CIK: 0001584639 · Show all filings
Period: Q4 2013 (Next →)
Filing Date: Feb 14, 2014
Total Value ($000): $98,482 (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | LENDER PROCESSING SERVICES COMMON STOCK (US) | 280,677 | $10,492 | 10.7% | $37.38 | — | COMM | 52602E102 |
| — | CORNERSTONE STRATEGIC VALUE CLOSED-END FUND (US) | 1,446,183 | $9,545 | 9.7% | $6.60 | — | COMM | 21924B203 |
| — | METROCORP BANKSHARES INC | 340,293 | $5,149 | 5.2% | $15.13 | — | COMM | 591650106 |
| — | CORNERSTONE TOTAL RETURN FND CLOSED-END FUND (US) | 818,846 | $4,954 | 5.0% | $6.05 | — | COMM | 21924U201 |
| L | LOEWS CORP COMMON STOCK (US) | 101,316 | $4,887 | 5.0% | $45.01 | 0.0% | COMM | 540424108 |
| — | CAPITALSOURCE INC COMMON STOCK (US) | 339,400 | $4,869 | 4.9% | $14.35 | — | COMM | 14055X102 |
| — | REAVES UTILITY INCOME FUND CLOSED-END FUND (US) | 189,232 | $4,748 | 4.8% | $25.09 | — | COMM | 756158101 |
| TDS | TELEPHONE AND DATA SYSTEMS COMMON STOCK (US) | 172,338 | $4,494 | 4.6% | $28.28 | 0.0% | COMM | 879433829 |
| — | LIFE TECHNOLOGIES CORP COMMON STOCK (US) | 58,482 | $4,433 | 4.5% | $75.80 | — | COMM | 53217V109 |
| — | LIBERTY GLOBAL PLC-SERIES C COMMON STOCK (GB) | 44,815 | $3,773 | 3.8% | $84.19 | — | COMM | GS480U120 |
| — | SAFEGUARD SCIENTIFICS INC COMMON STOCK (US) | 187,758 | $3,772 | 3.8% | $20.09 | — | COMM | 786449207 |
| — | INDIA FUND INC CLOSED-END FUND (US) | 151,380 | $3,028 | 3.1% | $20.00 | — | COMM | 454089103 |
| — | EDWARDS GROUP LTD-SPON ADR ADR (GB) | 246,229 | $2,507 | 2.5% | $10.18 | — | COMM | 281736108 |
| — | GABELLI UTILITY TRUST CLOSED-END FUND (US) | 366,780 | $2,344 | 2.4% | $6.39 | — | COMM | 36240A101 |
| — | VIRGINIA COMMERCE BANCORP COMMON STOCK (US) | 110,791 | $1,882 | 1.9% | $16.99 | — | COMM | 92778Q109 |
| — | DNP SELECT INCOME FUND INC CLOSED-END FUND (US) | 174,690 | $1,646 | 1.7% | $9.42 | — | COMM | 23325P104 |
| — | DIVIDEND AND INCOME FUND CLOSED-END FUND (US) | 107,647 | $1,627 | 1.7% | $15.11 | — | COMM | 25538A204 |
| — | CORNERSTONE PROGRESSIVE RETU CLOSED-END FUND (US) | 306,245 | $1,574 | 1.6% | $5.14 | — | COMM | 21925C101 |
| — | BROOKFIELD GLOBAL LISTED INF | 76,520 | $1,513 | 1.5% | $19.77 | — | COMM | 11273Q109 |
| — | DISCOVERY COMMUNICATIONS-C COMMON STOCK (US) | 14,128 | $1,185 | 1.2% | $83.88 | — | COMM | 25470F302 |
| — | ASIAINFO-LINKAGE INC C (CN) | 91,790 | $1,098 | 1.1% | $11.96 | — | COMM | 04518A104 |
| — | TORTOISE ENR CAP EQUITY (US) | 97,573 | $985 | 1.0% | $10.10 | — | COMM | 89148J203 |
| — | KEATING CAPITAL INC | 151,723 | $933 | 0.9% | $6.15 | — | COMM | 48722R106 |
| — | FLOW INTL CORP | 226,242 | $912 | 0.9% | $4.03 | — | COMM | 343468104 |
| — | HOME FEDERAL BANCORP INC/ID | 59,641 | $889 | 0.9% | $14.91 | — | COMM | 43710G105 |
| — | LEAP WIRELESS INTL INC COMMON STOCK (US) | 49,824 | $867 | 0.9% | $17.40 | — | COMM | 521863308 |
| — | PALADIN LABS INC | 7,537 | $841 | 0.9% | $111.58 | — | COMM | 695942102 |
| — | BROOKFIELD TOTAL RETURN FUND CLOSED-END FUND (US) | 29,617 | $704 | 0.7% | $23.77 | — | COMM | 11283U108 |
| — | PLX TECHNOLOGY INC COMMON STOCK (US) | 102,993 | $678 | 0.7% | $6.58 | — | COMM | 693417107 |
| — | GABELLI GLOBAL UTIL & INCOME CLOSED-END FUND (US) | 32,237 | $646 | 0.7% | $20.04 | — | COMM | 36242L105 |
| — | HARVEST NATURAL RESOURCES IN | 132,940 | $601 | 0.6% | $4.52 | — | COMM | 41754V103 |
| — | LIBERTY ALL STAR EQUITY FUND CLOSED-END FUND (US) | 99,141 | $582 | 0.6% | $5.87 | — | COMM | 530158104 |
| — | REALNETWORKS INC COMMON STOCK (US) | 71,275 | $538 | 0.5% | $7.55 | — | COMM | 75605L708 |
| — | AVENUE INCOME CREDIT STRATEG CLOSED-END FUND (US) | 29,808 | $524 | 0.5% | $17.58 | — | COMM | 05358E106 |
| BB | BLACKBERRY COMMON STOCK (US) | 62,200 | $463 | 0.5% | $7.06 | 0.0% | COMM | 09228F103 |
| — | DIGITAL GENERATION INC COMMON STOCK (US) | 33,500 | $427 | 0.4% | $12.75 | — | COMM | 25400B108 |
| — | THAI FUND INC CLOSED-END FUND (US) | 23,438 | $425 | 0.4% | $18.13 | — | COMM | 882904105 |
| — | YAHOO! INC COMMON STOCK (US) | 9,200 | $372 | 0.4% | $40.43 | — | COMM | 984332106 |
| HBIO | HARVARD BIOSCIENCE INC COMMON STOCK (US) | 76,870 | $361 | 0.4% | $4.37 | 0.0% | COMM | 416906105 |
| — | COMPUWARE CORP COMMON STOCK (US) | 27,590 | $309 | 0.3% | $11.20 | — | COMM | 205638109 |
| — | LORAL SPACE & COMMUNICATIONS COMMON STOCK (US) | 3,754 | $304 | 0.3% | $80.98 | — | COMM | 543881106 |
| — | NUPATHE INC COMMON (US) | 90,111 | $295 | 0.3% | $3.27 | — | COMM | 67059M100 |
| — | NEUBERGER BERMAN REAL ESTATE CLOSED-END FUND (US) | 66,733 | $290 | 0.3% | $4.35 | — | COMM | 64190A103 |
| — | MORGAN STANLEY INDIA INVEST CLOSED-END FUND (US) | 15,522 | $271 | 0.3% | $17.46 | — | COMM | 61745C105 |
| — | ASHFORD HOSPITALITY TRUST | 31,603 | $262 | 0.3% | $8.29 | — | COMM | 44103109 |
| — | GABS 144A AELTUS CBO ESCROW CUSIP | 84,993 | $259 | 0.3% | $3.05 | — | COMM | 373113109 |
| — | CUBIST PHARMACEUTICALS | 177,892 | $240 | 0.2% | $1.35 | — | COMM | 229678123 |
| — | CAESARS ACQUISITION CO-CL A | 17,933 | $216 | 0.2% | $12.04 | — | COMM | 12768T103 |
| — | GDL FUND/THE CLOSED-END FUND (US) | 4,265 | $214 | 0.2% | $50.18 | — | COMM | 361570104 |
| GLPI | GAMING & LEISURE PROPERTIES | 3,758 | $191 | 0.2% | $50.82 | — | COMM | 36467J108 |
| — | GABELLI DVD&INC EQUITY (US) | 7,636 | $188 | 0.2% | $24.62 | — | COMM | 36242H203 |
| — | SWISS HELVETIA FUND | 13,012 | $182 | 0.2% | $13.99 | — | COMM | 870875101 |
| — | QLT INC COMMON STOCK (CA) | 31,726 | $177 | 0.2% | $5.58 | — | COMM | 746927102 |
| KOPN | KOPIN CORP COMMON STOCK (US) | 41,981 | $177 | 0.2% | $3.84 | 0.0% | COMM | 500600101 |
| — | INTERNET PATENTS CORP COMMON STOCK (US) | 52,996 | $165 | 0.2% | $3.11 | — | COMM | 46063G101 |
| — | DSP GROUP INC COMMON STOCK (US) | 15,670 | $152 | 0.2% | $9.70 | — | COMM | 23332B106 |
| — | RENTECH INC COMMON STOCK (US) | 86,668 | $152 | 0.2% | $1.75 | — | COMM | 760112102 |
| PENN | PENN NATL GAMING | 10,458 | $150 | 0.2% | $13.74 | 0.0% | COMM | 707569109 |
| — | TESSERA TECHNOLOGIES INC COMMON STOCK (US) | 7,060 | $139 | 0.1% | $19.69 | — | COMM | 88164L100 |
| — | JAKKS PACIFIC INC COMMON STOCK (US) | 18,768 | $126 | 0.1% | $6.71 | — | COMM | 47012E106 |
| — | MODUSLINK GLOBAL SOLUTIONS I COMMON STOCK (US) | 21,655 | $124 | 0.1% | $5.73 | — | COMM | 60786L107 |
| — | ASHFORD HOSPITALITY PRIME | 6,320 | $115 | 0.1% | $18.20 | — | COMM | 044102101 |
| — | MONSTER WORLDWIDE INC COMMON STOCK (US) | 16,050 | $114 | 0.1% | $7.10 | — | COMM | 611742107 |
| — | NICHOLAS FINANCIAL INC COMMON (US) | 7,108 | $112 | 0.1% | $15.76 | — | COMM | 65373J209 |
| — | MEDCATH CORPORATION COMMON STOCK (US) | 78,106 | $112 | 0.1% | $1.43 | — | COMM | 58404W109 |
| — | BGC PARTNERS INC-CL A COMMON STOCK (US) | 17,700 | $107 | 0.1% | $6.05 | — | COMM | 05541T101 |
| — | MOLEX INC -CL A | 2,405 | $93 | 0.1% | $38.67 | — | COMM | 608554200 |
| — | CAREER EDUCATION CORP | 15,750 | $90 | 0.1% | $5.71 | — | COMM | 141665109 |
| — | EXCO RESOURCES I | 16,200 | $86 | 0.1% | $5.31 | — | COMM | 269279402 |
| — | CHAPARRAL GOLD CORP | 285,700 | $86 | 0.1% | $0.30 | — | COMM | 15941W109 |
| — | SPECIAL OPPORTUN CLOSED-END FUND (US) | 1,311 | $81 | 0.1% | $61.78 | — | COMM | 84741T104 |
| — | KINDER MORGAN INC-CW17 EQUITY WRT (US) | 19,526 | $79 | 0.1% | $4.05 | — | COMM | 49456B119 |
| — | FTD COS INC | 2,240 | $73 | 0.1% | $32.59 | — | COMM | 30281V108 |
| — | TURQUOISE HILL RESOURCES LTD | 22,000 | $73 | 0.1% | $3.32 | — | COMM | 900435108 |
| — | PROMOTORA DE INFO-B-ADR ADR (ES) | 25,000 | $72 | 0.1% | $2.88 | — | COMM | 74343G303 |
| — | MERGE HEALTHCARE INC COMMON STOCK (US) | 30,800 | $71 | 0.1% | $2.31 | — | COMM | 589499102 |
| — | ITHACA ENERGY INC COMMON STOCK (CA) | 25,900 | $70 | 0.1% | $2.70 | — | COMM | 465676104 |
| — | HARVARD APPARATUS REGENERATI | 14,777 | $70 | 0.1% | $4.74 | — | COMM | 41690A106 |
| CNS | COHEN & STEERS DIVIDEND MAJO (GR) | 4,500 | $66 | 0.1% | $21.78 | 0.0% | COMM | 19247A100 |
| — | ALVOPETRO ENERGY | 56,000 | $65 | 0.1% | $1.16 | — | COMM | 02255Q100 |
| — | GABELLI MULTIMED CLOSED-END FUND (US) | 2,574 | $64 | 0.1% | $24.86 | — | COMM | 36239Q109 |
| — | SAMSON OIL & GAS LTD-SP ADR ADR (AU) | 141,204 | $59 | 0.1% | $0.42 | — | COMM | 796043107 |
| — | SANOFI US | 164,477 | $56 | 0.1% | $0.34 | — | COMM | 80105N113 |
| GULTU | GULF COAST ULTRA DEEP ROYALT ROYALTY TRST (US) | 26,983 | $56 | 0.1% | $2.08 | — | COMM | 40222T104 |
| LTRE | LEARNING TREE INTERNATIONAL COMMON STOCK (US) | 17,988 | $56 | 0.1% | $3.09 | 0.0% | COMM | 522015106 |
| MYRX | MYREXIS INC COMMON STOCK (US) | 309,358 | $55 | 0.1% | $0.14 | 0.0% | COMM | 62856H107 |
| — | LIFEVANTAGE CORP | 32,161 | $53 | 0.1% | $1.65 | — | COMM | 53222K106 |
| — | NEWCASTLE INVESTMENT CORP REIT (US) | 8,500 | $49 | 0.0% | $5.76 | — | COMM | 65105M108 |
| — | TRANS WORLD ENTERTAINMENT CP COMMON STOCK (US) | 10,400 | $46 | 0.0% | $4.42 | — | COMM | 89336Q100 |
| — | MAXYGEN INC COMMON STOCK (US) | 1,474,240 | $44 | 0.0% | $0.03 | — | COMM | 577776107 |
| — | ENDOCYTE INC COMMON STOCK (US) | 3,985 | $43 | 0.0% | $10.79 | — | COMM | 29269A102 |
| — | JONES GROUP INC/THE | 2,500 | $37 | 0.0% | $14.80 | — | COMM | 48020T101 |
| — | GABELLI HEALTHCARE&WELLNESS CLOSED-END FUND (US) | 2,939 | $31 | 0.0% | $10.55 | — | COMM | 36246K103 |
| — | ATLANTIC TELE-NETWORK INC (US) | 525 | $30 | 0.0% | $57.14 | — | COMM | 049079205 |
| — | PERNIX THERAPEUTICS HOLDINGS COMMON STOCK (US) | 11,957 | $30 | 0.0% | $2.51 | — | COMM | 71426V108 |
| ATLC | ATLANTICUS HOLDINGS CORP(US) | 8,298 | $29 | 0.0% | $3.51 | 0.0% | COMM | 04914Y102 |
| — | TURQUOISE HILL RESOURCES LTD | 100 | $27 | 0.0% | $3.32 | — | Put | 900435108 |
| KFS | KINGSWAY FINANCIAL SERVICES COMMON STOCK (CA) | 6,800 | $27 | 0.0% | $3.37 | 0.0% | COMM | 496904202 |
| — | OMTHERA PHARMACE COMMON STOCK (US) | 40,700 | $24 | 0.0% | $0.59 | — | COMM | 68217A103 |
| — | OFFICE DEPOT INC | 75 | $24 | 0.0% | — | — | Put | 676220106 |
| — | TURKISH INVST FD | 1,400 | $21 | 0.0% | $15.00 | — | COMM | 900145103 |
| — | THESCORE INC - A COMMON STOCK (CA) | 111,000 | $21 | 0.0% | $0.19 | — | COMM | 88367Q104 |
| — | ABERDEEN EMERGIN (US) | 1,500 | $21 | 0.0% | $14.00 | — | COMM | 00301T102 |
| — | PROMOTORA DE INFORMA-ADR ADR (ES) | 8,750 | $19 | 0.0% | $2.17 | — | COMM | 74343G204 |
| — | TURQUOISE HILL RESOURCES LTD - RIGHTS | 20,000 | $19 | 0.0% | $0.95 | — | COMM | 900435116 |
| — | CENTRAL EUROPEAN MEDIA ENT-A (BM) | 4,441 | $17 | 0.0% | $3.83 | — | COMM | G20045202 |
| — | DIADEXUS INC COMMON STOCK (US) | 10,331 | $9 | 0.0% | $0.87 | — | COMM | 25245P106 |
| ENZN | ENZON PHARMACEUTICALS INC COMMON STOCK (US) | 5,981 | $7 | 0.0% | $0.09 | 0.0% | COMM | 293904108 |
| — | SILVERWILLOW ENERGY CORP COMMON STOCK (CA) | 25,200 | $6 | 0.0% | $0.24 | — | COMM | 828513101 |
| — | WRIGHT MEDICAL GROUP INC-CVR RIGHT (US) | 15,600 | $5 | 0.0% | $0.32 | — | COMM | 98235T115 |
| — | DWS-RREEF-R/E-IS OPEN-END FUND (US) | 924,779 | $5 | 0.0% | $0.01 | — | COMM | 23337G829 |
| — | UNITED ONLINE INC (US) | 214 | $3 | 0.0% | $14.02 | — | COMM | 911268100 |
| — | VALLEY NATIONAL BANCORP-CW15 EQUITY WRT (US) | 5,004 | $2 | 0.0% | $0.40 | — | COMM | 919794123 |
| — | SINO CLEAN ENERGY INC COMMON STOCK (CN) | 4,134 | $1 | 0.0% | $0.24 | — | COMM | 82936G200 |