SANTARUS INC - 802817304
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Marshall Wace North America, L.P. | History | No change | 138,923 | 4,440 | 0.09% | 0.09% | 1 | 0 | 0.0% | Q4 2013 | Feb 14, 2014 |
| FMR LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -5,120,400 | -100.0% | Q1 2014 | May 15, 2014 |
| PAULSON & CO INC | History | Closed out | 0 | 0 | — | 0.79% | — | -5,000,000 | -100.0% | Q1 2014 | May 15, 2014 |
| WATER ISLAND CAPITAL LLC | History | Closed out | 0 | 0 | — | 8.78% | — | -4,946,241 | -100.0% | Q1 2014 | May 14, 2014 |
| AQR CAPITAL MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.32% | — | -3,337,584 | -100.0% | Q1 2014 | May 15, 2014 |
| BlackRock Fund Advisors | History | Closed out | 0 | 0 | — | 0.03% | — | -3,151,822 | -100.0% | Q1 2014 | May 02, 2014 |
| VANGUARD GROUP INC | History | Closed out | 0 | 0 | — | 0.01% | — | -3,113,957 | -100.0% | Q1 2014 | May 13, 2014 |
| RENAISSANCE TECHNOLOGIES LLC | History | Closed out | 0 | 0 | — | 0.16% | — | -2,136,038 | -100.0% | Q1 2014 | May 14, 2014 |
| STATE STREET CORP | History | Closed out | 0 | 0 | — | 0.01% | — | -1,770,009 | -100.0% | Q1 2014 | May 15, 2014 |
| BlackRock Institutional Trust Company, N.A. | History | Closed out | 0 | 0 | — | 0.01% | — | -1,665,036 | -100.0% | Q1 2014 | May 02, 2014 |
| GABELLI FUNDS LLC | History | Closed out | 0 | 0 | — | 0.26% | — | -1,528,496 | -100.0% | Q1 2014 | May 16, 2014 |
| GRANAHAN INVESTMENT MANAGEMENT INC/MA | History | Closed out | 0 | 0 | — | 1.21% | — | -1,468,949 | -100.0% | Q1 2014 | Apr 15, 2014 |
| SCHRODER INVESTMENT MANAGEMENT GROUP | History | Closed out | 0 | 0 | — | 0.06% | — | -1,431,000 | -100.0% | Q1 2014 | May 15, 2014 |
| DIMENSIONAL FUND ADVISORS LP | History | Closed out | 0 | 0 | — | 0.03% | — | -1,281,061 | -100.0% | Q1 2014 | May 14, 2014 |
| OPPENHEIMER FUNDS INC | History | Closed out | 0 | 0 | — | 0.03% | — | -821,115 | -100.0% | Q1 2014 | Apr 30, 2014 |
| LONGFELLOW INVESTMENT MANAGEMENT CO LLC | History | Closed out | 0 | 0 | — | 3.68% | — | -699,839 | -100.0% | Q1 2014 | May 15, 2014 |
| JPMORGAN CHASE & CO | History | Closed out | 0 | 0 | — | 0.01% | — | -699,350 | -100.0% | Q1 2014 | May 15, 2014 |
| CREDIT SUISSE AG/ | History | Closed out | 0 | 0 | — | 0.02% | — | -668,227 | -100.0% | Q1 2014 | May 15, 2014 |
| NORTHERN TRUST CORP | History | Closed out | 0 | 0 | — | 0.01% | — | -655,538 | -100.0% | Q1 2014 | May 14, 2014 |
| NEUMEIER POMA INVESTMENT COUNSEL LLC | History | Closed out | 0 | 0 | — | 4.74% | — | -650,800 | -100.0% | Q1 2014 | May 14, 2014 |
| Bank of New York Mellon Corp | History | Closed out | 0 | 0 | — | 0.01% | — | -605,318 | -100.0% | Q1 2014 | May 14, 2014 |
| AMERIPRISE FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.01% | — | -513,888 | -100.0% | Q1 2014 | May 14, 2014 |
| GARDNER LEWIS ASSET MANAGEMENT L P | History | Closed out | 0 | 0 | — | 4.68% | — | -434,767 | -100.0% | Q1 2014 | May 14, 2014 |
| TFS CAPITAL LLC | History | Closed out | 0 | 0 | — | 0.64% | — | -426,690 | -100.0% | Q1 2014 | May 05, 2014 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Closed out | 0 | 0 | — | 0.01% | — | -410,224 | -100.0% | Q1 2014 | May 14, 2014 |
| GABELLI SECURITIES, INC. | History | Closed out | 0 | 0 | — | 4.63% | — | -401,395 | -100.0% | Q1 2014 | May 16, 2014 |
| GLAZER CAPITAL, LLC | History | Closed out | 0 | 0 | — | 5.45% | — | -399,045 | -100.0% | Q1 2014 | May 15, 2014 |
| PANAGORA ASSET MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.06% | — | -393,095 | -100.0% | Q1 2014 | May 15, 2014 |
| GAMCO INVESTORS, INC. ET AL | History | Closed out | 0 | 0 | — | 0.07% | — | -392,700 | -100.0% | Q1 2014 | May 16, 2014 |
| COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS | History | Closed out | 0 | 0 | — | 0.2% | — | -390,628 | -100.0% | Q1 2014 | May 08, 2014 |
| CREDIT AGRICOLE S A | History | Closed out | 0 | 0 | — | 0.05% | — | -381,687 | -100.0% | Q1 2014 | May 12, 2014 |
| DEUTSCHE BANK AG\ | History | Closed out | 0 | 0 | — | 0.01% | — | -368,331 | -100.0% | Q1 2014 | May 15, 2014 |
| D. E. Shaw & Co., Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -326,800 | -100.0% | Q1 2014 | May 15, 2014 |
| GEODE CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -322,085 | -100.0% | Q1 2014 | May 14, 2014 |
| BARCLAYS PLC | History | Closed out | 0 | 0 | — | 0.01% | — | -305,330 | -100.0% | Q1 2014 | May 15, 2014 |
| ASHFORD CAPITAL MANAGEMENT INC | History | Closed out | 0 | 0 | — | 1.62% | — | -265,600 | -100.0% | Q1 2014 | May 16, 2014 |
| ALPINE ASSOCIATES ADVISORS | History | Closed out | 0 | 0 | — | 0.43% | — | -263,200 | -100.0% | Q1 2014 | May 09, 2014 |
| FIRST NEW YORK SECURITIES LLC /NY | History | Closed out | 0 | 0 | — | 4.66% | — | -240,000 | -100.0% | Q1 2014 | May 15, 2014 |
| OMERS ADMINISTRATION Corp | History | Closed out | 0 | 0 | — | 0.26% | — | -224,300 | -100.0% | Q1 2014 | May 08, 2014 |
| PRUDENTIAL FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.01% | — | -211,222 | -100.0% | Q1 2014 | May 14, 2014 |
| STEVENS CAPITAL MANAGEMENT LP | History | Closed out | 0 | 0 | — | 0.19% | — | -205,448 | -100.0% | Q1 2014 | May 06, 2014 |
| BATTERYMARCH FINANCIAL MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.14% | — | -201,774 | -100.0% | Q1 2014 | May 15, 2014 |
| BlackRock Investment Management, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -185,756 | -100.0% | Q1 2014 | May 02, 2014 |
| UBS AG | History | Closed out | 0 | 0 | — | 0.01% | — | -170,802 | -100.0% | Q1 2014 | May 16, 2014 |
| Invesco Ltd. | History | Closed out | 0 | 0 | — | 0.0% | — | -150,956 | -100.0% | Q1 2014 | May 15, 2014 |
| SCHWAB CHARLES INVESTMENT MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.01% | — | -149,182 | -100.0% | Q1 2014 | Apr 29, 2014 |
| Polar Securities Inc. | History | Closed out | 0 | 0 | — | 0.18% | — | -135,000 | -100.0% | Q1 2014 | May 14, 2014 |
| KCG Holdings, Inc. | History | Closed out | 0 | 0 | — | 0.05% | — | -130,575 | -100.0% | Q1 2014 | May 15, 2014 |
| SHELL ASSET MANAGEMENT CO | History | Closed out | 0 | 0 | — | 0.07% | — | -129,130 | -100.0% | Q1 2014 | May 07, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -119,815 | -100.0% | Q1 2014 | May 13, 2014 |
| BLACKROCK ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -119,597 | -100.0% | Q1 2014 | May 02, 2014 |
| TEALWOOD ASSET MANAGEMENT INC | History | Closed out | 0 | 0 | — | 1.48% | — | -115,280 | -100.0% | Q1 2014 | May 06, 2014 |
| MORGENS WATERFALL VINTIADIS & CO INC | History | Closed out | 0 | 0 | — | 2.52% | — | -115,200 | -100.0% | Q1 2014 | May 08, 2014 |
| HAVENS ADVISORS LLC | History | Closed out | 0 | 0 | — | 2.87% | — | -113,000 | -100.0% | Q1 2014 | May 08, 2014 |
| OPPENHEIMER & CO INC | History | Closed out | 0 | 0 | — | 0.11% | — | -105,591 | -100.0% | Q1 2014 | May 09, 2014 |
| NEW YORK STATE COMMON RETIREMENT FUND | History | Closed out | 0 | 0 | — | 0.01% | — | -104,800 | -100.0% | Q1 2014 | May 05, 2014 |
| GOLDMAN SACHS GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -104,710 | -100.0% | Q1 2014 | May 15, 2014 |
| Apex Capital Management | History | Closed out | 0 | 0 | — | 0.12% | — | -103,491 | -100.0% | Q1 2014 | Apr 29, 2014 |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.01% | — | -100,351 | -100.0% | Q1 2014 | May 08, 2014 |
| Cheyne Capital Management (UK) LLP | History | Closed out | 0 | 0 | — | 3.45% | — | -100,000 | -100.0% | Q1 2014 | May 14, 2014 |
| BlackRock Group LTD | History | Closed out | 0 | 0 | — | 0.0% | — | -85,973 | -100.0% | Q1 2014 | May 02, 2014 |
| RHUMBLINE ADVISERS | History | Closed out | 0 | 0 | — | 0.01% | — | -80,102 | -100.0% | Q1 2014 | May 06, 2014 |
| Ancora Advisors, LLC | History | Closed out | 0 | 0 | — | 0.38% | — | -78,800 | -100.0% | Q1 2014 | May 13, 2014 |
| FNY Managed Accounts LLC | History | Closed out | 0 | 0 | — | 3.65% | — | -75,000 | -100.0% | Q1 2014 | May 15, 2014 |
| MORGAN STANLEY | History | Closed out | 0 | 0 | — | 0.0% | — | -73,950 | -100.0% | Q1 2014 | May 13, 2014 |
| HARVEST MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 3.3% | — | -69,800 | -100.0% | Q1 2014 | May 12, 2014 |
| NEW YORK STATE TEACHERS RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.01% | — | -69,075 | -100.0% | Q1 2014 | May 21, 2014 |
| TEXAS PERMANENT SCHOOL FUND | History | Closed out | 0 | 0 | — | 0.02% | — | -63,807 | -100.0% | Q1 2014 | Apr 22, 2014 |
| STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.01% | — | -63,494 | -100.0% | Q1 2014 | Apr 24, 2014 |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.0% | — | -62,800 | -100.0% | Q1 2014 | Apr 18, 2014 |
| COMERICA BANK | History | Closed out | 0 | 0 | — | 0.02% | — | -62,665 | -100.0% | Q1 2014 | May 15, 2014 |
| WELLS FARGO & COMPANY/MN | History | Closed out | 0 | 0 | — | 0.0% | — | -61,546 | -100.0% | Q1 2014 | May 15, 2014 |
| Swiss National Bank | History | Closed out | 0 | 0 | — | 0.01% | — | -56,900 | -100.0% | Q1 2014 | May 06, 2014 |
| AMERICAN CENTURY COMPANIES INC | History | Closed out | 0 | 0 | — | 0.0% | — | -51,939 | -100.0% | Q1 2014 | May 05, 2014 |
| Jefferies Group LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -50,340 | -100.0% | Q1 2014 | May 16, 2014 |
| CURIAN CAPITAL LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -45,411 | -100.0% | Q1 2014 | May 12, 2014 |
| PERCEPTIVE ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.17% | — | -45,400 | -100.0% | Q1 2014 | May 15, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -43,925 | -100.0% | Q1 2014 | May 09, 2014 |
| CSS LLC/IL | History | Closed out | 0 | 0 | — | 0.07% | — | -43,796 | -100.0% | Q1 2014 | May 15, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Closed out | 0 | 0 | — | 0.01% | — | -43,237 | -100.0% | Q1 2014 | May 12, 2014 |
| Nationwide Fund Advisors | History | Closed out | 0 | 0 | — | 0.01% | — | -42,885 | -100.0% | Q1 2014 | May 09, 2014 |
| BlackRock Japan Co. Ltd | History | Closed out | 0 | 0 | — | 0.01% | — | -42,397 | -100.0% | Q1 2014 | May 02, 2014 |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE | History | Closed out | 0 | 0 | — | 0.0% | — | -42,283 | -100.0% | Q1 2014 | May 15, 2014 |
| SUNRISE PARTNERS LIMITED PARTNERSHIP /CT | History | Closed out | 0 | 0 | — | 0.07% | — | -41,140 | -100.0% | Q1 2014 | May 15, 2014 |
| Stone Toro Investment Advisers, LP | History | Closed out | 0 | 0 | — | 1.14% | — | -40,000 | -100.0% | Q1 2014 | Apr 25, 2014 |
| PARAMETRIC PORTFOLIO ASSOCIATES LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -38,662 | -100.0% | Q1 2014 | May 13, 2014 |
| DekaBank Deutsche Girozentrale | History | Closed out | 0 | 0 | — | 0.02% | — | -37,800 | -100.0% | Q1 2014 | May 15, 2014 |
| Tower Research Capital LLC | History | Closed out | 0 | 0 | — | 0.2% | — | -37,598 | -100.0% | Q1 2014 | May 02, 2014 |
| CAPSTONE ASSET MANAGEMENT CO | History | Closed out | 0 | 0 | — | 0.03% | — | -37,594 | -100.0% | Q1 2014 | Apr 22, 2014 |
| GUGGENHEIM CAPITAL LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -36,472 | -100.0% | Q1 2014 | May 16, 2014 |
| CAPITAL FUND MANAGEMENT S.A. | History | Closed out | 0 | 0 | — | 0.01% | — | -36,390 | -100.0% | Q1 2014 | May 14, 2014 |
| PUTNAM INVESTMENTS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -36,009 | -100.0% | Q1 2014 | May 15, 2014 |
| PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO | History | Closed out | 0 | 0 | — | 0.01% | — | -30,000 | -100.0% | Q1 2014 | May 15, 2014 |
| DEERE & CO | History | Closed out | 0 | 0 | — | 0.05% | — | -28,845 | -100.0% | Q1 2014 | May 08, 2014 |
| CORTLAND ASSOCIATES INC/MO | History | Closed out | 0 | 0 | — | 0.17% | — | -26,200 | -100.0% | Q1 2014 | Apr 11, 2014 |
| Hillsdale Investment Management Inc. | History | Closed out | 0 | 0 | — | 0.24% | — | -25,700 | -100.0% | Q1 2014 | May 14, 2014 |
| Gotham Asset Management, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -25,257 | -100.0% | Q1 2014 | May 15, 2014 |
| Summit Investment Advisors, Inc. | History | Closed out | 0 | 0 | — | 0.06% | — | -24,500 | -100.0% | Q1 2014 | May 13, 2014 |
| TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY | History | Closed out | 0 | 0 | — | 0.01% | — | -23,500 | -100.0% | Q1 2014 | Apr 15, 2014 |
| UBS GLOBAL ASSET MANAGEMENT AMERICAS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -23,198 | -100.0% | Q1 2014 | May 23, 2014 |
| THRIVENT FINANCIAL FOR LUTHERANS | History | Closed out | 0 | 0 | — | 0.0% | — | -22,300 | -100.0% | Q1 2014 | May 14, 2014 |
| AlphaMark Advisors, LLC | History | Closed out | 0 | 0 | — | 0.43% | — | -21,375 | -100.0% | Q1 2014 | Apr 29, 2014 |
| PROFUND ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -20,360 | -100.0% | Q1 2014 | May 07, 2014 |
| COWEN GROUP, INC. | History | Closed out | 0 | 0 | — | 0.11% | — | -20,000 | -100.0% | Q1 2014 | May 16, 2014 |
| PRICE T ROWE ASSOCIATES INC /MD/ | History | Closed out | 0 | 0 | — | 0.0% | — | -19,800 | -100.0% | Q1 2014 | May 15, 2014 |
| VIRGINIA RETIREMENT SYSTEMS ET AL | History | Closed out | 0 | 0 | — | 0.01% | — | -17,851 | -100.0% | Q1 2014 | May 14, 2014 |
| TWO SIGMA INVESTMENTS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -17,775 | -100.0% | Q1 2014 | May 15, 2014 |
| CITIGROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -17,534 | -100.0% | Q1 2014 | May 15, 2014 |
| PRINCIPAL FINANCIAL GROUP INC | History | Closed out | 0 | 0 | — | 0.0% | — | -17,315 | -100.0% | Q1 2014 | May 13, 2014 |
| IndexIQ Advisors LLC | History | Closed out | 0 | 0 | — | 0.06% | — | -16,930 | -100.0% | Q1 2014 | May 05, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | 0.0% | — | -15,703 | -100.0% | Q1 2014 | May 15, 2014 |
| NOMURA HOLDINGS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -12,543 | -100.0% | Q1 2014 | May 14, 2014 |
| Wilmington Funds Management Corp | History | Closed out | 0 | 0 | — | 0.04% | — | -11,680 | -100.0% | Q1 2014 | May 14, 2014 |
| SUNTRUST BANKS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -11,219 | -100.0% | Q1 2014 | May 14, 2014 |
| Verition Fund Management LLC | History | Closed out | 0 | 0 | — | 0.06% | — | -10,133 | -100.0% | Q1 2014 | May 14, 2014 |
| FIRST MANHATTAN CO | History | Closed out | 0 | 0 | — | 0.0% | — | -9,000 | -100.0% | Q1 2014 | May 16, 2014 |
| TOURADJI CAPITAL MANAGEMENT, LP | History | Closed out | 0 | 0 | — | 1.09% | — | -8,974 | -100.0% | Q1 2014 | May 05, 2014 |
| BAIRD ROBERT W & CO INC /WI/ | History | Closed out | 0 | 0 | — | 0.0% | — | -8,692 | -100.0% | Q1 2014 | May 09, 2014 |
| WOLVERINE ASSET MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -8,000 | -100.0% | Q1 2014 | May 14, 2014 |
| NAVELLIER & ASSOCIATES INC | History | Closed out | 0 | 0 | — | 0.01% | — | -7,654 | -100.0% | Q1 2014 | May 08, 2014 |
| Schonfeld Group Holdings LLC | History | Closed out | 0 | 0 | — | 0.09% | — | -7,500 | -100.0% | Q1 2014 | May 15, 2014 |
| CITADEL ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -7,070 | -100.0% | Q1 2014 | May 15, 2014 |
| MANAGED ACCOUNT ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -4,580 | -100.0% | Q1 2014 | May 15, 2014 |
| SG Americas Securities, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -3,902 | -100.0% | Q1 2014 | May 14, 2014 |
| US BANCORP \DE\ | History | Closed out | 0 | 0 | — | 0.0% | — | -3,580 | -100.0% | Q1 2014 | May 14, 2014 |
| STRS OHIO | History | Closed out | 0 | 0 | — | 0.0% | — | -3,100 | -100.0% | Q1 2014 | Apr 28, 2014 |
| GREAT WEST LIFE ASSURANCE CO /CAN/ | History | Closed out | 0 | 0 | — | 0.0% | — | -2,700 | -100.0% | Q1 2014 | May 01, 2014 |
| PARADIGM ASSET MANAGEMENT CO LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -2,600 | -100.0% | Q1 2014 | May 14, 2014 |
| TEACHER RETIREMENT SYSTEM OF TEXAS | History | Closed out | 0 | 0 | — | 0.0% | — | -2,353 | -100.0% | Q1 2014 | May 01, 2014 |
| BlackRock Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -1,820 | -100.0% | Q1 2014 | May 02, 2014 |
| Creative Planning | History | Closed out | 0 | 0 | — | 0.0% | — | -1,750 | -100.0% | Q1 2014 | Apr 11, 2014 |
| BANK OF MONTREAL /CAN/ | History | Closed out | 0 | 0 | — | 0.0% | — | -1,505 | -100.0% | Q1 2014 | May 15, 2014 |
| SPRINGBOK CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -1,100 | -100.0% | Q1 2014 | May 15, 2014 |
| ETRADE Capital Management LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -905 | -100.0% | Q1 2014 | May 15, 2014 |
| M&T BANK CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -900 | -100.0% | Q1 2014 | May 14, 2014 |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | History | Closed out | 0 | 0 | — | 0.0% | — | -648 | -100.0% | Q1 2014 | May 15, 2014 |
| DAVIDSON D A & CO | History | Closed out | 0 | 0 | — | 0.0% | — | -625 | -100.0% | Q1 2014 | May 05, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Closed out | 0 | 0 | — | 0.0% | — | -214 | -100.0% | Q1 2014 | May 15, 2014 |
| Camarda Financial Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -119 | -100.0% | Q1 2014 | May 15, 2014 |
| MYCIO WEALTH PARTNERS, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -100 | -100.0% | Q1 2014 | May 13, 2014 |