,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 4,786 | $80,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 12,900 | $80,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 4,700 | $80,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 76,000 | $80,000 | thousands by filing date | principal |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 1,527 | $79,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 1,400 | $79,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 8,075 | $79,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 3,247 | $79,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,975 | $79,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 4,367 | $79,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 5,613 | $78,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 6,000 | $78,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 2,992 | $77,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 2,189 | $76,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,453 | $76,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 97,750 | $76,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 5,700 | $76,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 3,987 | $76,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 7,474 | $75,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 3,314 | $75,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 3,291 | $75,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 759 | $74,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 8,869 | $74,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 2,065 | $74,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 779 | $74,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 21,439 | $74,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 500 | $74,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 11,270 | $74,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 3,258 | $74,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 11,500 | $74,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 2,138 | $73,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 5,037 | $73,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 2,308 | $73,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 20,802 | $73,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 4,543 | $73,000 | thousands by filing date | |
| ASSOCIATED ESTATES RLTY CORP | 045604105 | COM | 3,165 | $73,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 18,475 | $73,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 3,700 | $73,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 1,963 | $73,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,446 | $73,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 22,100 | $72,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 1,770 | $72,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 1,963 | $72,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 5,514 | $72,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 111,392 | $72,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,034 | $72,000 | thousands by filing date | |
| ISHARES INC | 464286467 | EMKTS GRW IDX | 1,385 | $72,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 18,000 | $72,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 5,326 | $72,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 270 | $71,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,500 | $71,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 990 | $71,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 1,398 | $71,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 5,300 | $71,000 | thousands by filing date | |
| MEMORIAL RESOURCE DEVELOPMENT | 58605Q109 | COM | 3,937 | $71,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 4,820 | $70,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 5,987 | $70,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 4,968 | $70,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 668 | $70,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 3,640 | $70,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 3,287 | $69,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 6,804 | $69,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 1,135 | $69,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 3,020 | $69,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 1,022 | $69,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 639 | $68,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 3,715 | $68,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 5,081 | $68,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 6,006 | $68,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 3,400 | $68,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 12,000 | $68,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 4,800 | $68,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 13,651 | $68,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 3,031 | $68,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 8,400 | $68,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 12,400 | $68,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 3,335 | $67,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 1,627 | $67,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 4,816 | $67,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 6,823 | $67,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 3,253 | $66,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 4,475 | $66,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 6,701 | $66,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 37,800 | $66,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 4,391 | $66,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 2,884 | $65,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 5,729 | $65,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 1,500 | $65,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 575 | $65,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,142 | $65,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 49,681 | $65,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 2,630 | $65,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 4,760 | $65,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 41,555 | $64,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 18,726 | $64,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 3,984 | $64,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,863 | $64,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 64,000 | $64,000 | thousands by filing date | principal |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 5,000 | $64,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 535 | $63,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 1,755 | $63,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 59,231 | $63,000 | thousands by filing date | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 59,000 | $63,000 | thousands by filing date | principal |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 3,434 | $63,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 9,400 | $63,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 4,749 | $63,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 4,530 | $63,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 5,800 | $63,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 4,555 | $63,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 2,975 | $62,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 1,200 | $62,000 | thousands by filing date | put |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 8,907 | $62,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 3,300 | $62,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 6,178 | $62,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 2,600 | $62,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 2,578 | $62,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $62,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 1,000 | $62,000 | thousands by filing date | call |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 3,628 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 1,577 | $62,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 847 | $61,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 11,361 | $61,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 15,944 | $61,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 4,644 | $61,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 11,350 | $61,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 7,232 | $61,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 4,300 | $61,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 3,140 | $61,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 1,805 | $60,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 22,154 | $60,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 1,425 | $60,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 5,000 | $60,000 | thousands by filing date | put |
| SOTHERLY HOTELS INC | 83600C103 | COM | 7,959 | $60,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 5,000 | $60,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 1,500 | $59,000 | thousands by filing date | put |
| GLOBUS MED INC CL A | 379577208 | Stock | 2,490 | $59,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 1,239 | $59,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 1,137 | $59,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 2,055 | $59,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 3,950 | $59,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 2,698 | $59,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 2,172 | $59,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,522 | $59,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 119,860 | $59,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 21,400 | $59,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 3,030 | $59,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 7,000 | $59,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 5,152 | $58,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 3,151 | $58,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 7,027 | $58,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 1,000 | $58,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 2,300 | $58,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 830 | $57,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-15-007480 | this filing | 2015-02-17 | acceptance time not in the bulk data set |