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 |
|---|---|---|---|---|---|---|
| CYRUSONE INC | 23283R100 | COM | 2,059 | $57,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,080 | $57,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 2,533 | $57,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 4,200 | $57,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 18,500 | $57,000 | thousands by filing date | |
| PLATINUM UNDERWRITER HLDGS L | G7127P100 | COM | 774 | $57,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 5,986 | $57,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E507 | CHINA ENRG ETF | 4,233 | $57,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 3,172 | $56,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 11,000 | $56,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $56,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H203 | COM NEW | 1,524 | $56,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 1,477 | $56,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 1,053 | $56,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 2,709 | $56,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 5,807 | $55,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 2,000 | $55,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 7,000 | $55,000 | thousands by filing date | put |
| BRIDGE CAP HLDGS | 108030107 | COM | 2,443 | $55,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 1,315 | $55,000 | thousands by filing date | |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 465 | $55,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 1,525 | $54,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 20,000 | $54,000 | thousands by filing date | call |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 614 | $54,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 4,058 | $54,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 982 | $54,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 2,764 | $54,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 4,069 | $54,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 723 | $54,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $54,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 2,424 | $54,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 11,106 | $53,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 6,541 | $53,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 5,000 | $53,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 4,652 | $53,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,235 | $53,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 2,206 | $53,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153204 | COM NEW | 1,475 | $53,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 1,853 | $53,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 1,832 | $53,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 2,018 | $53,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 2,447 | $52,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 3,266 | $52,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 5,037 | $52,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 17,260 | $52,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 1,708 | $52,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 3,407 | $52,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 2,610 | $52,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 36,945 | $52,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 7,921 | $52,000 | thousands by filing date | |
| ISHARES TR | 46429B705 | MSCI RUSS INDX | 4,651 | $52,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 909 | $52,000 | thousands by filing date | principal |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 2,900 | $51,000 | thousands by filing date | |
| EXLSERVICE HLDGS INC COM | 302081104 | Stock | 1,793 | $51,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 1,082 | $51,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $51,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 3,025 | $51,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 6,007 | $51,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 3,377 | $51,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 8,600 | $51,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 3,022 | $51,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 1,000 | $50,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 2,363 | $50,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 2,000 | $50,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 1,306 | $50,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $50,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 2,200 | $50,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,500 | $50,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,950 | $50,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 3,500 | $50,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 2,588 | $50,000 | thousands by filing date | |
| POST PPTYS INC | 737464107 | COM | 858 | $50,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 11,887 | $50,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 1,515 | $50,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 2,750 | $49,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 900 | $49,000 | thousands by filing date | call |
| YORK WATER CO | 987184108 | COMMON STOCK | 2,100 | $49,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,000 | $49,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 26,670 | $49,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 3,280 | $49,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 3,685 | $48,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 1,944 | $48,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 15,450 | $48,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 4,950 | $48,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 1,936 | $48,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 2,374 | $48,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 2,000 | $47,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 3,760 | $47,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 13,118 | $47,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 4,569 | $47,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 12,000 | $47,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 883 | $46,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 5,510 | $46,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 3,225 | $46,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 4,428 | $46,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 3,782 | $46,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 20,000 | $46,000 | thousands by filing date | call |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 7,359 | $46,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 8,942 | $46,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 3,707 | $46,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 23,496 | $46,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 2,500 | $45,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 592 | $45,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 3,386 | $45,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 3,157 | $45,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 3,000 | $45,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 41,000 | $45,000 | thousands by filing date | principal |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 3,175 | $45,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 2,386 | $45,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 2,820 | $45,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1,000 | $45,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 1,518 | $44,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,946 | $44,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 1,249 | $44,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 14,950 | $44,000 | thousands by filing date | |
| CHESAPEAKE LODGING TR | 165240102 | SH BEN INT | 1,193 | $44,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 24,443 | $44,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 10,007 | $44,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 2,845 | $43,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 40,000 | $43,000 | thousands by filing date | principal |
| ENERPLUS CORP | 292766102 | COM | 4,500 | $43,000 | thousands by filing date | call |
| SENOMYX INC | 81724Q107 | COM | 7,100 | $43,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 4,000 | $43,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 27,696 | $43,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 22,883 | $43,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 21,237 | $42,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 894 | $42,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 10,000 | $42,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 343 | $42,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 3,014 | $42,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 2,206 | $42,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 43,000 | $42,000 | thousands by filing date | principal |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 40,000 | $42,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 2,000 | $42,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 3,400 | $42,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R585 | RUSSIA SMALLCP | 2,125 | $42,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 600 | $41,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 500 | $41,000 | thousands by filing date | put |
| MERIT MED SYS INC COM | 589889104 | Stock | 2,352 | $41,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 11,365 | $41,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 1,473 | $41,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 3,220 | $41,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,000 | $41,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 5,000 | $41,000 | thousands by filing date | put |
| ISRAMCO INC | 465141406 | COM | 300 | $41,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 349 | $41,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 1,747 | $41,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 5,202 | $41,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 300 | $40,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 2,769 | $40,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 10,519 | $40,000 | thousands by filing date | |
| BANCORPSOUTH INC | 059692103 | COM | 1,770 | $40,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097796 | SP ADR PREF M | 1,617 | $40,000 | thousands by filing date | principal |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 650 | $40,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 1,950 | $40,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 1,000 | $39,000 | thousands by filing date | call |
| UMB FINL CORP | 902788108 | COM | 697 | $39,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 9,050 | $39,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 2,613 | $39,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,019 | $39,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 1,935 | $39,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,450 | $39,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 1,500 | $39,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 7,016 | $39,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 1,630 | $39,000 | thousands by filing date | principal |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 1,500 | $39,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 1,180 | $39,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 4,629 | $38,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 2,279 | $38,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 1,573 | $38,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,000 | $38,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 1,625 | $38,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 30,000 | $38,000 | thousands by filing date | principal |
| RTI BIOLOGICS INC | 74975N105 | COM | 7,300 | $38,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,250 | $38,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 19,000 | $38,000 | thousands by filing date | |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 1,372 | $38,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 2,000 | $38,000 | thousands by filing date | principal |
| INOGEN INC | 45780L104 | COM | 1,200 | $37,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 3,000 | $37,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 6,000 | $37,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 25,000 | $37,000 | thousands by filing date | |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 3,301 | $37,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 1,750 | $37,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 1,471 | $37,000 | thousands by filing date | principal |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 2,875 | $37,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 11,678 | $37,000 | thousands by filing date | |
| LAKES ENTERTAINMEN | 51206P208 | COM | 5,500 | $37,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 2,554 | $36,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,850 | $36,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,503 | $36,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,296 | $36,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 5,033 | $36,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,814 | $36,000 | thousands by filing date | |
| SAFEWAY INC | 786514208 | COM NEW | 1,000 | $35,000 | thousands by filing date | put |
| ARQ INC | 00770C101 | COM | 1,550 | $35,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 1,300 | $35,000 | thousands by filing date | |
| TECH DATA CORP | 878237106 | COM | 564 | $35,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 3,000 | $35,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 795 | $34,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 279 | $34,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 592 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 500 | $34,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 674 | $34,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 3,772 | $34,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 2,402 | $34,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 5,097 | $34,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 980 | $34,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 463 | $34,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 1,108 | $34,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 2,165 | $34,000 | thousands by filing date | |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 30,000 | $34,000 | thousands by filing date | principal |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 2,000 | $33,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 670 | $33,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,832 | $33,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,000 | $33,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 5,820 | $33,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 5,550 | $33,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 9,443 | $33,000 | thousands by filing date | |
| ORBITAL SCIENCES CORP | 685564106 | COM | 1,216 | $33,000 | thousands by filing date | |
| HUBBELL INC -CL A | 443510102 | CL A | 300 | $33,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,500 | $33,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 3,400 | $33,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $33,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 35,000 | $33,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 1,253 | $33,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 14,861 | $32,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 2,628 | $32,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 5,971 | $32,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 610 | $32,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,811 | $32,000 | thousands by filing date | |
| LIFE TIME FITNESS INC | 53217R207 | COM | 579 | $32,000 | thousands by filing date | |
| CON-WAY INC | 205944101 | COM | 625 | $32,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 486 | $32,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $32,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 1,265 | $32,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 2,222 | $31,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 2,361 | $31,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 859 | $31,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 1,024 | $31,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,072 | $31,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 3,183 | $31,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 900 | $31,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 17,500 | $31,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 30,000 | $31,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 29,150 | $31,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 1,850 | $31,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 40,000 | $31,000 | thousands by filing date | principal |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,249 | $31,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 2,300 | $31,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 30,000 | $31,000 | thousands by filing date | principal |
| FIDELITY COMWLTH TR | 315912808 | COM | 163 | $30,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 1,960 | $30,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 373 | $30,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 6,589 | $30,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,750 | $30,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 30,000 | $30,000 | thousands by filing date | principal |
| TRUECAR INC | 89785L107 | COM | 1,300 | $30,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 8,000 | $30,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 3,191 | $30,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 20,000 | $30,000 | thousands by filing date | principal |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 3,600 | $30,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 2,200 | $30,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,119 | $30,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 19,434 | $30,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 928 | $30,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,922 | $30,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,000 | $30,000 | thousands by filing date | |
| FIRST TR ISE GLBL PLAT INDX | 33737C104 | COM | 3,005 | $30,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 1,760 | $30,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 800 | $29,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 521 | $29,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 3,654 | $29,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 2,516 | $29,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $29,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 531 | $29,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 775 | $29,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 792 | $29,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 511 | $29,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 1,800 | $29,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 2,481 | $29,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,600 | $29,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 2,000 | $28,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 865 | $28,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 700 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 400 | $28,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 41,265 | $28,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,800 | $28,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 1,828 | $28,000 | thousands by filing date | |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 25,000 | $28,000 | thousands by filing date | principal |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 4,000 | $28,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 930 | $28,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,920 | $28,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 2,750 | $28,000 | thousands by filing date | |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 30,000 | $28,000 | thousands by filing date | principal |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 17,297 | $28,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 1,000 | $27,000 | thousands by filing date | put |
| OXFORD LANE CAP CORP | 691543102 | COM | 1,835 | $27,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 1,000 | $27,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 3,669 | $27,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 9,000 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 468 | $27,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 14,000 | $27,000 | thousands by filing date | principal |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 2,074 | $27,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,000 | $27,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 375 | $27,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 27,000 | $27,000 | thousands by filing date | principal |
| NEOVASC INC COM STK | 64065J106 | COM | 3,984 | $27,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 1,150 | $27,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,400 | $27,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 1,200 | $27,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 25,000 | $27,000 | thousands by filing date | principal |
| Deutsche Global High Income | 25158V108 | 0 | 3,400 | $27,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R361 | Cmn | 952 | $27,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 750 | $26,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,000 | $26,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 441 | $26,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 4,244 | $26,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,027 | $26,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 25,000 | $26,000 | thousands by filing date | principal |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 1,000 | $26,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 771 | $26,000 | thousands by filing date | |
| GENTIVA HEALTH SERVICES | 37247A102 | COM | 1,364 | $26,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 20,000 | $26,000 | thousands by filing date | principal |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 1,053 | $26,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 1,000 | $26,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 2,400 | $26,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 1,445 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 1,000 | $26,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 2,911 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R437 | MSCI IN QLT DI | 564 | $26,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 4,750 | $25,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,000 | $25,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 256 | $25,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,584 | $25,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 1,596 | $25,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 2,156 | $25,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 1,408 | $25,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,000 | $25,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 1,000 | $25,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 2,102 | $25,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 9,000 | $25,000 | thousands by filing date | principal |
| COVISINT CORP | 22357R103 | COM | 9,576 | $25,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 15,000 | $25,000 | thousands by filing date | principal |
| VIRGIN AMER INC | 92765X208 | COM VTG | 567 | $25,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 1,801 | $25,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 810 | $24,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 335 | $24,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 995 | $24,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 2,756 | $24,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,200 | $24,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 201 | $24,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 2,100 | $24,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,000 | $24,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $24,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 25,000 | $24,000 | thousands by filing date | principal |
| Cbs Corporation Cl A New | 124857103 | CLA | 434 | $24,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 6,500 | $24,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,836 | $24,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 1,800 | $24,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643507 | ADR PRF SER A | 1,695 | $24,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A384 | ULSH RUSS2000 VL | 496 | $24,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 970 | $23,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,003 | $23,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,600 | $23,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 1,950 | $23,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 7,408 | $23,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 1,600 | $23,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 2,586 | $23,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 8,850 | $23,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 4,500 | $23,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 25,000 | $23,000 | thousands by filing date | principal |
| MOLYCORP INC DEL | 608753109 | COM | 25,622 | $23,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U431 | LATAM AGGR BD | 1,020 | $23,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,410 | $23,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,367 | $23,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 4,190 | $23,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 3,849 | $23,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 20,000 | $23,000 | thousands by filing date | principal |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 1,549 | $22,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 292 | $22,000 | thousands by filing date | |
| GRAFTECH INTERNATIONAL LTD | 384313102 | COMMON STOCK | 4,330 | $22,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 2,344 | $22,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 2,000 | $22,000 | thousands by filing date | |
| BBCN BANCORP INC | 073295107 | COM | 1,510 | $22,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 1,492 | $22,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 470 | $21,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 850 | $21,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 1,500 | $21,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 542 | $21,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 502 | $21,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 662 | $21,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $21,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 1,142 | $21,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 2,000 | $21,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 5,125 | $21,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 8,122 | $21,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 295 | $21,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 14,500 | $21,000 | thousands by filing date | |
| CORPBANCA | 21987A209 | SPONSORED ADR | 1,200 | $21,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,162 | $21,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 791 | $21,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 1,477 | $21,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R353 | CHINAAMC BD ETF | 842 | $21,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 3,908 | $20,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 1,538 | $20,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 1,700 | $20,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,845 | $20,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,512 | $20,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 597 | $20,000 | thousands by filing date | |
| IGATE CORP | 45169U105 | COM | 505 | $20,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 10,600 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 581 | $20,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,300 | $20,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 1,102 | $20,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,500 | $20,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 3,000 | $20,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 3,077 | $20,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 3,045 | $19,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,300 | $19,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 700 | $19,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 637 | $19,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $19,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 55,260 | $19,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 64,017 | $19,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 5,000 | $19,000 | thousands by filing date | call |
| KNOLL INC | 498904200 | COM NEW | 900 | $19,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,329 | $19,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 300 | $19,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,000 | $19,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 19,393 | $19,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 700 | $19,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 1,925 | $19,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 20,000 | $19,000 | thousands by filing date | principal |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 1,295 | $19,000 | thousands by filing date | |
| SANCHEZ PRODTN PARTNERS LLC | 79971A106 | COM UNIT RP CL B ADDED | 14,030 | $19,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 200 | $18,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 687 | $18,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 1,226 | $18,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 917 | $18,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,000 | $18,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 2,067 | $18,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 337 | $18,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 7,618 | $18,000 | thousands by filing date | |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 15,000 | $18,000 | thousands by filing date | principal |
| GAMCO INVS INC COM | 361438104 | COM | 197 | $18,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 3,190 | $18,000 | thousands by filing date | |
| SALIX PHARMACEUTICAL 1.500 | 795435AE6 | NOTE 1.500% 3/ | 10,000 | $18,000 | thousands by filing date | principal |
| PARK STERLING CORP | 70086Y105 | COM | 2,468 | $18,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 1,400 | $18,000 | thousands by filing date | |
| CHINA MOBILE GAMES & ENTERTAINMENT LTD | 16952T100 | COM | 1,000 | $18,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 816 | $18,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 739 | $17,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 1,091 | $17,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,000 | $17,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,200 | $17,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 259 | $17,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,000 | $17,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,750 | $17,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 2,500 | $17,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,276 | $17,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,900 | $17,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 1,700 | $17,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 6,520 | $17,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 206 | $17,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 133,350 | $17,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 1,600 | $17,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 250 | $17,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 6,042 | $17,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 479 | $16,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,100 | $16,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 543 | $16,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 457 | $16,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 200 | $16,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 1,000 | $16,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 30,566 | $16,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 1,800 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 400 | $16,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 1,170 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 711 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,700 | $16,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,000 | $15,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 1,100 | $15,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 660 | $15,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,100 | $15,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 445 | $15,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 980 | $15,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,900 | $15,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 200 | $15,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 250 | $15,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 545 | $15,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 575 | $15,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,800 | $15,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 901 | $15,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 15,000 | $15,000 | thousands by filing date | principal |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 6,850 | $15,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 315 | $15,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,624 | $15,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 1,000 | $15,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 600 | $15,000 | 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 |