13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2015-03-31, filed 2015-05-15, with 6,250 holding rows worth $143,254,655,000.
- Accession
- 0001140361-15-020162
- Filer
- CIK 1000275
- Filed
- 2015-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2015
A holdings report, 18,247 entries on the cover page, a total value of $143,254,655,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $143,254,655,000 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 |
|---|---|---|---|---|---|---|
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 35 | $47,000 | thousands by filing date | principal |
| ROYAL BK SCOTLAND GROUP PL | 780097796 | SP ADR PREF M | 1,857 | $47,000 | thousands by filing date | principal |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 40,000 | $47,000 | thousands by filing date | principal |
| ISHARES TR | 464288455 | EPRA/NAR NA IN | 782 | $47,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 2,247 | $47,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 5,043 | $47,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 250 | $46,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 2,769 | $46,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 2,509 | $46,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 4,867 | $46,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 3,111 | $46,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 3,677 | $46,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $46,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 2,845 | $46,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 2,500 | $46,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 3,175 | $46,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 2,785 | $46,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 36,268 | $46,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 753 | $46,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,946 | $45,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,007 | $45,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 4,205 | $45,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,021 | $45,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 25,061 | $45,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 519 | $45,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 1,000 | $45,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,900 | $45,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 3,236 | $45,000 | thousands by filing date | |
| Escalera Resources Co | 296064108 | Ordinary Shares | 129,390 | $45,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R585 | RUSSIA SMALLCP | 2,125 | $45,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 2,721 | $44,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 2,474 | $44,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 6,000 | $44,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 1,028 | $44,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 4,850 | $44,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 5,038 | $44,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 8,800 | $44,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 4,226 | $44,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 3,300 | $44,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 4,000 | $44,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 3,873 | $44,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 1,095 | $43,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 1,422 | $43,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 1,537 | $43,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 493 | $43,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 3,014 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,175 | $43,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 101,961 | $43,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 34,839 | $43,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 1,680 | $43,000 | thousands by filing date | principal |
| Engility Holdings Inc | 29286C107 | COM | 1,425 | $43,000 | thousands by filing date | |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 562 | $42,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 9,614 | $42,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 1,033 | $42,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 1,183 | $42,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 1,063 | $42,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 526 | $42,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,189 | $42,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 800 | $42,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 1,728 | $42,000 | thousands by filing date | |
| IMS HEALTH HOLDINGS | 44970B109 | COM | 1,561 | $42,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 7,000 | $42,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 398 | $41,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 11,627 | $41,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 1,588 | $41,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 692 | $41,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 14,950 | $41,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 806 | $41,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 746 | $41,000 | thousands by filing date | |
| PROSHARES | 74347R826 | MUTUAL FUNDS EQ | 2,820 | $41,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 4,280 | $41,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 2,462 | $41,000 | thousands by filing date | |
| BANCORPSOUTH INC | 059692103 | COM | 1,770 | $41,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 349 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,870 | $41,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 932 | $40,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,510 | $40,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 3,000 | $40,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,600 | $40,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 1,625 | $40,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 3,000 | $40,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 7,900 | $40,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 2,333 | $40,000 | thousands by filing date | |
| FEI CO | 30241L109 | COM | 519 | $40,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 725 | $40,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 24,747 | $40,000 | thousands by filing date | |
| ISHARES EDGE U.S. FIXED INCOME BALANCED RISK ETF | 46431W846 | ETF | 400 | $40,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 15,000 | $39,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 15,148 | $39,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 2,425 | $39,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 3,192 | $39,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,661 | $39,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 32,000 | $39,000 | thousands by filing date | principal |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 2,250 | $39,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,000 | $39,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 1,438 | $39,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,047 | $39,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 307 | $39,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 385 | $39,000 | thousands by filing date | |
| HORIZONS ETF TR | 44052C108 | KOREA KOSP 200 | 1,162 | $39,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 1,240 | $38,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 2,182 | $38,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 2,032 | $38,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 1,549 | $38,000 | thousands by filing date | |
| SYNAGEVA BIOPHARMA CORP | 87159A103 | COM | 390 | $38,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 3,915 | $38,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 5,198 | $38,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 2,000 | $38,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 350 | $38,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 1,116 | $38,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 3,408 | $38,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 1,295 | $37,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 1,424 | $37,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 1,828 | $37,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 1,134 | $36,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 967 | $36,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 267 | $36,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 4,751 | $36,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,850 | $36,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,000 | $36,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 1,700 | $36,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 4,014 | $36,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 16,833 | $35,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,800 | $35,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,600 | $35,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 5,450 | $35,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 1,500 | $35,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,808 | $35,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,402 | $35,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 3,000 | $35,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 3,910 | $35,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 3,285 | $35,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 566 | $34,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,750 | $34,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 1,322 | $34,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 574 | $34,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 3,912 | $34,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $34,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 3,400 | $34,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 1,887 | $34,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 1,112 | $34,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 772 | $33,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 745 | $33,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 857 | $33,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,149 | $33,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 573 | $33,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 4,991 | $33,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,000 | $33,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 11,147 | $33,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 22,199 | $33,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 1,108 | $33,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 7,507 | $33,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 1,879 | $32,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 6,525 | $32,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 3,034 | $32,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 1,121 | $32,000 | thousands by filing date | |
| HUBBELL INC -CL A | 443510102 | CL A | 300 | $32,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 24,269 | $32,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 2,670 | $32,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 3,012 | $31,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 917 | $31,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 1,960 | $31,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 1,097 | $31,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 1,100 | $31,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 2,000 | $31,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,450 | $31,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 1,925 | $31,000 | thousands by filing date | |
| MEDASSETS INC | 584045108 | COM | 1,690 | $31,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 3,600 | $31,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,119 | $31,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,500 | $31,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 1,234 | $31,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W866 | PSHS ULTRA YEN | 2,238 | $31,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 305 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 980 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 502 | $30,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 996 | $30,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 573 | $30,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $30,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 1,253 | $30,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 5,971 | $30,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 736 | $30,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,000 | $30,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 1,500 | $30,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 484 | $30,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 19,039 | $30,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,320 | $30,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,000 | $30,000 | thousands by filing date | |
| ISHARES INC | 464286467 | EMKTS GRW IDX | 543 | $30,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 7,018 | $30,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 1,760 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 2,608 | $30,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 1,051 | $29,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 1,194 | $29,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 611 | $29,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 2,585 | $29,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 1,189 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 498 | $29,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 663 | $29,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 25,000 | $29,000 | thousands by filing date | principal |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 8,000 | $29,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 25,000 | $29,000 | thousands by filing date | principal |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 685 | $29,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 17,500 | $29,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 1,800 | $29,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 4,195 | $29,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,920 | $29,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 1,626 | $29,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $29,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,500 | $29,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 25,000 | $29,000 | thousands by filing date | principal |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 400 | $28,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 1,561 | $28,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 693 | $28,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $28,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 2,026 | $28,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 900 | $28,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 892 | $28,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $28,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 1,000 | $28,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 5,000 | $28,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 2,000 | $28,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 38,803 | $28,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 300 | $27,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 1,490 | $27,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 1,835 | $27,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,000 | $27,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,700 | $27,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,684 | $27,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,764 | $27,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,027 | $27,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 7,412 | $27,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 1,500 | $27,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 4,670 | $27,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 7,720 | $27,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 28,000 | $27,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 7,000 | $27,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 42,934 | $27,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 5,000 | $27,000 | thousands by filing date | |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 807 | $27,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,600 | $27,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 1,032 | $27,000 | thousands by filing date | |
| FIRST TR ISE GLBL PLAT INDX | 33737C104 | COM | 2,998 | $27,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 2,250 | $27,000 | thousands by filing date | |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 25,000 | $27,000 | thousands by filing date | principal |
| ISHARES U S ETF TR | 46431W408 | Cmn | 1,140 | $27,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 14,457 | $26,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 718 | $26,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 2,201 | $26,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 4,244 | $26,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,907 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 600 | $26,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 1,320 | $26,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 1,599 | $26,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 5,125 | $26,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,160 | $26,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 6,500 | $26,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 3,349 | $26,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 1,320 | $26,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 25,000 | $26,000 | thousands by filing date | principal |
| CERULEAN PHARMA INC | 15708Q105 | COM | 2,850 | $26,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 27,000 | $26,000 | thousands by filing date | principal |
| LAKES ENTERTAINMEN | 51206P208 | COM | 3,000 | $26,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 744 | $25,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 4,000 | $25,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 600 | $25,000 | thousands by filing date | call |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 2,500 | $25,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 1,142 | $25,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 256 | $25,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 5,650 | $25,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,000 | $25,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 1,456 | $25,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 10,203 | $25,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 1,680 | $25,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 4,472 | $25,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 8,954 | $25,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,391 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 1,608 | $25,000 | thousands by filing date | |
| HOMEINNS HOTEL GROUP | 43742E102 | SPONSORED ADR | 1,056 | $25,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 1,000 | $25,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 1,377 | $25,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 1,531 | $24,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 1,150 | $24,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 394 | $24,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,200 | $24,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,600 | $24,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,075 | $24,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 569 | $24,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 455 | $24,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 11,481 | $24,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 8,850 | $24,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 25,000 | $24,000 | thousands by filing date | principal |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 20,000 | $24,000 | thousands by filing date | principal |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 810 | $24,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 1,051 | $24,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 2,750 | $24,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 2,400 | $24,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 1,445 | $24,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 1,530 | $24,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 1,872 | $24,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 13,008 | $23,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,422 | $23,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 588 | $23,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,003 | $23,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,434 | $23,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 1,000 | $23,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 808 | $23,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 600 | $23,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 2,399 | $23,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 3,776 | $23,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 2,500 | $23,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 1,000 | $23,000 | thousands by filing date | |
| SANCHEZ PRODTN PARTNE | 79971C102 | COMMON | 12,300 | $23,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 170 | $22,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 3,908 | $22,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 2,675 | $22,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 400 | $22,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 546 | $22,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 7,318 | $22,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 1,000 | $22,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 21,463 | $22,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 2,030 | $22,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 1,316 | $22,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 168 | $22,000 | thousands by filing date | principal |
| FRONTLINE LTD | G3682E127 | COM | 10,000 | $22,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 106,364 | $22,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,366 | $22,000 | thousands by filing date | |
| ISHARES GLBL INFLATION LINKED BOND FUND | 46429B812 | ETF | 438 | $22,000 | thousands by filing date | |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 2,000 | $22,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 642 | $22,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 900 | $22,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 1,200 | $22,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 2,600 | $22,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 429 | $22,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 1,710 | $22,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 825 | $21,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 1,538 | $21,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,300 | $21,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 1,500 | $21,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 1,500 | $21,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 289 | $21,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 500 | $21,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 425 | $21,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 38,053 | $21,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 1,425 | $21,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 2,115 | $21,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 606 | $21,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 900 | $21,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 600 | $21,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 2,500 | $21,000 | thousands by filing date | |
| CON-WAY INC | 205944101 | COM | 470 | $21,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 444 | $21,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 1,000 | $21,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,162 | $21,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 2,514 | $21,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 800 | $20,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 7,603 | $20,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 1,200 | $20,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 569 | $20,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 1,000 | $20,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 454 | $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 | 2,046 | $20,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,322 | $20,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 501 | $20,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 1,155 | $20,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 2,673 | $20,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 668 | $20,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 1,603 | $20,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 1,154 | $20,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 1,477 | $20,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,300 | $20,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 2,500 | $20,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 3,035 | $20,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 18,118 | $20,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,300 | $19,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 2,058 | $19,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 1,000 | $19,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,000 | $19,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,711 | $19,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 14,000 | $19,000 | thousands by filing date | principal |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 736 | $19,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 2,000 | $19,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 2,000 | $19,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 387 | $19,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 1,500 | $19,000 | thousands by filing date | put |
| MOCON INC | 607494101 | COM | 1,162 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286566 | MSCI EMKT EUR | 1,088 | $19,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 2,849 | $19,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 1,102 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347X484 | ULT KBW REGBNK | 200 | $19,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 20,000 | $19,000 | thousands by filing date | principal |
| CIVEO CORP | 178787107 | COM | 7,598 | $19,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 600 | $18,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 1,144 | $18,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 431 | $18,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,200 | $18,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 3,575 | $18,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 575 | $18,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,329 | $18,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,836 | $18,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 3,437 | $18,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 8,804 | $18,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,468 | $18,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 1,300 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 1,914 | $18,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 1,400 | $18,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 8,727 | $18,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 594 | $18,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 277 | $17,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $17,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 245 | $17,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 2,344 | $17,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,383 | $17,000 | thousands by filing date | |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 15,000 | $17,000 | thousands by filing date | principal |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 6,808 | $17,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,700 | $17,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,276 | $17,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 15,000 | $17,000 | thousands by filing date | principal |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 493 | $17,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $17,000 | thousands by filing date | |
| CHINA MOBILE GAMES & ENTERTAINMENT LTD | 16952T100 | COM | 1,044 | $17,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 1,698 | $17,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 15,000 | $17,000 | thousands by filing date | principal |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 10,000 | $17,000 | thousands by filing date | principal |
| SKYWEST INC COM | 830879102 | Stock | 1,100 | $16,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 1,750 | $16,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 704 | $16,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 1,997 | $16,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 275 | $16,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,750 | $16,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 700 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 744 | $16,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,100 | $16,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 15,000 | $16,000 | thousands by filing date | principal |
| CIMPRESS N V | N20146101 | SHS EURO | 194 | $16,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 1,041 | $16,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 1,000 | $16,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 7,500 | $16,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 15,000 | $16,000 | thousands by filing date | principal |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 665 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 486 | $16,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 3,044 | $16,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,200 | $16,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 577 | $15,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 333 | $15,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,000 | $15,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 12,970 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $15,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 1,036 | $15,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $15,000 | thousands by filing date | principal |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 5,000 | $15,000 | thousands by filing date | principal |
| ARQULE INC | 04269E107 | COM | 6,500 | $15,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 2,000 | $15,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 1,740 | $15,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 300 | $15,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 1,000 | $15,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 34,474 | $15,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 967 | $15,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 900 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 757 | $15,000 | thousands by filing date | |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 300 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 300 | $15,000 | thousands by filing date | |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 350 | $15,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E150 | GF CHINA BD ET | 400 | $15,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,000 | $14,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 1,480 | $14,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 221 | $14,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 3,111 | $14,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 397 | $14,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 152 | $14,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $14,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,000 | $14,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 270 | $14,000 | thousands by filing date | principal |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 5,911 | $14,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 250 | $14,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 1,700 | $14,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 2,400 | $14,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 3,556 | $14,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 35,329 | $14,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,629 | $14,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 1,208 | $14,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 3,500 | $14,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 20,000 | $14,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $14,000 | thousands by filing date | |
| PROSHARES ULTRASHORT RE | 74348A871 | COM | 1,200 | $14,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 500 | $14,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643507 | ADR PRF SER A | 1,600 | $14,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,700 | $14,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 15,000 | $14,000 | thousands by filing date | principal |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 300 | $13,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $13,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 1,200 | $13,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,179 | $13,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 1,000 | $13,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,400 | $13,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 500 | $13,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 54,660 | $13,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 286 | $13,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-15-020162 | this filing | 2015-05-15 | acceptance time not in the bulk data set |