CAPSTONE TURBINE CORP - 14067D102
Detailed investor-level table based on 13F positions.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| GILDER GAGNON HOWE & CO LLC | History | Added to | 16,912,348 | 25,538 | 0.34% | 0.49% | 1 | +9,350 | 0.06% | Q2 2014 | Aug 04, 2014 |
| VANGUARD GROUP INC | History | Added to | 10,097,274 | 15,247 | 0.0% | 0.0% | 2 | +466,743 | 4.85% | Q2 2014 | Aug 11, 2014 |
| BlackRock Institutional Trust Company, N.A. | History | Added to | 9,356,004 | 14,128 | 0.0% | 0.0% | 3 | +182,607 | 1.99% | Q2 2014 | Aug 06, 2014 |
| BlackRock Fund Advisors | History | Added to | 8,549,246 | 12,909 | 0.0% | 0.01% | 4 | +45,008 | 0.53% | Q2 2014 | Aug 06, 2014 |
| MACKENZIE FINANCIAL CORP | History | Added to | 5,569,300 | 8,410 | 0.04% | 0.06% | 5 | +213,500 | 3.99% | Q2 2014 | Aug 11, 2014 |
| ROYCE & ASSOCIATES LLC | History | Reduced | 4,685,000 | 7,074 | 0.02% | 0.04% | 6 | -1,015,000 | -17.81% | Q2 2014 | Aug 11, 2014 |
| BTG Pactual Global Asset Management Ltd | History | New | 4,675,000 | 7,060 | 0.99% | — | 7 | +4,675,000 | New | Q2 2014 | Aug 11, 2014 |
| GREAT WEST LIFE ASSURANCE CO /CAN/ | History | Reduced | 1,751,500 | 2,637 | 0.01% | 0.01% | 8 | -900 | -0.05% | Q2 2014 | Aug 06, 2014 |
| Adirondack Research & Management Inc. | History | No change | 1,098,041 | 1,658 | 0.56% | 0.89% | 9 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| MILLER HOWARD INVESTMENTS INC /NY | History | Reduced | 1,063,557 | 1,606 | 0.03% | 0.04% | 10 | -20,779 | -1.92% | Q2 2014 | Jul 31, 2014 |
| BlackRock Investment Management, LLC | History | Added to | 952,689 | 1,439 | 0.0% | 0.0% | 11 | +108,566 | 12.86% | Q2 2014 | Aug 06, 2014 |
| Teton Advisors, Inc. | History | Reduced | 897,800 | 1,356 | 0.09% | 0.13% | 12 | -27,300 | -2.95% | Q2 2014 | Aug 06, 2014 |
| FIRST TRUST ADVISORS LP | History | Reduced | 769,772 | 1,162 | 0.0% | 0.01% | 13 | -201,357 | -20.73% | Q2 2014 | Aug 11, 2014 |
| ESSEX INVESTMENT MANAGEMENT CO LLC | History | Reduced | 743,592 | 1,123 | 0.17% | 0.45% | 14 | -693,433 | -48.25% | Q2 2014 | Jul 23, 2014 |
| BlackRock Group LTD | History | Added to | 690,211 | 1,042 | 0.0% | 0.0% | 15 | +309,949 | 81.51% | Q2 2014 | Aug 06, 2014 |
| SCHWAB CHARLES INVESTMENT MANAGEMENT INC | History | Reduced | 681,189 | 1,029 | 0.0% | 0.0% | 16 | -71,052 | -9.45% | Q2 2014 | Jul 30, 2014 |
| GAM Holding AG | History | No change | 603,016 | 911 | 0.01% | 0.02% | 17 | 0 | 0.0% | Q2 2014 | Aug 11, 2014 |
| DELTA LLOYD NV | History | No change | 600,000 | 906 | 0.03% | 0.04% | 18 | 0 | 0.0% | Q2 2014 | Aug 05, 2014 |
| FIRST MERCANTILE TRUST CO | History | Reduced | 414,598 | 626 | 0.05% | 0.07% | 19 | -45,849 | -9.96% | Q2 2014 | Jul 22, 2014 |
| BAIRD ROBERT W & CO INC /WI/ | History | Reduced | 398,227 | 601 | 0.01% | 0.03% | 20 | -484,414 | -54.88% | Q2 2014 | Aug 08, 2014 |
| Geduld E E | History | Reduced | 375,000 | 566 | 0.35% | 0.46% | 21 | -25,000 | -6.25% | Q2 2014 | Aug 04, 2014 |
| Swiss National Bank | History | Added to | 347,700 | 525 | 0.0% | 0.0% | 22 | +16,000 | 4.82% | Q2 2014 | Aug 06, 2014 |
| CREDIT SUISSE AG/ | History | Added to | 321,964 | 485 | 0.0% | 0.0% | 23 | +86,964 | 37.01% | Q2 2014 | Aug 11, 2014 |
| Seamans Capital Management, LLC | History | No change | 288,400 | 435 | 0.61% | 0.82% | 24 | 0 | 0.0% | Q2 2014 | Aug 11, 2014 |
| RHUMBLINE ADVISERS | History | Reduced | 256,645 | 388 | 0.0% | 0.0% | 25 | -4,630 | -1.77% | Q2 2014 | Aug 06, 2014 |
| Nationwide Fund Advisors | History | Added to | 251,811 | 380 | 0.0% | 0.0% | 26 | +16,450 | 6.99% | Q2 2014 | Aug 11, 2014 |
| MEEDER ASSET MANAGEMENT INC | History | Reduced | 239,969 | 362 | 0.05% | 0.09% | 27 | -5,248 | -2.14% | Q2 2014 | Jul 18, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Added to | 215,096 | 324 | 0.0% | 0.0% | 28 | +7,997 | 3.86% | Q2 2014 | Aug 08, 2014 |
| BLACKROCK ADVISORS LLC | History | Reduced | 195,652 | 295 | 0.0% | 12.74% | 29 | -15,787 | -7.47% | Q2 2014 | Aug 06, 2014 |
| METROPOLITAN LIFE INSURANCE CO/NY | History | Reduced | 167,247 | 253 | 0.0% | 0.0% | 30 | -85,126 | -33.73% | Q2 2014 | Jul 31, 2014 |
| ProShare Advisors LLC | History | Reduced | 160,242 | 242 | 0.0% | 0.01% | 31 | -148,128 | -48.04% | Q2 2014 | Aug 08, 2014 |
| GABELLI FUNDS LLC | History | No change | 142,000 | 214 | 0.0% | 0.0% | 32 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| JUPITER ASSET MANAGEMENT LTD | History | No change | 137,096 | 207 | 0.01% | 0.01% | 33 | 0 | 0.0% | Q2 2014 | Aug 11, 2014 |
| KITZINGER LAUTMANN CAPITAL MANAGEMENT INC | History | No change | 125,000 | 189 | 0.04% | 0.07% | 34 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| Ancora Advisors, LLC | History | No change | 100,000 | 151 | 0.02% | 0.03% | 35 | 0 | 0.0% | Q2 2014 | Jul 31, 2014 |
| PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO | History | No change | 73,300 | 111 | 0.0% | 0.0% | 36 | 0 | 0.0% | Q2 2014 | Jul 16, 2014 |
| DAVIDSON D A & CO | History | Added to | 73,000 | 110 | 0.0% | 0.01% | 37 | +5,000 | 7.35% | Q2 2014 | Jul 29, 2014 |
| Commonwealth Equity Services, Inc | History | Added to | 64,344 | 97 | 0.0% | 0.0% | 38 | +20,642 | 47.23% | Q2 2014 | Jul 23, 2014 |
| Aperio Group, LLC | History | Added to | 52,349 | 79 | 0.0% | 0.0% | 39 | +20,993 | 66.95% | Q2 2014 | Jul 23, 2014 |
| Parsec Financial Management, Inc. | History | No change | 40,000 | 60 | 0.01% | 0.01% | 40 | 0 | 0.0% | Q2 2014 | Jul 28, 2014 |
| STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM | History | No change | 36,853 | 56 | 0.0% | 0.0% | 41 | 0 | 0.0% | Q2 2014 | Aug 07, 2014 |
| WEDBUSH MORGAN SECURITIES INC | History | Added to | 34,300 | 52 | 0.01% | 0.01% | 42 | +4,950 | 16.87% | Q2 2014 | Aug 04, 2014 |
| AMALGAMATED BANK | History | Added to | 32,083 | 48 | 0.01% | 0.01% | 43 | +608 | 1.93% | Q2 2014 | Aug 11, 2014 |
| PROFUND ADVISORS LLC | History | Reduced | 31,080 | 47 | 0.0% | 0.0% | 44 | -3,120 | -9.12% | Q2 2014 | Aug 08, 2014 |
| Fisher Asset Management, LLC | History | Added to | 30,000 | 45 | 0.0% | 0.0% | 45 | +20,000 | 200.0% | Q2 2014 | Jul 25, 2014 |
| RidgeWorth Capital Management LLC | History | New | 28,059 | 42 | 0.0% | — | 46 | +28,059 | New | Q2 2014 | Jul 31, 2014 |
| WealthTrust-Arizona, LLC | History | No change | 28,000 | 42 | 0.04% | 0.07% | 47 | 0 | 0.0% | Q2 2014 | Jul 22, 2014 |
| CULLEN/FROST BANKERS, INC. | History | New | 25,000 | 38 | 0.0% | — | 48 | +25,000 | New | Q2 2014 | Aug 05, 2014 |
| Cambridge Investment Research Advisors, Inc. | History | Added to | 22,725 | 34 | 0.0% | 0.0% | 49 | +3,475 | 18.05% | Q2 2014 | Jul 25, 2014 |
| Tradeworx Inc. | History | Added to | 21,944 | 33 | 0.03% | 0.03% | 50 | +7,159 | 48.42% | Q2 2014 | Jul 10, 2014 |
| LPL Financial LLC | History | Added to | 22,100 | 33 | 0.0% | 0.0% | 51 | +7,000 | 46.36% | Q2 2014 | Aug 05, 2014 |
| Cutter & CO Brokerage, Inc. | History | No change | 18,500 | 28 | 0.01% | 0.02% | 52 | 0 | 0.0% | Q2 2014 | Jul 31, 2014 |
| World Asset Management Inc | History | Added to | 16,220 | 24 | 0.0% | 0.0% | 53 | +1,018 | 6.7% | Q2 2014 | Jul 28, 2014 |
| SII INVESTMENTS INC/WI | History | New | 11,783 | 19 | 0.0% | — | 55 | +11,783 | New | Q2 2014 | Jul 28, 2014 |
| CIBC Asset Management Inc | History | No change | 12,493 | 19 | 0.0% | 0.0% | 54 | 0 | 0.0% | Q2 2014 | Aug 01, 2014 |
| TEACHER RETIREMENT SYSTEM OF TEXAS | History | Reduced | 11,648 | 18 | 0.0% | 0.0% | 56 | -604 | -4.93% | Q2 2014 | Aug 05, 2014 |
| REGIONS FINANCIAL CORP | History | New | 10,000 | 15 | 0.0% | — | 57 | +10,000 | New | Q2 2014 | Jul 23, 2014 |
| BBVA COMPASS BANCSHARES, INC | History | No change | 10,000 | 15 | 0.0% | 0.0% | 58 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| Greenwich Wealth Management LLC | History | No change | 10,000 | 15 | 0.0% | 0.0% | 59 | 0 | 0.0% | Q2 2014 | Jul 29, 2014 |
| BlackRock Inc. | History | Added to | 8,977 | 14 | 0.0% | 0.0% | 60 | +737 | 8.94% | Q2 2014 | Aug 06, 2014 |
| NEW ENGLAND SECURITIES CORP /MA/ | History | New | 4,750 | 7 | 0.0% | — | 61 | +4,750 | New | Q2 2014 | Aug 04, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 4,079 | 6 | 0.0% | 0.0% | 62 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| MAGEE THOMSON INVESTMENT PARTNERS LLC | History | Reduced | 3,236 | 5 | 0.0% | 0.0% | 63 | -14 | -0.43% | Q2 2014 | Jul 29, 2014 |
| Madden Advisory Services, Inc. | History | No change | 1,000 | 2 | 0.0% | 0.0% | 64 | 0 | 0.0% | Q2 2014 | Aug 11, 2014 |
| ARROW FINANCIAL CORP | History | No change | 600 | 1 | 0.0% | 0.0% | 65 | 0 | 0.0% | Q2 2014 | Jul 30, 2014 |
| MetLife Securities, Inc | History | No change | 900 | 1 | 0.0% | 0.0% | 66 | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |
| PLATINUM INVESTMENT MANAGEMENT LTD | History | Closed out | 0 | 0 | — | 0.65% | — | -17,089,489 | -100.0% | Q1 2014 | May 16, 2014 |
| WELLINGTON MANAGEMENT CO LLP | History | Closed out | 0 | 0 | — | 0.0% | — | -7,465,550 | -100.0% | Q1 2014 | May 15, 2014 |
| STATE STREET CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -4,994,502 | -100.0% | Q1 2014 | May 15, 2014 |
| NORTHERN TRUST CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -3,988,174 | -100.0% | Q1 2014 | May 14, 2014 |
| LORD, ABBETT & CO. LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -3,805,436 | -100.0% | Q1 2014 | May 15, 2014 |
| GEODE CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -2,225,429 | -100.0% | Q1 2014 | May 14, 2014 |
| Bodri Capital Management, LLC | History | Closed out | 0 | 0 | — | 1.86% | — | -1,749,901 | -100.0% | Q1 2014 | May 13, 2014 |
| GOLDMAN SACHS GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,739,900 | -100.0% | Q1 2014 | May 15, 2014 |
| Bank of New York Mellon Corp | History | Closed out | 0 | 0 | — | 0.0% | — | -1,732,560 | -100.0% | Q1 2014 | May 14, 2014 |
| Cupps Capital Management, LLC | History | Closed out | 0 | 0 | — | 0.25% | — | -1,522,296 | -100.0% | Q1 2014 | May 12, 2014 |
| TIAA CREF INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,180,542 | -100.0% | Q1 2014 | May 13, 2014 |
| DRIEHAUS CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.08% | — | -1,132,750 | -100.0% | Q1 2014 | May 15, 2014 |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.0% | — | -928,019 | -100.0% | Q1 2014 | Apr 18, 2014 |
| RICE HALL JAMES & ASSOCIATES, LLC | History | Closed out | 0 | 0 | — | 0.14% | — | -907,036 | -100.0% | Q1 2014 | May 02, 2014 |
| MORGAN STANLEY | History | Closed out | 0 | 0 | — | 0.0% | — | -829,863 | -100.0% | Q1 2014 | May 13, 2014 |
| EAM Investors, LLC | History | Closed out | 0 | 0 | — | 0.29% | — | -754,550 | -100.0% | Q1 2014 | May 15, 2014 |
| MILLENNIUM MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -632,397 | -100.0% | Q1 2014 | May 15, 2014 |
| CITADEL ADVISORS LLC | History | Closed out | 0 | 0 | — | 1.9% | — | -619,589 | -100.0% | Q1 2014 | Aug 08, 2014 |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.0% | — | -553,518 | -100.0% | Q1 2014 | May 08, 2014 |
| PECONIC PARTNERS LLC | History | Closed out | 0 | 0 | — | 0.11% | — | -551,800 | -100.0% | Q1 2014 | May 15, 2014 |
| RUSSELL FRANK CO/ | History | Closed out | 0 | 0 | — | 0.0% | — | -509,195 | -100.0% | Q1 2014 | May 16, 2014 |
| TEACHERS ADVISORS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -496,976 | -100.0% | Q1 2014 | May 13, 2014 |
| Invesco Ltd. | History | Closed out | 0 | 0 | — | 0.0% | — | -416,945 | -100.0% | Q1 2014 | May 15, 2014 |
| KCG Holdings, Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -363,801 | -100.0% | Q1 2014 | May 15, 2014 |
| ING INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -320,713 | -100.0% | Q1 2014 | May 15, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | 0.0% | — | -280,116 | -100.0% | Q1 2014 | May 15, 2014 |
| UBS AG | History | Closed out | 0 | 0 | — | 0.0% | — | -250,041 | -100.0% | Q1 2014 | May 16, 2014 |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE | History | Closed out | 0 | 0 | — | 0.0% | — | -239,166 | -100.0% | Q1 2014 | May 15, 2014 |
| DEUTSCHE BANK AG\ | History | Closed out | 0 | 0 | — | 0.0% | — | -238,152 | -100.0% | Q1 2014 | May 15, 2014 |
| SIGNIA CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.17% | — | -223,088 | -100.0% | Q1 2014 | May 05, 2014 |
| AQR CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -222,893 | -100.0% | Q1 2014 | May 15, 2014 |
| TBP Investments Management, LLC | History | Closed out | 0 | 0 | — | 0.4% | — | -220,000 | -100.0% | Q1 2014 | May 15, 2014 |
| UBS GLOBAL ASSET MANAGEMENT AMERICAS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -216,625 | -100.0% | Q1 2014 | May 23, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -197,032 | -100.0% | Q1 2014 | May 13, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Closed out | 0 | 0 | — | 0.01% | — | -152,200 | -100.0% | Q1 2014 | May 15, 2014 |
| UBS OCONNOR LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -147,503 | -100.0% | Q1 2014 | May 14, 2014 |
| HighTower Advisors, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -145,500 | -100.0% | Q1 2014 | May 15, 2014 |
| WELLS FARGO & COMPANY/MN | History | Closed out | 0 | 0 | — | 0.0% | — | -127,272 | -100.0% | Q1 2014 | May 15, 2014 |
| SG Americas Securities, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -82,215 | -100.0% | Q1 2014 | May 14, 2014 |
| CITIGROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -57,843 | -100.0% | Q1 2014 | May 15, 2014 |
| KING LUTHER CAPITAL MANAGEMENT CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -57,460 | -100.0% | Q1 2014 | May 14, 2014 |
| LUMINUS MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -52,840 | -100.0% | Q1 2014 | May 15, 2014 |
| PRICE T ROWE ASSOCIATES INC /MD/ | History | Closed out | 0 | 0 | — | 0.0% | — | -51,640 | -100.0% | Q1 2014 | May 15, 2014 |
| Evercore Wealth Management, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -50,000 | -100.0% | Q1 2014 | May 15, 2014 |
| GUGGENHEIM CAPITAL LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -47,107 | -100.0% | Q1 2014 | May 16, 2014 |
| OPPENHEIMER & CO INC | History | Closed out | 0 | 0 | — | 0.0% | — | -38,501 | -100.0% | Q1 2014 | May 09, 2014 |
| ZWJ INVESTMENT COUNSEL INC | History | Closed out | 0 | 0 | — | 0.01% | — | -34,000 | -100.0% | Q1 2014 | May 13, 2014 |
| Benchmark Capital Advisors | History | Closed out | 0 | 0 | — | 0.04% | — | -30,000 | -100.0% | Q1 2014 | Apr 16, 2014 |
| COMERICA BANK | History | Closed out | 0 | 0 | — | 0.0% | — | -28,551 | -100.0% | Q1 2014 | May 15, 2014 |
| SUNTRUST BANKS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -27,308 | -100.0% | Q1 2014 | May 14, 2014 |
| Summit Investment Advisors, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -26,878 | -100.0% | Q1 2014 | May 13, 2014 |
| Tower Research Capital LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -25,485 | -100.0% | Q1 2014 | May 02, 2014 |
| Nuveen Asset Management, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -25,382 | -100.0% | Q1 2014 | May 14, 2014 |
| US BANCORP \DE\ | History | Closed out | 0 | 0 | — | 0.0% | — | -25,000 | -100.0% | Q1 2014 | May 14, 2014 |
| TWO SIGMA INVESTMENTS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -21,781 | -100.0% | Q1 2014 | May 15, 2014 |
| PRUDENTIAL FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.0% | — | -20,414 | -100.0% | Q1 2014 | May 14, 2014 |
| LOEB PARTNERS CORP | History | Closed out | 0 | 0 | — | 0.01% | — | -20,000 | -100.0% | Q1 2014 | May 13, 2014 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Closed out | 0 | 0 | — | 0.0% | — | -15,294 | -100.0% | Q1 2014 | May 14, 2014 |
| Creative Planning | History | Closed out | 0 | 0 | — | 0.0% | — | -15,100 | -100.0% | Q1 2014 | Apr 11, 2014 |
| BOKF, NA | History | Closed out | 0 | 0 | — | 0.0% | — | -15,000 | -100.0% | Q1 2014 | May 14, 2014 |
| BESSEMER GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -15,000 | -100.0% | Q1 2014 | May 14, 2014 |
| SPRINGBOK CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -13,940 | -100.0% | Q1 2014 | May 15, 2014 |
| BARCLAYS PLC | History | Closed out | 0 | 0 | — | 0.0% | — | -12,483 | -100.0% | Q1 2014 | May 15, 2014 |
| AMERIPRISE FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.0% | — | -10,830 | -100.0% | Q1 2014 | May 14, 2014 |
| STIFEL FINANCIAL CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -10,000 | -100.0% | Q1 2014 | May 15, 2014 |
| GRANDFIELD & DODD, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -10,000 | -100.0% | Q1 2014 | May 06, 2014 |
| SHAPIRO ROBERT N | History | Closed out | 0 | 0 | — | 0.0% | — | -9,020 | -100.0% | Q1 2014 | Jun 18, 2014 |
| BANK OF MONTREAL /CAN/ | History | Closed out | 0 | 0 | — | 0.0% | — | -6,000 | -100.0% | Q1 2014 | May 15, 2014 |
| MYCIO WEALTH PARTNERS, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -2,150 | -100.0% | Q1 2014 | May 13, 2014 |
| ROYAL BANK OF CANADA | History | Closed out | 0 | 0 | — | 0.0% | — | -2,000 | -100.0% | Q1 2014 | May 15, 2014 |