13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2015-06-30, filed 2015-08-14, with 6,700 holding rows worth $144,695,959,000.
- Accession
- 0001140361-15-032251
- Filer
- CIK 1000275
- Filed
- 2015-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A holdings report, 21,181 entries on the cover page, a total value of $144,695,959,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $144,695,959,000 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 |
|---|---|---|---|---|---|---|
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 1,344 | $30,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 30,000 | $30,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57061R353 | CHINAAMC BD ETF | 1,200 | $30,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 824 | $29,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 1,207 | $29,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 1,218 | $29,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,000 | $29,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 843 | $29,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 2,512 | $29,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 3,289 | $29,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,750 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 515 | $29,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 833 | $29,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 8,576 | $29,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 74 | $29,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 3,245 | $29,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 860 | $29,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 4,225 | $29,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 952 | $29,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 2,424 | $29,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,119 | $29,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 394 | $29,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 452 | $29,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 1,617 | $29,000 | thousands by filing date | |
| YODLEE INC | 98600P201 | COM | 2,000 | $29,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 3,019 | $28,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 402 | $28,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 2,484 | $28,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 1,100 | $28,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 1,960 | $28,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 1,582 | $28,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,472 | $28,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,071 | $28,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $28,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,628 | $28,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 2,000 | $28,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 4,971 | $28,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 850 | $28,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 518 | $28,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 2,000 | $28,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 1,800 | $28,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 3,047 | $28,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 3,200 | $28,000 | thousands by filing date | |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 1,882 | $28,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,000 | $27,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 307 | $27,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 894 | $27,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 900 | $27,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,525 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $27,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 2,046 | $27,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 2,487 | $27,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 1,500 | $27,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 1,538 | $27,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 1,454 | $27,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 1,906 | $27,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 25,000 | $27,000 | thousands by filing date | principal |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 2,915 | $27,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 2,238 | $27,000 | thousands by filing date | |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 1,402 | $27,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 3,488 | $27,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,391 | $27,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,500 | $27,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 450 | $27,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 6,628 | $27,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 1,150 | $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 |
| LAKES ENTERTAINMEN | 51206P208 | COM | 3,000 | $27,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 1,300 | $26,000 | thousands by filing date | put |
| NVE CORP COM NEW | 629445206 | Stock | 325 | $26,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 754 | $26,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 1,835 | $26,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,189 | $26,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 1,013 | $26,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 388 | $26,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 3,247 | $26,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 978 | $26,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 2,338 | $26,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,160 | $26,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 13,494 | $26,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 5,000 | $26,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 7,100 | $26,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 11,300 | $26,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 1,106 | $26,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 250 | $26,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,100 | $26,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 13,312 | $25,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 791 | $25,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 4,000 | $25,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 4,244 | $25,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 3,801 | $25,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,975 | $25,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 8,022 | $25,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,450 | $25,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 6,873 | $25,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 1,846 | $25,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 975 | $25,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,077 | $25,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,475 | $25,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 639 | $25,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 5,144 | $25,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 890 | $25,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 1,000 | $25,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 2,400 | $25,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 1,000 | $25,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 1,822 | $25,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 25,000 | $25,000 | thousands by filing date | principal |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 1,013 | $25,000 | thousands by filing date | |
| SQUARE 1 FINL INC | 85223W101 | CL A | 901 | $25,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 855 | $24,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 1,055 | $24,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 701 | $24,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 991 | $24,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 373 | $24,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 863 | $24,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 900 | $24,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 2,461 | $24,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 2,054 | $24,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 969 | $24,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 1,187 | $24,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 1,616 | $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 |
| SHORETEL INC | 825211105 | COM | 3,536 | $24,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 1,479 | $24,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 230 | $24,000 | thousands by filing date | |
| REMY INTL INC NEW | 75971M108 | COM | 1,114 | $24,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 2,640 | $24,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 19,857 | $24,000 | thousands by filing date | |
| SANCHEZ PRODTN PARTNE | 79971C102 | COMMON | 12,300 | $24,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 790 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 328 | $23,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 2,300 | $23,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,850 | $23,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 4,661 | $23,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 864 | $23,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,035 | $23,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 950 | $23,000 | thousands by filing date | principal |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 1,300 | $23,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 1,146 | $23,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 20,000 | $23,000 | thousands by filing date | principal |
| ISHARES TR | 46429B481 | MSCI AUSTRL ETF | 1,422 | $23,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 2,237 | $22,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 2,794 | $22,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 534 | $22,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 864 | $22,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 552 | $22,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,600 | $22,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 1,076 | $22,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 589 | $22,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 951 | $22,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 758 | $22,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 813 | $22,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 1,337 | $22,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 5,650 | $22,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 420 | $22,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 2,629 | $22,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 486 | $22,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 2,559 | $22,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 880 | $22,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 2,226 | $22,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 8,804 | $22,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 877 | $22,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 16,400 | $22,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 1,744 | $22,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 860 | $22,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 876 | $22,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 3,271 | $22,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 4,800 | $22,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 867 | $22,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 1,608 | $22,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2017 TERM CORPORATE ETF | 46434VAR1 | ETF | 880 | $22,000 | thousands by filing date | |
| ISHARES TR | 46434VAJ9 | Cmn | 872 | $22,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 1,651 | $21,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 1,654 | $21,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 1,172 | $21,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 494 | $21,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,233 | $21,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 600 | $21,000 | thousands by filing date | call |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 1,148 | $21,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,500 | $21,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 867 | $21,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,000 | $21,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 809 | $21,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 1,392 | $21,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 2,010 | $21,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 2,685 | $21,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 3,705 | $21,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 13,252 | $21,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 43,746 | $21,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,420 | $21,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 500 | $21,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 557 | $21,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 2,462 | $21,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 1,533 | $21,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 3,894 | $21,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 1,368 | $21,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 2,600 | $21,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 3,083 | $21,000 | thousands by filing date | |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 4,022 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y199 | DAILY 7-10 YR TR | 503 | $21,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 2,733 | $20,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 1,500 | $20,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 790 | $20,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 619 | $20,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $20,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 989 | $20,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 767 | $20,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 1,431 | $20,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 656 | $20,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 700 | $20,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 752 | $20,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 3,110 | $20,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 1,300 | $20,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 11,612 | $20,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 643 | $20,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 13,033 | $20,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 963 | $20,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 14,540 | $20,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 961 | $20,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 1,432 | $20,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,200 | $20,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 1,216 | $20,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 3,379 | $19,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 726 | $19,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 4,587 | $19,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,415 | $19,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,553 | $19,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 2,846 | $19,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 382 | $19,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 1,800 | $19,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,845 | $19,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 1,643 | $19,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 2,125 | $19,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 5,809 | $19,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 749 | $19,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,538 | $19,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 441 | $19,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 4,400 | $19,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 2,203 | $19,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,162 | $19,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 530 | $19,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 3,000 | $19,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 1,477 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 393 | $19,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,300 | $19,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 1,000 | $19,000 | thousands by filing date | |
| PRESS GANEY HOL | 74113L102 | Common Stock | 678 | $19,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 813 | $19,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,317 | $18,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 1,255 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 192 | $18,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 2,929 | $18,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 306 | $18,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,022 | $18,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 1,052 | $18,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 1,574 | $18,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 437 | $18,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 15,970 | $18,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 442 | $18,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,530 | $18,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 14,000 | $18,000 | thousands by filing date | principal |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 842 | $18,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 2,000 | $18,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 12,194 | $18,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,480 | $18,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 5,000 | $18,000 | thousands by filing date | principal |
| BLYTH INC | 09643P207 | COM NEW | 2,892 | $18,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 613 | $18,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,373 | $18,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 11,296 | $18,000 | thousands by filing date | |
| HERITAGE FINANCIAL GROUP INC | 42726X102 | COM | 590 | $18,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 1,400 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 555 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 1,102 | $18,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,213 | $18,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 701 | $18,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 935 | $18,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 409 | $18,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 9,184 | $18,000 | thousands by filing date | |
| ANCHOR BANCORP WIS INC DEL | 03283P106 | COM | 470 | $18,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,200 | $17,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 1,922 | $17,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 940 | $17,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 254 | $17,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 2,165 | $17,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 6,810 | $17,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 17,589 | $17,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,490 | $17,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 6,500 | $17,000 | thousands by filing date | put |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,812 | $17,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 10,000 | $17,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,700 | $17,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 1,531 | $17,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 1,440 | $17,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 1,710 | $17,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 9,851 | $17,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 3,449 | $17,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 1,679 | $17,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 1,056 | $17,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,453 | $17,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 654 | $17,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,555 | $17,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 608 | $17,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 649 | $17,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 963 | $17,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 829 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 590 | $17,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 2,878 | $17,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,623 | $17,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 10,000 | $17,000 | thousands by filing date | principal |
| OPOWER INC | 68375Y109 | COM | 1,441 | $17,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,000 | $16,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 2,575 | $16,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 20,465 | $16,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 708 | $16,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 1,225 | $16,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 646 | $16,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 792 | $16,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 625 | $16,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 164 | $16,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,926 | $16,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,100 | $16,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 270 | $16,000 | thousands by filing date | principal |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 819 | $16,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 2,356 | $16,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 2,152 | $16,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 942 | $16,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 394 | $16,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 15,000 | $16,000 | thousands by filing date | principal |
| SOLAZYME INC | 83415T101 | COM | 5,071 | $16,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 632 | $16,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 206 | $16,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 1,911 | $16,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,863 | $16,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 3,187 | $16,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,021 | $16,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $16,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 665 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 165 | $16,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 293 | $16,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 1,623 | $16,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 1,063 | $16,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 880 | $16,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,792 | $16,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 1,211 | $16,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 836 | $16,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R361 | Cmn | 339 | $16,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 9,773 | $16,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF T | 73935B888 | PWRSH CHI A PT | 385 | $16,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,021 | $15,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 1,216 | $15,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 791 | $15,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 543 | $15,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 1,598 | $15,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 1,667 | $15,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,000 | $15,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 574 | $15,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,222 | $15,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 683 | $15,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 753 | $15,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 76,260 | $15,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,750 | $15,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 700 | $15,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,600 | $15,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,571 | $15,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $15,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 2,344 | $15,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 589 | $15,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,607 | $15,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 15,000 | $15,000 | thousands by filing date | principal |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 467 | $15,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 71,905 | $15,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 791 | $15,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 6,191 | $15,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 2,560 | $15,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 1,274 | $15,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 1,706 | $15,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 823 | $15,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 900 | $15,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 15,000 | $15,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06739F101 | COM | 486 | $15,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 1,200 | $15,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 4,699 | $15,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,113 | $15,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 1,769 | $15,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 5,458 | $15,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 15,000 | $15,000 | thousands by filing date | principal |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 15,000 | $15,000 | thousands by filing date | principal |
| ENTELLUS MED INC | 29363K105 | COM | 588 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E150 | GF CHINA BD ET | 400 | $15,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,702 | $14,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 221 | $14,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 1,027 | $14,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,658 | $14,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 311 | $14,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 152 | $14,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 970 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 180 | $14,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 1,949 | $14,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 903 | $14,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 986 | $14,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 728 | $14,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 3,968 | $14,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 408 | $14,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 993 | $14,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 525 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $14,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 4,582 | $14,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 4,458 | $14,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 484 | $14,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 1,171 | $14,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 1,174 | $14,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,149 | $14,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 2,995 | $14,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 6,687 | $14,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 1,702 | $14,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 2,000 | $14,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 2,140 | $14,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 4,034 | $14,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,742 | $14,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 958 | $14,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 3,748 | $14,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 967 | $14,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 443 | $14,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $14,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 758 | $14,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,100 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,700 | $14,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 1,173 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 624 | $14,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 995 | $14,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 1,000 | $14,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 125 | $13,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,942 | $13,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 400 | $13,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $13,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 1,848 | $13,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 985 | $13,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 1,000 | $13,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 804 | $13,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 935 | $13,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 572 | $13,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 286 | $13,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 508 | $13,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,514 | $13,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 540 | $13,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,728 | $13,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 363 | $13,000 | thousands by filing date | |
| GRAFTECH INTERNATIONAL LTD | 384313102 | COMMON STOCK | 2,625 | $13,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 1,130 | $13,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 822 | $13,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 740 | $13,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 9,430 | $13,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,123 | $13,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 1,500 | $13,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 13,304 | $13,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 25,762 | $13,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 1,030 | $13,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 311 | $13,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 760 | $13,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 702 | $13,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 500 | $13,000 | thousands by filing date | principal |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 579 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 470 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 342 | $13,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 250 | $13,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 2,030 | $13,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 1,500 | $13,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 700 | $13,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 15,000 | $13,000 | thousands by filing date | principal |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 1,622 | $13,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 1,385 | $13,000 | thousands by filing date | |
| QESP | 78463X343 | ETP | 256 | $13,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 807 | $12,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 2,173 | $12,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 300 | $12,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 1,357 | $12,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 500 | $12,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 554 | $12,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 655 | $12,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 708 | $12,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 1,033 | $12,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 640 | $12,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,100 | $12,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 178 | $12,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $12,000 | thousands by filing date | principal |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $12,000 | thousands by filing date | principal |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,600 | $12,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 12,000 | $12,000 | thousands by filing date | principal |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 351 | $12,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 1,000 | $12,000 | thousands by filing date | principal |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 500 | $12,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 530 | $12,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,101 | $12,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 10,000 | $12,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $12,000 | thousands by filing date | principal |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 30,500 | $12,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 2,350 | $12,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 129 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-15-032251 | this filing | 2015-08-14 | acceptance time not in the bulk data set |