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 |
|---|---|---|---|---|---|---|
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 117 | $15,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 500 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 500 | $15,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,555 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 600 | $15,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 15,000 | $15,000 | thousands by filing date | principal |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 1,480 | $14,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 508 | $14,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 152 | $14,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 300 | $14,000 | thousands by filing date | put |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 600 | $14,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 575 | $14,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 425 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 744 | $14,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 270 | $14,000 | thousands by filing date | principal |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 103 | $14,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 3,575 | $14,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 578 | $14,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 573 | $14,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 973 | $14,000 | thousands by filing date | |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 1,728 | $14,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 3,500 | $14,000 | thousands by filing date | |
| PIZZA INN HOLDINGS INC | 725846109 | COM | 2,000 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L527 | 30 YR TREAS BULL | 190 | $14,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 15,000 | $14,000 | thousands by filing date | principal |
| TALMER BANCORP INC | 87482X101 | COM | 1,000 | $14,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 350 | $13,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 1,000 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 85 | $13,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 2,000 | $13,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 206 | $13,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 700 | $13,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 1,000 | $13,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 130 | $13,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 12,970 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 100 | $13,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,000 | $13,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 1,000 | $13,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 12,800 | $13,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 1,085 | $13,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 5,000 | $13,000 | thousands by filing date | principal |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $13,000 | thousands by filing date | principal |
| ISHARES INC | 464286566 | MSCI EMKT EUR | 835 | $13,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $13,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 30,500 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 749 | $13,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 488 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 450 | $13,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 400 | $13,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 25,000 | $13,000 | thousands by filing date | principal |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 300 | $12,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 300 | $12,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $12,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 357 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 275 | $12,000 | thousands by filing date | |
| GREAT WESTN BANCORP INC | 391416104 | COM | 519 | $12,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 1,000 | $12,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,179 | $12,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 784 | $12,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 2,408 | $12,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 500 | $12,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 7,601 | $12,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 954 | $12,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 488 | $12,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 4,361 | $12,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 1,350 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 487 | $12,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 500 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 500 | $12,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 10,000 | $12,000 | thousands by filing date | principal |
| WSI INDS INC | 92932Q102 | COM | 2,100 | $12,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 600 | $12,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 15,000 | $12,000 | thousands by filing date | principal |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 2,250 | $12,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 459 | $11,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 6,000 | $11,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,023 | $11,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 300 | $11,000 | thousands by filing date | put |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 703 | $11,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $11,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 501 | $11,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 400 | $11,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 303 | $11,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 1,000 | $11,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 1,544 | $11,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 814 | $11,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $11,000 | thousands by filing date | principal |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 7,584 | $11,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,456 | $11,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,036 | $11,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 2,500 | $11,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 10,000 | $11,000 | thousands by filing date | principal |
| SONUS NETWORKS INC | 835916107 | COM | 2,712 | $11,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 1,146 | $11,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 1,500 | $11,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 5,440 | $11,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 7,071 | $11,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 59,501 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 200 | $11,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 10,000 | $11,000 | thousands by filing date | principal |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 425 | $11,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 697 | $11,000 | thousands by filing date | |
| HOMEINNS HOTEL GROUP | 43742E102 | SPONSORED ADR | 350 | $11,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 884 | $11,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W309 | ENH INTL SMCAP | 481 | $11,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 500 | $11,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 1,554 | $11,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 2,000 | $11,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 1,112 | $11,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 100 | $10,000 | thousands by filing date | call |
| ROGERS CORP COM | 775133101 | Stock | 130 | $10,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 135 | $10,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,000 | $10,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 154 | $10,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 1,000 | $10,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 1,000 | $10,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 400 | $10,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,100 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $10,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 231 | $10,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 7,300 | $10,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 472 | $10,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 130 | $10,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 400 | $10,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 20,000 | $10,000 | thousands by filing date | principal |
| CUBIST PHARMACEUTICALS INC | 229678107 | COM | 100 | $10,000 | thousands by filing date | call |
| TUMI HLDGS INC | 89969Q104 | COM | 407 | $10,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 18,000 | $10,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,217 | $10,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 70 | $10,000 | thousands by filing date | principal |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 1,038 | $10,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 1,200 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 439 | $10,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 10,000 | $10,000 | thousands by filing date | principal |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,000 | $10,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 687 | $10,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 884 | $10,000 | thousands by filing date | |
| ONEMAIN HOLDINGS | 85172J101 | COM | 268 | $10,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,000 | $9,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 56 | $9,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 715 | $9,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 200 | $9,000 | thousands by filing date | call |
| RADNET INC | 750491102 | COM | 1,000 | $9,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,273 | $9,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 867 | $9,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 850 | $9,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,486 | $9,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 220 | $9,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 5,200 | $9,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 436 | $9,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 650 | $9,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 3,000 | $9,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 1,000 | $9,000 | thousands by filing date | |
| UNITED RENTALS INC | 911363AL3 | NOTE 4.000% | 1,000 | $9,000 | thousands by filing date | principal |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 2,350 | $9,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $9,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 175 | $9,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 99 | $9,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 545 | $9,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 1,150 | $9,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 500 | $9,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 500 | $9,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 325 | $8,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 100 | $8,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 401 | $8,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 470 | $8,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 100 | $8,000 | thousands by filing date | call |
| FORWARD AIR CORP | 349853101 | COM | 159 | $8,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 194 | $8,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 250 | $8,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $8,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 165 | $8,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 500 | $8,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 1,839 | $8,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 800 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 200 | $8,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 189 | $8,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 1,543 | $8,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 1,150 | $8,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 550 | $8,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 384 | $8,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 274 | $8,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 525 | $8,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 345 | $8,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P203 | COM NEW | 14,800 | $8,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 5,000 | $8,000 | thousands by filing date | principal |
| ARQULE INC | 04269E107 | COM | 6,500 | $8,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 6,000 | $8,000 | thousands by filing date | principal |
| PUREFUNDS ISE JUNIOR SILV | 30304R308 | COM | 1,000 | $8,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 3,974 | $8,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 1,000 | $8,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $8,000 | thousands by filing date | principal |
| RIVER VY BANCORP | 768475105 | COM | 400 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 500 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P262 | IPTH AGRIC ETN | 207 | $8,000 | thousands by filing date | |
| IPATH PURE BETA INDUSTRIALS | 06740P296 | ETP | 266 | $8,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 864 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 145 | $8,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 285 | $8,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,375 | $8,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 100 | $7,000 | thousands by filing date | call |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 488 | $7,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 500 | $7,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 700 | $7,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 189 | $7,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 200 | $7,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 500 | $7,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 430 | $7,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 106 | $7,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 316 | $7,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 875 | $7,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 210 | $7,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 700 | $7,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 1,601 | $7,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 606 | $7,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,010 | $7,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 519 | $7,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 800 | $7,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $7,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 500 | $7,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 1,002 | $7,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 221 | $7,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 465 | $7,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 1,950 | $7,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 223 | $7,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 200 | $7,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 8,057 | $7,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 609 | $7,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 2,000 | $7,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 6,000 | $7,000 | thousands by filing date | principal |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 3,000 | $7,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 7,500 | $7,000 | thousands by filing date | |
| UROPLASTY INC | 917277204 | COM NEW | 3,500 | $7,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 1,300 | $7,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 380 | $7,000 | thousands by filing date | |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 200 | $7,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 800 | $7,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 3,500 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 640 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 459 | $7,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 500 | $6,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 240 | $6,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 180 | $6,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 100 | $6,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 2,000 | $6,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 250 | $6,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 600 | $6,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 300 | $6,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 328 | $6,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 75 | $6,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 158 | $6,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 194 | $6,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 200 | $6,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 694 | $6,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 150 | $6,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 109 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 2,500 | $6,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 209 | $6,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 360 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,085 | $6,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 11,053 | $6,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 1,358 | $6,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 150 | $6,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 149 | $6,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 299 | $6,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 400 | $6,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 300 | $6,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 800 | $6,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 515 | $6,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 75 | $6,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 750 | $6,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 16,500 | $6,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 400 | $6,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 774 | $6,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 4,450 | $6,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 2,335 | $6,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055AE7 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| KONAMI CORP-ADR | 50046R101 | SPON | 300 | $6,000 | thousands by filing date | |
| Meru Networks, Inc. | 59047Q103 | COM | 1,500 | $6,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 1,000 | $6,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 500 | $6,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 250 | $6,000 | thousands by filing date | |
| ISHARES B-CA | 46432F404 | COM | 119 | $6,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 6,000 | $6,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 326 | $6,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 1,044 | $6,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 578 | $6,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 85 | $6,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 1,000 | $6,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 600 | $6,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 250 | $6,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M129 | *W EXP 08/01/201 | 46,000 | $6,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 100 | $5,000 | thousands by filing date | call |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 200 | $5,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 8,040 | $5,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 122 | $5,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 200 | $5,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 200 | $5,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 600 | $5,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $5,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 80 | $5,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 540 | $5,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 160 | $5,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 3,600 | $5,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 370 | $5,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 100 | $5,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 150 | $5,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 99 | $5,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 297 | $5,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 1,033 | $5,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 622 | $5,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 344 | $5,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 4,000 | $5,000 | thousands by filing date | principal |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 424 | $5,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 1,883 | $5,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 200 | $5,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,076 | $5,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 1,300 | $5,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| LIFEVANTAGE CORP | 53222K106 | COM | 4,300 | $5,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 588 | $5,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 2,000 | $5,000 | thousands by filing date | principal |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,187 | $5,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 12,000 | $5,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 666 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 300 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 115 | $5,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 9,334 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 144 | $5,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 5,000 | $5,000 | thousands by filing date | principal |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 250 | $5,000 | thousands by filing date | |
| KOFAX LTD | G5307C105 | COM USD | 688 | $5,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 86 | $4,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 155 | $4,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 447 | $4,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 238 | $4,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 159 | $4,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 208 | $4,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 325 | $4,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,000 | $4,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 200 | $4,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 254 | $4,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 1,402 | $4,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 100 | $4,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 350 | $4,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 161 | $4,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 80 | $4,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 540 | $4,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 1,000 | $4,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 1,600 | $4,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 400 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739H263 | FUND | 88 | $4,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 400 | $4,000 | thousands by filing date | call |
| TEAM INC | 878155100 | COM | 110 | $4,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 300 | $4,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 31,005 | $4,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 300 | $4,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 2,169 | $4,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 500 | $4,000 | thousands by filing date | |
| HFF INC | 40418F108 | CL A | 119 | $4,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 1,000 | $4,000 | thousands by filing date | principal |
| FINANCIAL ENGINES INC | 317485100 | COM | 100 | $4,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 300 | $4,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 474 | $4,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,000 | $4,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 572 | $4,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 400 | $4,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 2,249 | $4,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 1,000 | $4,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 2,000 | $4,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 1,900 | $4,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 14,286 | $4,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 250 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 100 | $4,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 215 | $4,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 150 | $4,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 19,000 | $4,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 330 | $4,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 6,194 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X525 | S&P SMLCP ASIA | 107 | $4,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 890 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 181 | $4,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 20,200 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 200 | $4,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 121 | $4,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 145 | $4,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 218 | $4,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 312 | $3,000 | thousands by filing date | call |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 65 | $3,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 108 | $3,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 190 | $3,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 174 | $3,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 200 | $3,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 129 | $3,000 | thousands by filing date | |
| MARKIT LTD | G58249106 | SHS | 100 | $3,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 500 | $3,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 94 | $3,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 330 | $3,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 88 | $3,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 208 | $3,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 574 | $3,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 111 | $3,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 400 | $3,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 223 | $3,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 117 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 325 | $3,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 279 | $3,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 139 | $3,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 164 | $3,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 68 | $3,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 123 | $3,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 274 | $3,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 831 | $3,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 200 | $3,000 | thousands by filing date | |
| TRW AUTOMOTIVE INC | 87264MAH2 | NOTE 3.500%12/0 | 1,000 | $3,000 | thousands by filing date | principal |
| UNILIFE CORP NEW | 90478E103 | COM | 947 | $3,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 178 | $3,000 | thousands by filing date | |
| DIGITAL RIV INC | 25388B104 | COM | 125 | $3,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 200 | $3,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 450 | $3,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 600 | $3,000 | thousands by filing date | |
| EXAMWORKS GROUP INC COM | 30066A105 | COM | 72 | $3,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 2,850 | $3,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 6,000 | $3,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 46,720 | $3,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 191 | $3,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 5,000 | $3,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 2,000 | $3,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 131 | $3,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 300 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 50 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A806 | ULT INV GRD CP | 50 | $3,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 2,000 | $3,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 154 | $3,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 200 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 55 | $3,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 102 | $3,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 179 | $3,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 256 | $3,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 85 | $3,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 752 | $3,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 1,000 | $3,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 1,330 | $3,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 246 | $3,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 2,500 | $3,000 | thousands by filing date | |
| NEPHROGENEX INC | 640667101 | Cmn | 200 | $3,000 | thousands by filing date | |
| SQUARE 1 FINL INC | 85223W101 | CL A | 109 | $3,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 275 | $2,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 288 | $2,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 82 | $2,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 165 | $2,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 1,643 | $2,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 50 | $2,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 5,000 | $2,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 463 | $2,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 42 | $2,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 60 | $2,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 74 | $2,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 563 | $2,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 42 | $2,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 114 | $2,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 100 | $2,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,000 | $2,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 100 | $2,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 258 | $2,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 17 | $2,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 1,661 | $2,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 1,500 | $2,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 181 | $2,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 900 | $2,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 80 | $2,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 503 | $2,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 28 | $2,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 200 | $2,000 | thousands by filing date | put |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 2,000 | $2,000 | thousands by filing date | principal |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 4,974 | $2,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 324 | $2,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 1,012 | $2,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 138 | $2,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 107 | $2,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 400 | $2,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 1,289 | $2,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 2,000 | $2,000 | thousands by filing date | principal |
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 |