Walter Energy Inc - 93317Q105
Detailed investor-level table based on 13F positions.
Early Q4 2025 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| VANGUARD GROUP INC | History | Added to | 3,820,227 | 20,820 | 0.0% | 0.0% | 1 | +229,170 | 6.38% | Q2 2014 | Aug 11, 2014 |
| BlackRock Institutional Trust Company, N.A. | History | Added to | 1,870,925 | 10,197 | 0.0% | 0.0% | 2 | +73,613 | 4.1% | Q2 2014 | Aug 06, 2014 |
| BlackRock Fund Advisors | History | Added to | 1,622,692 | 8,844 | 0.0% | 0.0% | 3 | +15,369 | 0.96% | Q2 2014 | Aug 06, 2014 |
| CREDIT SUISSE AG/ | History | Added to | 1,052,514 | 5,737 | 0.0% | 0.0% | 4 | +469,962 | 80.67% | Q2 2014 | Aug 11, 2014 |
| ROYCE & ASSOCIATES LLC | History | Reduced | 789,800 | 4,304 | 0.01% | 0.02% | 5 | -67,000 | -7.82% | Q2 2014 | Aug 11, 2014 |
| SCHWAB CHARLES INVESTMENT MANAGEMENT INC | History | Added to | 394,959 | 2,153 | 0.0% | 0.0% | 6 | +101,484 | 34.58% | Q2 2014 | Jul 30, 2014 |
| DIMENSIONAL FUND ADVISORS LP | History | Reduced | 243,466 | 1,327 | 0.0% | 0.0% | 7 | -442 | -0.18% | Q2 2014 | Aug 08, 2014 |
| BlackRock Investment Management, LLC | History | Added to | 208,101 | 1,134 | 0.0% | 0.0% | 8 | +8,021 | 4.01% | Q2 2014 | Aug 06, 2014 |
| BTG Pactual Global Asset Management Ltd | History | New | 175,000 | 953 | 0.13% | — | 9 | +175,000 | New | Q2 2014 | Aug 11, 2014 |
| RHUMBLINE ADVISERS | History | Added to | 101,099 | 551 | 0.0% | 0.0% | 10 | +5,290 | 5.52% | Q2 2014 | Aug 06, 2014 |
| VSR Financial Services, Inc. | History | Added to | 95,900 | 523 | 0.07% | 0.04% | 11 | +54,000 | 128.88% | Q2 2014 | Aug 05, 2014 |
| Aperio Group, LLC | History | Added to | 81,765 | 446 | 0.01% | 0.0% | 12 | +59,124 | 261.14% | Q2 2014 | Jul 23, 2014 |
| Concept Capital Markets, LLC | History | New | 75,000 | 409 | 0.16% | — | 13 | +75,000 | New | Q2 2014 | Aug 08, 2014 |
| Swiss National Bank | History | No change | 70,200 | 383 | 0.0% | 0.0% | 14 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM | History | Added to | 66,045 | 360 | 0.0% | 0.0% | 15 | +3,433 | 5.48% | Q2 2014 | Aug 07, 2014 |
| Quantbot Technologies LP | History | New | 53,261 | 290 | 0.05% | — | 16 | +53,261 | New | Q2 2014 | Jul 08, 2014 |
| METROPOLITAN LIFE INSURANCE CO/NY | History | No change | 50,611 | 276 | 0.0% | 0.0% | 17 | 0 | 0.0% | Q2 2014 | Jul 31, 2014 |
| Nationwide Fund Advisors | History | Added to | 50,051 | 273 | 0.0% | 0.0% | 18 | +1,638 | 3.38% | Q2 2014 | Aug 11, 2014 |
| BENJAMIN F. EDWARDS & COMPANY, INC. | History | Added to | 47,600 | 259 | 0.07% | 0.07% | 19 | +15,500 | 48.29% | Q2 2014 | Jul 21, 2014 |
| BlackRock Group LTD | History | Reduced | 47,127 | 257 | 0.0% | 0.0% | 20 | -27,126 | -36.53% | Q2 2014 | Aug 06, 2014 |
| AMERICAN INTERNATIONAL GROUP INC | History | Added to | 46,174 | 251 | 0.0% | 0.0% | 21 | +2,511 | 5.75% | Q2 2014 | Aug 08, 2014 |
| Electron Capital Partners, LLC | History | New | 42,510 | 232 | 0.09% | — | 22 | +42,510 | New | Q2 2014 | Jul 11, 2014 |
| CAPITAL FUND MANAGEMENT S.A. | History | Reduced | 41,813 | 228 | 0.0% | 0.01% | 23 | -19,759 | -32.09% | Q2 2014 | Aug 01, 2014 |
| BLACKROCK ADVISORS LLC | History | Reduced | 38,598 | 210 | 0.0% | 9.14% | 24 | -4,078 | -9.56% | Q2 2014 | Aug 06, 2014 |
| Private Advisor Group, LLC | History | No change | 36,058 | 197 | 0.02% | 0.03% | 25 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| Tradeworx Inc. | History | New | 32,595 | 178 | 0.14% | — | 26 | +32,595 | New | Q2 2014 | Jul 10, 2014 |
| ProShare Advisors LLC | History | Reduced | 31,788 | 173 | 0.0% | 0.01% | 27 | -31,524 | -49.79% | Q2 2014 | Aug 08, 2014 |
| INTEGRAL DERIVATIVES, LLC | History | Reduced | 30,000 | 163 | 0.0% | 0.01% | 28 | -47,900 | -61.49% | Q2 2014 | Aug 07, 2014 |
| TFS CAPITAL LLC | History | New | 26,502 | 144 | 0.01% | — | 29 | +26,502 | New | Q2 2014 | Jul 21, 2014 |
| DENVER INVESTMENT ADVISORS LLC | History | New | 24,979 | 136 | 0.0% | — | 30 | +24,979 | New | Q2 2014 | Aug 08, 2014 |
| Stratos Wealth Partners, LTD. | History | New | 22,100 | 121 | 0.04% | — | 31 | +22,100 | New | Q2 2014 | Jul 17, 2014 |
| PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO | History | No change | 20,212 | 110 | 0.0% | 0.0% | 32 | 0 | 0.0% | Q2 2014 | Jul 16, 2014 |
| LPL Financial LLC | History | Reduced | 16,793 | 92 | 0.0% | 0.0% | 33 | -6,619 | -28.27% | Q2 2014 | Aug 05, 2014 |
| ProVise Management Group, LLC | History | New | 10,875 | 59 | 0.01% | — | 34 | +10,875 | New | Q2 2014 | Aug 01, 2014 |
| BlackRock Inc. | History | Reduced | 7,869 | 42 | 0.0% | 0.0% | 35 | -18,712 | -70.4% | Q2 2014 | Aug 06, 2014 |
| RidgeWorth Capital Management LLC | History | New | 5,617 | 31 | 0.0% | — | 36 | +5,617 | New | Q2 2014 | Jul 31, 2014 |
| GREAT WEST LIFE ASSURANCE CO /CAN/ | History | No change | 5,252 | 27 | 0.0% | 0.0% | 37 | 0 | 0.0% | Q2 2014 | Aug 06, 2014 |
| MetLife Securities, Inc | History | Reduced | 4,240 | 23 | 0.0% | 0.01% | 38 | -1,000 | -19.08% | Q2 2014 | Aug 04, 2014 |
| TEACHER RETIREMENT SYSTEM OF TEXAS | History | Reduced | 2,276 | 12 | 0.0% | 0.0% | 39 | -112 | -4.69% | Q2 2014 | Aug 05, 2014 |
| SMITHFIELD TRUST CO | History | No change | 1,500 | 8 | 0.0% | 0.0% | 40 | 0 | 0.0% | Q2 2014 | Jul 16, 2014 |
| SAN FRANCISCO SENTRY INVESTMENT GROUP (CA) | History | Reduced | 676 | 4 | 0.0% | 0.0% | 41 | -349 | -34.05% | Q2 2014 | Jul 18, 2014 |
| ENTERPRISE FINANCIAL SERVICES CORP | History | Added to | 636 | 3 | 0.0% | 0.0% | 42 | +569 | 849.25% | Q2 2014 | Jul 24, 2014 |
| NEW ENGLAND SECURITIES CORP /MA/ | History | No change | 300 | 2 | 0.0% | 0.0% | 43 | 0 | 0.0% | Q2 2014 | Aug 04, 2014 |
| PNC FINANCIAL SERVICES GROUP, INC. | History | No change | 210 | 1 | 0.0% | 0.0% | 44 | 0 | 0.0% | Q2 2014 | Aug 08, 2014 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Closed out | 0 | 0 | — | 0.03% | — | -7,294,422 | -100.0% | Q1 2014 | May 14, 2014 |
| Marketfield Asset Management LLC | History | Closed out | 0 | 0 | — | 0.34% | — | -5,294,334 | -100.0% | Q1 2014 | May 15, 2014 |
| GOLDMAN SACHS GROUP INC | History | Closed out | 0 | 0 | — | 0.01% | — | -3,488,100 | -100.0% | Q1 2014 | May 15, 2014 |
| STATE STREET CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -3,399,495 | -100.0% | Q1 2014 | May 15, 2014 |
| TIAA CREF INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -3,383,076 | -100.0% | Q1 2014 | May 13, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | 0.01% | — | -3,199,376 | -100.0% | Q1 2014 | May 15, 2014 |
| Forty4 Asset Management LLC | History | Closed out | 0 | 0 | — | 9.69% | — | -2,797,707 | -100.0% | Q1 2014 | May 08, 2014 |
| FMR LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -2,755,860 | -100.0% | Q1 2014 | May 15, 2014 |
| MASSACHUSETTS FINANCIAL SERVICES CO /MA/ | History | Closed out | 0 | 0 | — | 0.01% | — | -2,156,010 | -100.0% | Q1 2014 | May 13, 2014 |
| Spot Trading L.L.C | History | Closed out | 0 | 0 | — | 0.09% | — | -2,082,005 | -100.0% | Q1 2014 | May 13, 2014 |
| BRIGADE CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.94% | — | -1,700,000 | -100.0% | Q1 2014 | May 15, 2014 |
| BARCLAYS PLC | History | Closed out | 0 | 0 | — | 0.01% | — | -1,551,941 | -100.0% | Q1 2014 | May 15, 2014 |
| CITIGROUP INC | History | Closed out | 0 | 0 | — | 0.01% | — | -1,515,348 | -100.0% | Q1 2014 | May 15, 2014 |
| D.C. Capital Advisors, Ltd | History | Closed out | 0 | 0 | — | 4.48% | — | -1,500,000 | -100.0% | Q1 2014 | May 14, 2014 |
| Pentwater Capital Management LP | History | Closed out | 0 | 0 | — | 0.23% | — | -1,140,010 | -100.0% | Q1 2014 | May 15, 2014 |
| CREDIT AGRICOLE S A | History | Closed out | 0 | 0 | — | 0.03% | — | -1,061,000 | -100.0% | Q1 2014 | May 12, 2014 |
| PECONIC PARTNERS LLC | History | Closed out | 0 | 0 | — | 0.74% | — | -1,040,617 | -100.0% | Q1 2014 | May 15, 2014 |
| MARATHON ASSET MANAGEMENT LP | History | Closed out | 0 | 0 | — | 0.59% | — | -1,000,000 | -100.0% | Q1 2014 | May 15, 2014 |
| D. E. Shaw & Co., Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -993,873 | -100.0% | Q1 2014 | May 15, 2014 |
| DEUTSCHE BANK AG\ | History | Closed out | 0 | 0 | — | 0.0% | — | -914,483 | -100.0% | Q1 2014 | May 15, 2014 |
| MILLENNIUM MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -909,900 | -100.0% | Q1 2014 | May 15, 2014 |
| MORGAN STANLEY | History | Closed out | 0 | 0 | — | 0.0% | — | -876,538 | -100.0% | Q1 2014 | May 13, 2014 |
| UBS AG | History | Closed out | 0 | 0 | — | 0.01% | — | -862,724 | -100.0% | Q1 2014 | May 16, 2014 |
| NORTHERN TRUST CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -849,303 | -100.0% | Q1 2014 | May 14, 2014 |
| NOMURA HOLDINGS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -687,082 | -100.0% | Q1 2014 | May 14, 2014 |
| TEACHERS ADVISORS INC | History | Closed out | 0 | 0 | — | 0.01% | — | -625,246 | -100.0% | Q1 2014 | May 13, 2014 |
| Fore Research & Management, LP | History | Closed out | 0 | 0 | — | 0.14% | — | -575,000 | -100.0% | Q1 2014 | May 15, 2014 |
| BANK OF MONTREAL /CAN/ | History | Closed out | 0 | 0 | — | 0.01% | — | -545,203 | -100.0% | Q1 2014 | May 15, 2014 |
| Cambrian Capital Limited Partnership | History | Closed out | 0 | 0 | — | 1.02% | — | -535,040 | -100.0% | Q1 2014 | May 15, 2014 |
| ARROWGRASS CAPITAL PARTNERS (US) LP | History | Closed out | 0 | 0 | — | 0.16% | — | -520,000 | -100.0% | Q1 2014 | May 15, 2014 |
| Graham Capital Management, L.P. | History | Closed out | 0 | 0 | — | 0.21% | — | -500,000 | -100.0% | Q1 2014 | May 14, 2014 |
| GRT CAPITAL PARTNERS LLC | History | Closed out | 0 | 0 | — | 0.39% | — | -444,490 | -100.0% | Q1 2014 | May 15, 2014 |
| LEVIN CAPITAL STRATEGIES, L.P. | History | Closed out | 0 | 0 | — | 0.05% | — | -428,504 | -100.0% | Q1 2014 | May 14, 2014 |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.01% | — | -423,400 | -100.0% | Q1 2014 | Apr 18, 2014 |
| J. Goldman & Co LP | History | Closed out | 0 | 0 | — | 0.22% | — | -400,000 | -100.0% | Q1 2014 | May 15, 2014 |
| Bank of New York Mellon Corp | History | Closed out | 0 | 0 | — | 0.0% | — | -365,030 | -100.0% | Q1 2014 | May 14, 2014 |
| Visium Asset Management, LP | History | Closed out | 0 | 0 | — | 0.04% | — | -317,431 | -100.0% | Q1 2014 | May 15, 2014 |
| GEODE CAPITAL MANAGEMENT, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -312,485 | -100.0% | Q1 2014 | May 14, 2014 |
| JANE STREET GROUP, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -273,339 | -100.0% | Q1 2014 | May 15, 2014 |
| Energy Opporutunities Capital Management, LLC | History | Closed out | 0 | 0 | — | 0.31% | — | -234,014 | -100.0% | Q1 2014 | May 15, 2014 |
| NFC Investments, LLC | History | Closed out | 0 | 0 | — | 0.82% | — | -217,050 | -100.0% | Q1 2014 | May 14, 2014 |
| PEAK6 Investments, L.P. | History | Closed out | 0 | 0 | — | 0.01% | — | -215,800 | -100.0% | Q1 2014 | May 19, 2014 |
| ROYAL BANK OF CANADA | History | Closed out | 0 | 0 | — | 0.0% | — | -214,821 | -100.0% | Q1 2014 | May 15, 2014 |
| SG Americas Securities, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -214,586 | -100.0% | Q1 2014 | May 14, 2014 |
| NATIXIS | History | Closed out | 0 | 0 | — | 0.02% | — | -187,046 | -100.0% | Q1 2014 | May 14, 2014 |
| THRIVENT FINANCIAL FOR LUTHERANS | History | Closed out | 0 | 0 | — | 0.01% | — | -132,375 | -100.0% | Q1 2014 | May 14, 2014 |
| VAN ECK ASSOCIATES CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -131,508 | -100.0% | Q1 2014 | May 08, 2014 |
| COMMERZBANK AKTIENGESELLSCHAFT /FI | History | Closed out | 0 | 0 | — | 0.0% | — | -129,754 | -100.0% | Q1 2014 | May 14, 2014 |
| Piermont Capital Management LLC | History | Closed out | 0 | 0 | — | 0.46% | — | -125,830 | -100.0% | Q1 2014 | May 08, 2014 |
| WELLS FARGO & COMPANY/MN | History | Closed out | 0 | 0 | — | 0.0% | — | -125,080 | -100.0% | Q1 2014 | May 15, 2014 |
| CNA FINANCIAL CORP | History | Closed out | 0 | 0 | — | 0.19% | — | -123,419 | -100.0% | Q1 2014 | May 15, 2014 |
| MCGLINN CAPITAL MANAGEMENT INC | History | Closed out | 0 | 0 | — | 1.92% | — | -122,000 | -100.0% | Q1 2014 | May 09, 2014 |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM | History | Closed out | 0 | 0 | — | 0.0% | — | -113,767 | -100.0% | Q1 2014 | May 08, 2014 |
| CARLSON CAPITAL L P | History | Closed out | 0 | 0 | — | 0.81% | — | -103,900 | -100.0% | Q1 2014 | May 16, 2014 |
| ALLIANCEBERNSTEIN L.P. | History | Closed out | 0 | 0 | — | 0.0% | — | -103,900 | -100.0% | Q1 2014 | May 13, 2014 |
| BOLTON LP | History | Closed out | 0 | 0 | — | 0.17% | — | -100,000 | -100.0% | Q1 2014 | May 15, 2014 |
| Trellus Management Company, LLC | History | Closed out | 0 | 0 | — | 0.67% | — | -99,140 | -100.0% | Q1 2014 | May 14, 2014 |
| GUGGENHEIM CAPITAL LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -94,849 | -100.0% | Q1 2014 | May 16, 2014 |
| PARAMETRIC PORTFOLIO ASSOCIATES LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -86,276 | -100.0% | Q1 2014 | May 13, 2014 |
| Dynamic Capital Management Ltd | History | Closed out | 0 | 0 | — | 0.21% | — | -84,519 | -100.0% | Q1 2014 | May 15, 2014 |
| Overland Advisors, LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -80,000 | -100.0% | Q1 2014 | May 15, 2014 |
| Invesco Ltd. | History | Closed out | 0 | 0 | — | 0.0% | — | -76,723 | -100.0% | Q1 2014 | May 15, 2014 |
| HAP Trading, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -76,000 | -100.0% | Q1 2014 | May 12, 2014 |
| 40 North Management LLC | History | Closed out | 0 | 0 | — | 0.05% | — | -70,218 | -100.0% | Q1 2014 | May 15, 2014 |
| KCG Holdings, Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -68,748 | -100.0% | Q1 2014 | May 15, 2014 |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE | History | Closed out | 0 | 0 | — | 0.0% | — | -57,708 | -100.0% | Q1 2014 | May 15, 2014 |
| SAC Capital Advisors LP | History | Closed out | 0 | 0 | — | 0.0% | — | -54,683 | -100.0% | Q1 2014 | May 15, 2014 |
| UBS GLOBAL ASSET MANAGEMENT AMERICAS INC | History | Closed out | 0 | 0 | — | 0.0% | — | -52,198 | -100.0% | Q1 2014 | May 23, 2014 |
| LEGAL & GENERAL GROUP PLC | History | Closed out | 0 | 0 | — | 0.0% | — | -50,965 | -100.0% | Q1 2014 | May 14, 2014 |
| Absolute Return Capital, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -50,410 | -100.0% | Q1 2014 | May 15, 2014 |
| QVT Financial LP | History | Closed out | 0 | 0 | — | 0.02% | — | -49,300 | -100.0% | Q1 2014 | May 14, 2014 |
| National Asset Management, Inc. | History | Closed out | 0 | 0 | — | 0.1% | — | -44,670 | -100.0% | Q1 2014 | May 02, 2014 |
| ING INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -43,879 | -100.0% | Q1 2014 | May 15, 2014 |
| STEVENS CAPITAL MANAGEMENT LP | History | Closed out | 0 | 0 | — | 0.01% | — | -41,766 | -100.0% | Q1 2014 | May 06, 2014 |
| Marshall Wace LLP | History | Closed out | 0 | 0 | — | 0.01% | — | -40,800 | -100.0% | Q1 2014 | May 14, 2014 |
| JPMORGAN CHASE & CO | History | Closed out | 0 | 0 | — | 0.0% | — | -39,238 | -100.0% | Q1 2014 | May 15, 2014 |
| Magnetar Financial LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -37,500 | -100.0% | Q1 2014 | May 15, 2014 |
| Advisors Asset Management, Inc. | History | Closed out | 0 | 0 | — | 0.0% | — | -33,946 | -100.0% | Q1 2014 | May 15, 2014 |
| Jump Trading, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -33,300 | -100.0% | Q1 2014 | May 16, 2014 |
| NEEDHAM INVESTMENT MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.05% | — | -31,000 | -100.0% | Q1 2014 | May 15, 2014 |
| DLS Capital Management, LLC | History | Closed out | 0 | 0 | — | 0.34% | — | -30,000 | -100.0% | Q1 2014 | Apr 16, 2014 |
| A.R.T. Advisors, LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -29,959 | -100.0% | Q1 2014 | May 15, 2014 |
| AMERIPRISE FINANCIAL INC | History | Closed out | 0 | 0 | — | 0.0% | — | -28,835 | -100.0% | Q1 2014 | May 14, 2014 |
| TWO SIGMA INVESTMENTS LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -27,949 | -100.0% | Q1 2014 | May 15, 2014 |
| OPPENHEIMER & CO INC | History | Closed out | 0 | 0 | — | 0.01% | — | -22,905 | -100.0% | Q1 2014 | May 09, 2014 |
| PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO | History | Closed out | 0 | 0 | — | 0.0% | — | -22,397 | -100.0% | Q1 2014 | May 15, 2014 |
| QCM Cayman, Ltd. | History | Closed out | 0 | 0 | — | 0.04% | — | -21,572 | -100.0% | Q1 2014 | May 14, 2014 |
| Walleye Trading LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -20,400 | -100.0% | Q1 2014 | May 15, 2014 |
| WOLVERINE ASSET MANAGEMENT LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -20,358 | -100.0% | Q1 2014 | May 14, 2014 |
| First Allied Advisory Services, Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -20,100 | -100.0% | Q1 2014 | May 15, 2014 |
| SOUTHPORT MANAGEMENT, L.L.C. | History | Closed out | 0 | 0 | — | 0.17% | — | -20,000 | -100.0% | Q1 2014 | May 15, 2014 |
| IRIDIAN ASSET MANAGEMENT LLC/CT | History | Closed out | 0 | 0 | — | 0.0% | — | -15,220 | -100.0% | Q1 2014 | May 06, 2014 |
| HighTower Advisors, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -15,132 | -100.0% | Q1 2014 | May 15, 2014 |
| Verition Fund Management LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -15,000 | -100.0% | Q1 2014 | May 14, 2014 |
| Parkwood LLC | History | Closed out | 0 | 0 | — | 0.03% | — | -13,795 | -100.0% | Q1 2014 | May 09, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | Closed out | 0 | 0 | — | 0.0% | — | -13,455 | -100.0% | Q1 2014 | May 13, 2014 |
| RUSSELL FRANK CO/ | History | Closed out | 0 | 0 | — | 0.0% | — | -13,256 | -100.0% | Q1 2014 | May 16, 2014 |
| LOEWS CORP | History | Closed out | 0 | 0 | — | 0.0% | — | -12,570 | -100.0% | Q1 2014 | May 14, 2014 |
| GSB Podium Advisors, LLC | History | Closed out | 0 | 0 | — | 100.0% | — | -11,272 | -100.0% | Q1 2014 | May 15, 2014 |
| STEELHEAD PARTNERS LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -8,520 | -100.0% | Q1 2014 | May 15, 2014 |
| Creative Planning | History | Closed out | 0 | 0 | — | 0.0% | — | -7,995 | -100.0% | Q1 2014 | Apr 11, 2014 |
| First Eagle Investment Management, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -7,640 | -100.0% | Q1 2014 | May 13, 2014 |
| Oakworth Capital, Inc. | History | Closed out | 0 | 0 | — | 0.02% | — | -4,880 | -100.0% | Q1 2014 | Apr 10, 2014 |
| FIRST NEW YORK SECURITIES LLC /NY | History | Closed out | 0 | 0 | — | 0.01% | — | -4,000 | -100.0% | Q1 2014 | May 15, 2014 |
| LADENBURG THALMANN FINANCIAL SERVICES INC | History | Closed out | 0 | 0 | — | 0.0% | — | -3,930 | -100.0% | Q1 2014 | May 15, 2014 |
| Torch Wealth Management LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -2,500 | -100.0% | Q1 2014 | May 13, 2014 |
| Parallax Volatility Advisers, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -2,300 | -100.0% | Q1 2014 | May 15, 2014 |
| Bellevue Financial, Inc. | History | Closed out | 0 | 0 | — | 0.01% | — | -1,427 | -100.0% | Q1 2014 | May 05, 2014 |
| PANAGORA ASSET MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.0% | — | -728 | -100.0% | Q1 2014 | May 15, 2014 |
| FRED ALGER MANAGEMENT INC | History | Closed out | 0 | 0 | — | 0.0% | — | -340 | -100.0% | Q1 2014 | May 15, 2014 |
| WFG Advisors, LP | History | Closed out | 0 | 0 | — | 0.0% | — | -300 | -100.0% | Q1 2014 | Apr 24, 2014 |
| THOMPSON DAVIS & CO., INC. | History | Closed out | 0 | 0 | — | 0.0% | — | -250 | -100.0% | Q1 2014 | May 09, 2014 |
| FIFTH THIRD BANCORP | History | Closed out | 0 | 0 | — | 0.0% | — | -200 | -100.0% | Q1 2014 | May 15, 2014 |
| Manchester Capital Management LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -200 | -100.0% | Q1 2014 | May 02, 2014 |
| Tower Research Capital LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -199 | -100.0% | Q1 2014 | May 02, 2014 |
| US BANCORP \DE\ | History | Closed out | 0 | 0 | — | 0.0% | — | -147 | -100.0% | Q1 2014 | May 14, 2014 |
| Partnervest Advisory Services LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -100 | -100.0% | Q1 2014 | May 12, 2014 |
| Antonetti Capital Management LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -95 | -100.0% | Q1 2014 | May 14, 2014 |
| Winch Advisory Services, LLC | History | Closed out | 0 | 0 | — | — | — | -11 | -100.0% | Q1 2014 | May 14, 2014 |
| 1832 Asset Management L.P. | History | Closed out | 0 | 0 | — | — | — | -8 | -100.0% | Q1 2014 | May 14, 2014 |
| CITADEL ADVISORS LLC | History | Closed out | 0 | 0 | — | — | — | -1 | -100.0% | Q1 2014 | Aug 08, 2014 |
| TOCQUEVILLE ASSET MANAGEMENT L.P. | History | No change | 1 | 0 | — | — | — | 0 | 0.0% | Q2 2014 | Jul 30, 2014 |
| Tortoise Investment Management, LLC | History | No change | 39 | 0 | — | — | — | 0 | 0.0% | Q2 2014 | Jul 29, 2014 |