GUE Liquidation Companies, Inc. - 30281V108
Detailed investor-level table based on 13F positions.
Early Q1 2019 data: only 1 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DIMENSIONAL FUND ADVISORS LP | History | Added to | 1,330,443 | 42,295 | 0.03% | 0.03% | 1 | +9,090 | 0.69% | Q2 2014 | Aug 08, 2014 |
| VANGUARD GROUP INC | History | Added to | 1,184,071 | 37,642 | 0.0% | 0.0% | 2 | +36,951 | 3.22% | Q2 2014 | Aug 11, 2014 |
| BlackRock Fund Advisors | History | Reduced | 1,018,010 | 32,363 | 0.01% | 0.01% | 3 | -1,982 | -0.19% | Q2 2014 | Aug 06, 2014 |
| Boston Partners | History | Added to | 661,902 | 21,041 | 0.04% | 0.01% | 4 | +522,599 | 375.15% | Q2 2014 | Aug 08, 2014 |
| LSV ASSET MANAGEMENT | History | Reduced | 636,215 | 20,225 | 0.04% | 0.05% | 5 | -11,760 | -1.81% | Q2 2014 | Aug 06, 2014 |
| PEKIN SINGER STRAUSS ASSET MANAGEMENT /IL | History | Added to | 580,161 | 18,443 | 2.91% | 2.88% | 6 | +26,224 | 4.73% | Q2 2014 | Aug 08, 2014 |
| BlackRock Institutional Trust Company, N.A. | History | Reduced | 576,562 | 18,329 | 0.0% | 0.0% | 7 | -10,207 | -1.74% | Q2 2014 | Aug 06, 2014 |
| ROYCE & ASSOCIATES LLC | History | No change | 543,195 | 17,268 | 0.05% | 0.05% | 8 | 0 | 0.0% | Q2 2014 | Aug 11, 2014 |
| TOCQUEVILLE ASSET MANAGEMENT L.P. | History | Reduced | 97,875 | 3,111 | 0.03% | 0.04% | 9 | -1,050 | -1.06% | Q2 2014 | Jul 30, 2014 |
| BlackRock Investment Management, LLC | History | Reduced | 72,114 | 2,293 | 0.0% | 0.0% | 10 | -1,559 | -2.12% | Q2 2014 | Aug 06, 2014 |
| Ancora Advisors, LLC | History | Reduced | 69,212 | 2,200 | 0.29% | 0.34% | 11 | -7,040 | -9.23% | Q2 2014 | Jul 31, 2014 |
| SCHWAB CHARLES INVESTMENT MANAGEMENT INC | History | Reduced | 54,057 | 1,719 | 0.0% | 0.0% | 12 | -242 | -0.45% | Q2 2014 | Jul 30, 2014 |
| BABSON CAPITAL MANAGEMENT LLC | History | Added to | 52,300 | 1,663 | 0.05% | 0.05% | 13 | +2,300 | 4.6% | Q2 2014 | Aug 08, 2014 |
| SILVER CAPITAL MANAGEMENT LLC | History | New | 51,075 | 1,624 | 5.0% | — | 14 | +51,075 | New | Q2 2014 | Aug 01, 2014 |
| METROPOLITAN CAPITAL ADVISORS INC | History | Added to | 49,400 | 1,570 | 1.2% | 1.23% | 15 | +5,500 | 12.53% | Q2 2014 | Aug 08, 2014 |
| NEW YORK STATE COMMON RETIREMENT FUND | History | Added to | 43,564 | 1,385 | 0.0% | 0.0% | 16 | +2,500 | 6.09% | Q2 2014 | Aug 05, 2014 |
| NEW YORK STATE TEACHERS RETIREMENT SYSTEM | History | No change | 39,215 | 1,247 | 0.0% | 0.0% | 17 | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |
| RHUMBLINE ADVISERS | History | Reduced | 26,428 | 840 | 0.0% | 0.0% | 18 | -917 | -3.35% | Q2 2014 | Aug 06, 2014 |
| Swiss National Bank | History | Added to | 21,820 | 694 | 0.0% | 0.0% | 19 | +1,400 | 6.86% | Q2 2014 | Aug 06, 2014 |
| Nationwide Fund Advisors | History | Added to | 20,270 | 644 | 0.0% | 0.0% | 20 | +355 | 1.78% | Q2 2014 | Aug 11, 2014 |
| TEXAS PERMANENT SCHOOL FUND | History | Added to | 19,143 | 609 | 0.01% | 0.01% | 21 | +44 | 0.23% | Q2 2014 | Jul 21, 2014 |
| OMERS ADMINISTRATION Corp | History | Added to | 17,000 | 540 | 0.02% | 0.01% | 22 | +4,100 | 31.78% | Q2 2014 | Aug 11, 2014 |
| BlackRock Group LTD | History | Reduced | 16,708 | 532 | 0.0% | 0.0% | 23 | -22,321 | -57.19% | Q2 2014 | Aug 06, 2014 |
| FIRST TRUST ADVISORS LP | History | Reduced | 16,628 | 529 | 0.0% | 0.01% | 24 | -19,212 | -53.6% | Q2 2014 | Aug 11, 2014 |
| STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM | History | Added to | 15,108 | 480 | 0.0% | 0.0% | 25 | +2,847 | 23.22% | Q2 2014 | Aug 07, 2014 |
| NJ State Employees Deferred Compensation Plan | History | No change | 15,000 | 477 | 0.09% | 0.1% | 26 | 0 | 0.0% | Q2 2014 | Aug 11, 2014 |
| METROPOLITAN LIFE INSURANCE CO/NY | History | No change | 14,895 | 474 | 0.0% | 0.0% | 27 | 0 | 0.0% | Q2 2014 | Jul 31, 2014 |
| SMITHFIELD TRUST CO | History | Added to | 14,700 | 467 | 0.09% | 0.04% | 28 | +7,800 | 113.04% | Q2 2014 | Jul 16, 2014 |
| CREDIT SUISSE AG/ | History | Added to | 14,549 | 463 | 0.0% | 0.0% | 29 | +1,137 | 8.48% | Q2 2014 | Aug 11, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Reduced | 14,522 | 461 | 0.0% | 0.0% | 30 | -35 | -0.24% | Q2 2014 | Aug 08, 2014 |
| GATEWAY INVESTMENT ADVISERS LLC | History | No change | 13,513 | 430 | 0.0% | 0.0% | 31 | 0 | 0.0% | Q2 2014 | Jul 23, 2014 |
| Arizona State Retirement System | History | Added to | 13,300 | 422 | 0.01% | 0.01% | 32 | +400 | 3.1% | Q2 2014 | Aug 07, 2014 |
| BLACKROCK ADVISORS LLC | History | Reduced | 11,620 | 369 | 0.0% | 11.8% | 33 | -1,476 | -11.27% | Q2 2014 | Aug 06, 2014 |
| ProShare Advisors LLC | History | Reduced | 9,884 | 314 | 0.0% | 0.01% | 34 | -9,244 | -48.33% | Q2 2014 | Aug 08, 2014 |
| TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY | History | No change | 9,640 | 306 | 0.0% | 0.0% | 35 | 0 | 0.0% | Q2 2014 | Jul 18, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 9,462 | 300 | 0.0% | 0.0% | 36 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| Louisiana State Employees Retirement System | History | No change | 8,780 | 279 | 0.01% | 0.01% | 37 | 0 | 0.0% | Q2 2014 | Jul 30, 2014 |
| CAPSTONE ASSET MANAGEMENT CO | History | Added to | 8,436 | 268 | 0.01% | 0.01% | 38 | +1,476 | 21.21% | Q2 2014 | Jul 11, 2014 |
| PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO | History | No change | 8,380 | 266 | 0.0% | 0.0% | 39 | 0 | 0.0% | Q2 2014 | Jul 16, 2014 |
| NISA INVESTMENT ADVISORS L L C | History | Reduced | 7,720 | 245 | 0.0% | 0.0% | 40 | -800 | -9.39% | Q2 2014 | Jul 29, 2014 |
| GENERAL MOTORS INVESTMENT MANAGEMENT CORP | History | New | 7,425 | 236 | 0.02% | — | 41 | +7,425 | New | Q2 2014 | Aug 08, 2014 |
| Airain ltd | History | New | 7,178 | 228 | 0.02% | — | 42 | +7,178 | New | Q2 2014 | Aug 05, 2014 |
| Municipal Employees' Retirement System of Michigan | History | No change | 4,500 | 143 | 0.01% | 0.01% | 43 | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |
| MASON STREET ADVISORS, LLC | History | Added to | 2,380 | 76 | 0.0% | 0.0% | 44 | +69 | 2.99% | Q2 2014 | Aug 05, 2014 |
| RidgeWorth Capital Management LLC | History | New | 1,615 | 51 | 0.0% | — | 45 | +1,615 | New | Q2 2014 | Jul 31, 2014 |
| GREAT WEST LIFE ASSURANCE CO /CAN/ | History | No change | 1,269 | 40 | 0.0% | 0.0% | 46 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC | History | New | 1,200 | 38 | 0.0% | — | 47 | +1,200 | New | Q2 2014 | Aug 07, 2014 |
| Global X Management CO LLC | History | New | 706 | 22 | 0.0% | — | 48 | +706 | New | Q2 2014 | Jul 31, 2014 |
| TEACHER RETIREMENT SYSTEM OF TEXAS | History | No change | 631 | 20 | 0.0% | 0.0% | 49 | 0 | 0.0% | Q2 2014 | Aug 05, 2014 |
| BlackRock Inc. | History | No change | 636 | 20 | 0.0% | 0.0% | 50 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| Whitnell & Co. | History | No change | 429 | 14 | 0.01% | 0.01% | 51 | 0 | 0.0% | Q2 2014 | Aug 07, 2014 |
| DAVIDSON D A & CO | History | New | 275 | 8 | 0.0% | — | 52 | +275 | New | Q2 2014 | Jul 29, 2014 |
| MetLife Securities, Inc | History | No change | 200 | 6 | 0.0% | 0.0% | 53 | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |
| FTB Advisors, Inc. | History | Added to | 123 | 3 | 0.0% | — | 54 | +107 | 668.75% | Q2 2014 | Aug 07, 2014 |
| RS INVESTMENT MANAGEMENT CO LLC | History | Closed out | 0 | 0 | — | 0.43% | — | -2,286,161 | -100.0% | Q1 2014 | May 15, 2014 |
| Litespeed Management, L.L.C. | History | Closed out | 0 | 0 | — | 6.31% | — | -1,830,646 | -100.0% | Q1 2014 | May 15, 2014 |
| KEELEY ASSET MANAGEMENT CORP | History | Closed out | 0 | 0 | — | 0.71% | — | -1,290,303 | -100.0% | Q1 2014 | May 15, 2014 |
| NORTHERN TRUST CORP | History | Closed out | 0 | 0 | — | 0.01% | — | -613,125 | -100.0% | Q1 2014 | May 14, 2014 |
| STATE STREET CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -562,182 | -100.0% | Q1 2014 | May 15, 2014 |
| SkyTop Capital Management LLC | History | Closed out | 0 | 0 | — | 6.04% | — | -384,234 | -100.0% | Q1 2014 | May 15, 2014 |
| Hollow Brook Wealth Management LLC | History | Closed out | 0 | 0 | — | 3.24% | — | -312,000 | -100.0% | Q1 2014 | May 07, 2014 |
| PANAGORA ASSET MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.03% | — | -228,408 | -100.0% | Q1 2014 | May 15, 2014 |
| AQR CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -225,241 | -100.0% | Q1 2014 | May 15, 2014 |
| MORGAN STANLEY | History | Closed out | 0 | 0 | — | 0.0% | — | -219,187 | -100.0% | Q1 2014 | May 13, 2014 |
| CORSAIR CAPITAL MANAGEMENT, L.P. | History | Closed out | 0 | 0 | — | 49.88% | — | -209,645 | -100.0% | Q1 2014 | May 16, 2014 |
| Bank of New York Mellon Corp | History | Closed out | 0 | 0 | — | 0.0% | — | -172,442 | -100.0% | Q1 2014 | May 14, 2014 |
| PRUDENTIAL FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.01% | — | -162,922 | -100.0% | Q1 2014 | May 14, 2014 |
| PEAK6 Investments, L.P. | History | Closed out | 0 | 0 | — | 0.04% | — | -153,731 | -100.0% | Q1 2014 | May 19, 2014 |
| Connor, Clark & Lunn Investment Management Ltd. | History | Closed out | 0 | 0 | — | 0.04% | — | -152,748 | -100.0% | Q1 2014 | May 14, 2014 |
| PRICE MICHAEL F | History | Closed out | 0 | 0 | — | 0.58% | — | -150,000 | -100.0% | Q1 2014 | May 13, 2014 |
| SAC Capital Advisors LP | History | Closed out | 0 | 0 | — | 0.02% | — | -131,091 | -100.0% | Q1 2014 | May 15, 2014 |
| PRINCIPAL FINANCIAL GROUP INC | History | Closed out | 0 | 0 | — | 0.01% | — | -114,708 | -100.0% | Q1 2014 | May 13, 2014 |
| GEODE CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -110,280 | -100.0% | Q1 2014 | May 14, 2014 |
| GOLDMAN SACHS GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -104,664 | -100.0% | Q1 2014 | May 15, 2014 |
| TIAA CREF INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -87,104 | -100.0% | Q1 2014 | May 13, 2014 |
| Passport Capital, LLC | History | Closed out | 0 | 0 | — | 0.07% | — | -84,574 | -100.0% | Q1 2014 | May 15, 2014 |
| HighTower Advisors, LLC | History | Closed out | 0 | 0 | — | 0.05% | — | -78,018 | -100.0% | Q1 2014 | May 15, 2014 |
| AMERIPRISE FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.0% | — | -76,947 | -100.0% | Q1 2014 | May 14, 2014 |
| SG Americas Securities, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -66,845 | -100.0% | Q1 2014 | May 14, 2014 |
| Jefferies Group LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -65,000 | -100.0% | Q1 2014 | May 16, 2014 |
| UBS AG | History | Closed out | 0 | 0 | — | 0.0% | — | -63,703 | -100.0% | Q1 2014 | May 16, 2014 |
| EATON VANCE MANAGEMENT | History | Closed out | 0 | 0 | — | 0.01% | — | -57,679 | -100.0% | Q1 2014 | May 05, 2014 |
| BRIDGEWAY CAPITAL MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.05% | — | -52,540 | -100.0% | Q1 2014 | May 15, 2014 |
| PARAMETRIC PORTFOLIO ASSOCIATES LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -47,789 | -100.0% | Q1 2014 | May 13, 2014 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Closed out | 0 | 0 | — | 0.0% | — | -47,700 | -100.0% | Q1 2014 | May 14, 2014 |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.0% | — | -45,340 | -100.0% | Q1 2014 | Apr 18, 2014 |
| MILLENNIUM MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -43,834 | -100.0% | Q1 2014 | May 15, 2014 |
| RBF Capital, LLC | History | Closed out | 0 | 0 | — | 0.31% | — | -40,400 | -100.0% | Q1 2014 | May 13, 2014 |
| State of New Jersey Common Pension Fund A | History | Closed out | 0 | 0 | — | 0.01% | — | -40,000 | -100.0% | Q1 2014 | May 05, 2014 |
| PUBLIC SECTOR PENSION INVESTMENT BOARD | History | Closed out | 0 | 0 | — | 0.01% | — | -38,131 | -100.0% | Q1 2014 | May 15, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -36,227 | -100.0% | Q1 2014 | May 13, 2014 |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.0% | — | -33,675 | -100.0% | Q1 2014 | May 08, 2014 |
| DEUTSCHE BANK AG\ | History | Closed out | 0 | 0 | — | 0.0% | — | -33,623 | -100.0% | Q1 2014 | May 15, 2014 |
| BATTERYMARCH FINANCIAL MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.02% | — | -31,072 | -100.0% | Q1 2014 | May 15, 2014 |
| JPMORGAN CHASE & CO | History | Closed out | 0 | 0 | — | 0.0% | — | -28,181 | -100.0% | Q1 2014 | May 15, 2014 |
| PACIFIC GLOBAL INVESTMENT MANAGEMENT CO | History | Closed out | 0 | 0 | — | 0.14% | — | -27,569 | -100.0% | Q1 2014 | May 15, 2014 |
| HARBERT MANAGEMENT CORP | History | Closed out | 0 | 0 | — | 0.95% | — | -27,161 | -100.0% | Q1 2014 | May 15, 2014 |
| TEACHERS ADVISORS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -27,039 | -100.0% | Q1 2014 | May 13, 2014 |
| Absolute Return Capital, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -26,725 | -100.0% | Q1 2014 | May 15, 2014 |
| AMP Capital Investors Ltd | History | Closed out | 0 | 0 | — | 0.01% | — | -24,880 | -100.0% | Q1 2014 | May 14, 2014 |
| RENAISSANCE TECHNOLOGIES LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -23,300 | -100.0% | Q1 2014 | May 14, 2014 |
| ACADIAN ASSET MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -22,536 | -100.0% | Q1 2014 | Apr 22, 2014 |
| ANALYTIC INVESTORS, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -21,688 | -100.0% | Q1 2014 | May 12, 2014 |
| Invesco Ltd. | History | Closed out | 0 | 0 | — | 0.0% | — | -21,124 | -100.0% | Q1 2014 | May 15, 2014 |
| COMERICA BANK | History | Closed out | 0 | 0 | — | 0.0% | — | -18,986 | -100.0% | Q1 2014 | May 15, 2014 |
| LOS ANGELES CAPITAL MANAGEMENT & EQUITY RESEARCH INC | History | Closed out | 0 | 0 | — | 0.01% | — | -17,606 | -100.0% | Q1 2014 | May 12, 2014 |
| RUSSELL FRANK CO/ | History | Closed out | 0 | 0 | — | 0.0% | — | -17,132 | -100.0% | Q1 2014 | May 16, 2014 |
| FMR LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -16,704 | -100.0% | Q1 2014 | May 15, 2014 |
| CSS LLC/IL | History | Closed out | 0 | 0 | — | 0.03% | — | -16,697 | -100.0% | Q1 2014 | May 15, 2014 |
| MOORE CAPITAL MANAGEMENT, LP | History | Closed out | 0 | 0 | — | 0.01% | — | -15,384 | -100.0% | Q1 2014 | May 15, 2014 |
| Clear Harbor Asset Management, LLC | History | Closed out | 0 | 0 | — | 0.11% | — | -15,000 | -100.0% | Q1 2014 | May 15, 2014 |
| Gotham Asset Management, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -14,383 | -100.0% | Q1 2014 | May 15, 2014 |
| MANAGED ACCOUNT ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -14,191 | -100.0% | Q1 2014 | May 15, 2014 |
| ING INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -13,846 | -100.0% | Q1 2014 | May 15, 2014 |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE | History | Closed out | 0 | 0 | — | 0.0% | — | -13,668 | -100.0% | Q1 2014 | May 15, 2014 |
| PRICE T ROWE ASSOCIATES INC /MD/ | History | Closed out | 0 | 0 | — | 0.0% | — | -10,425 | -100.0% | Q1 2014 | May 15, 2014 |
| ROYAL BANK OF CANADA | History | Closed out | 0 | 0 | — | 0.0% | — | -7,615 | -100.0% | Q1 2014 | May 15, 2014 |
| UBS GLOBAL ASSET MANAGEMENT AMERICAS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -7,419 | -100.0% | Q1 2014 | May 23, 2014 |
| VTL Associates, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -7,223 | -100.0% | Q1 2014 | May 15, 2014 |
| THRIVENT FINANCIAL FOR LUTHERANS | History | Closed out | 0 | 0 | — | 0.0% | — | -6,890 | -100.0% | Q1 2014 | May 14, 2014 |
| BARCLAYS PLC | History | Closed out | 0 | 0 | — | 0.0% | — | -6,707 | -100.0% | Q1 2014 | May 15, 2014 |
| PineBridge Investments Ltd | History | Closed out | 0 | 0 | — | 0.0% | — | -4,766 | -100.0% | Q1 2014 | May 14, 2014 |
| CITADEL ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.21% | — | -4,531 | -100.0% | Q1 2014 | Aug 08, 2014 |
| GROUP ONE TRADING, L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -1,818 | -100.0% | Q1 2014 | May 07, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,482 | -100.0% | Q1 2014 | May 15, 2014 |
| WELLS FARGO & COMPANY/MN | History | Closed out | 0 | 0 | — | 0.0% | — | -1,277 | -100.0% | Q1 2014 | May 15, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | 0.0% | — | -1,213 | -100.0% | Q1 2014 | May 15, 2014 |
| CITIGROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,175 | -100.0% | Q1 2014 | May 15, 2014 |
| North Star Investment Management Corp. | History | Closed out | 0 | 0 | — | 0.0% | — | -541 | -100.0% | Q1 2014 | Apr 29, 2014 |
| BANK OF MONTREAL /CAN/ | History | Closed out | 0 | 0 | — | 0.0% | — | -502 | -100.0% | Q1 2014 | May 15, 2014 |
| WFG Advisors, LP | History | Closed out | 0 | 0 | — | 0.0% | — | -500 | -100.0% | Q1 2014 | Apr 24, 2014 |
| Archford Capital Strategies, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -246 | -100.0% | Q1 2014 | May 15, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | Closed out | 0 | 0 | — | 0.0% | — | -232 | -100.0% | Q1 2014 | May 13, 2014 |
| Creative Planning | History | Closed out | 0 | 0 | — | 0.0% | — | -204 | -100.0% | Q1 2014 | Apr 11, 2014 |
| ENVESTNET ASSET MANAGEMENT INC | History | Closed out | 0 | 0 | — | — | — | -9 | -100.0% | Q1 2014 | May 12, 2014 |
| Tower Research Capital LLC | History | Closed out | 0 | 0 | — | — | — | -1 | -100.0% | Q1 2014 | May 02, 2014 |
| BENJAMIN F. EDWARDS & COMPANY, INC. | History | No change | 6 | 0 | — | — | — | 0 | 0.0% | Q2 2014 | Jul 21, 2014 |