0001214267-11-000006.txt : 20110429
0001214267-11-000006.hdr.sgml : 20110429
20110429154857
ACCESSION NUMBER: 0001214267-11-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20100930
FILED AS OF DATE: 20110429
DATE AS OF CHANGE: 20110429
EFFECTIVENESS DATE: 20110429
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: NOLLENBERGER CAPITAL PARTNERS INC
CENTRAL INDEX KEY: 0001214267
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14448
FILM NUMBER: 11794455
BUSINESS ADDRESS:
STREET 1: 101 CALIFORNIA STREET, STE. 3150
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 4154026005
MAIL ADDRESS:
STREET 1: 101 CALIFORNIA STREET, STE. 3150
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER COMPANY:
FORMER CONFORMED NAME: NOLLENBERGER CAPITAL PARTNERS INC/DE
DATE OF NAME CHANGE: 20090127
FORMER COMPANY:
FORMER CONFORMED NAME: NOLLENBERGER CAPITAL PARTNERS INC/CA
DATE OF NAME CHANGE: 20030115
13F-HR
1
ncpi_13f-q32010.txt
NCPI 13F Q3 2010
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 2010
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Nollenberger Capital Partners, Inc.
Address: 101 California Street, Suite 3100
San Francisco, CA 94111
13F File Number:
The institutional investment manager filing this report and the
person by whom it is signed hereby represent that the person
signing the report is authorized to submit it, that all
information contained herein is true, correct and complete, and
that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of
this form.
Signing of Person Duly Authorized to Submit this Report:
Name: Scott Hultsman
Title: Compliance Manager
Phone: 415-402-6088
Signature, Place, and Date of Signing:
Scott Hultsman San Francisco, Ca April 29,2011
Report Type (Check only one.);
[X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager: None
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total:
Form 13F Information Table Value Total:
List of Other Included Managers:
No. 13F File Number Name
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ INVSTMT VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x1000) PRN AMT PRN DSCRETN SOLE SHARED NONE
----------------------------- ---------------- ---------- ---------- --------- --- ------- --- --- ---------
ABB LTD -SPONS ADR ADR 000375204 42.2400 2,000.000 SH DEFINED 2,000.000
AFLAC INC COM 001055102 1469.9446 28,426.699 SH DEFINED 28,426.699
AGIC CONV & INCOME FD COM 001190107 417.6276 42,270.000 SH DEFINED 42,270.000
AMR CORP DEL COM 001765106 1.2540 200.000 SH DEFINED 200.000
ABAXIS INC COM 002567105 344.6520 14,920.000 SH DEFINED 14,920.000
ABBOTT LABORATORIES COM 002824100 601.8048 11,520.000 SH DEFINED 11,520.000
AGRIUM INC COM 008916108 170.6023 2,275.000 SH DEFINED 2,275.000
AIR PRODUCTS & CHEMICALS COM 009158106 41.4100 500.000 SH DEFINED 500.000
AKEENA SOLAR INC COM 009720103 2.6363 4,200.000 SH DEFINED 4,200.000
ALCOA INC COM 013817101 724.2194 59,803.419 SH DEFINED 59,803.419
ALCATEL-LUCENT ADR ADR 013904305 0.4022 119.000 SH DEFINED 119.000
ALEXANDER AND BALDWIN COM 014482103 6.9680 200.000 SH DEFINED 200.000
ALTERA CORPORATION COM 021441100 35.0761 1,163.000 SH DEFINED 1,163.000
AMAZON COM INC COM 023135106 20.4178 130.000 SH DEFINED 130.000
AMERICAN ELECTRIC POWER COM 025537101 54.3450 1,500.000 SH DEFINED 1,500.000
AMERICAN EXPRESS COMPANY COM 025816109 73.9728 1,760.000 SH DEFINED 1,760.000
AMERICAN INTL GROUP INC COM 026874784 5.5131 141.000 SH DEFINED 141.000
AMGEN INC COM 031162100 218.9520 3,973.000 SH DEFINED 3,973.000
AMYLIN PHARMACEUTICALS COM 032346108 20.8500 1,000.000 SH DEFINED 1,000.000
ANADARKO PETROLEUM CORP COM 032511107 20.9944 368.000 SH DEFINED 368.000
APACHE CORP COMMON COM 037411105 290.0863 2,967.331 SH DEFINED 2,967.331
APOLLO GROUP INC CL A COM 037604105 45.1880 880.000 SH DEFINED 880.000
APPLE INC COM 037833100 1188.9125 4,190.000 SH DEFINED 4,190.000
APPLIED MATERIALS INC COM 038222105 184.7690 15,819.266 SH DEFINED 15,819.266
APTARGROUP INC COM 038336103 325.1704 7,120.000 SH DEFINED 7,120.000
ARCHER DANIELS 6.25% PFD UNIT 039483201 28.9380 700.000 SH DEFINED 700.000
ASHLAND INC NEW COM 044209104 360.1665 7,385.000 SH DEFINED 7,385.000
ATLAS PIPELINE UNIT 049392103 52.6200 3,000.000 SH DEFINED 3,000.000
AUTOMATIC DATA COM 053015103 72.5858 1,727.000 SH DEFINED 1,727.000
AVALONBAY COMMUNITIES COM 053484101 7.7948 75.000 SH DEFINED 75.000
BP PLC SPONS ADR ADR 055622104 482.1007 11,710.000 SH DEFINED 11,710.000
B P PRUDHOE BAY UNIT 055630107 281.6288 2,725.000 SH DEFINED 2,725.000
BAKER HUGHES INC COM 057224107 61.7700 1,450.000 SH DEFINED 1,450.000
BALL CORP COM 058498106 6.8855 117.000 SH DEFINED 117.000
BANK OF AMERICA CORP COM 060505104 451.7741 34,480.000 SH DEFINED 34,480.000
BANK OF HAWAII CORP COM 062540109 13.2065 294.000 SH DEFINED 294.000
BARRICK GOLD CORP COM 067901108 50.9190 1,100.000 SH DEFINED 1,100.000
BAXTER INTERNATIONAL INC COM 071813109 4.7710 100.000 SH DEFINED 100.000
BECTON DICKINSON & CO COM 075887109 88.9200 1,200.000 SH DEFINED 1,200.000
BED BATH & BEYOND INC COM 075896100 8.2479 190.000 SH DEFINED 190.000
BEMIS CO INC COM 081437105 37.7825 1,190.000 SH DEFINED 1,190.000
BERKSHIRE HATHAWAY INC COM 084670108 249.0000 2.000 SH DEFINED 2.000
BERKSHIRE HATHAWAY INC COM 084670702 338.9880 4,100.000 SH DEFINED 4,100.000
BLACKROCK GLOBAL COM 092501105 20.3209 1,102.000 SH DEFINED 1,102.000
BOEING CO COM 097023105 444.4872 6,680.000 SH DEFINED 6,680.000
BOSTON SCIENTIFIC CORP COM 101137107 34.9410 5,700.000 SH DEFINED 5,700.000
BREITBURN ENERGY PRTNRS COM 106776107 552.6675 30,250.000 SH DEFINED 30,250.000
BRISTOL MYERS SQUIBB COM 110122108 381.9528 14,089.000 SH DEFINED 14,089.000
BROCADE COMMUNICATIONS COM 111621306 13.4780 2,300.000 SH DEFINED 2,300.000
BUCYRUS INTERNATIONAL COM 118759109 6.9350 100.000 SH DEFINED 100.000
CF INDUSTRIES HOLDINGS COM 125269100 33.4250 350.000 SH DEFINED 350.000
CVS CAREMARK CORP COM 126650100 744.3428 23,652.457 SH DEFINED 23,652.457
CALAMOS STRATEGIC * COM 128125101 26.4600 3,000.000 SH DEFINED 3,000.000
CALIFORNIA WTR SVC GR COM 130788102 20.6920 560.000 SH DEFINED 560.000
CAMPBELL SOUP COMPANY COM 134429109 2.7528 77.000 SH DEFINED 77.000
CANADIAN NATL RY CO COM 136375102 237.8343 3,715.000 SH DEFINED 3,715.000
CARDIUM THERAPEUTICS INC COM 141916106 1.6950 3,000.000 SH DEFINED 3,000.000
CATERPILLAR INC COM 149123101 1251.4054 15,905.000 SH DEFINED 15,905.000
CELL THERAPEUTICS INC COM 150934503 0.0194 50.000 SH DEFINED 50.000
CELGENE CORP COM 151020104 214.5973 3,725.000 SH DEFINED 3,725.000
CENTRAL FUND CDA LTD FCO 153501101 35.6900 2,150.000 SH DEFINED 2,150.000
CHESAPEAKE ENERGY CORP COM 165167107 33.9750 1,500.000 SH DEFINED 1,500.000
CHEVRON CORPORATION COM 166764100 2282.7351 28,164.529 SH DEFINED 28,164.529
CHICAGO BRIDGE AND COM 167250109 182.8860 7,480.000 SH DEFINED 7,480.000
CHUBB CORP COM 171232101 207.5006 3,641.000 SH DEFINED 3,641.000
CIRRUS LOGIC INC COM 172755100 6.6900 375.000 SH DEFINED 375.000
CITIGROUP INC COM 172967101 63.2834 16,185.000 SH DEFINED 16,185.000
CLOROX COMPANY COM 189054109 2.7372 41.000 SH DEFINED 41.000
COACH INC COM 189754104 4.2960 100.000 SH DEFINED 100.000
COCA-COLA COMPANY COM 191216100 214.3002 3,662.000 SH DEFINED 3,662.000
COCA-COLA ENTERPRISESCHG COM 191219104 1.3330 43.000 SH DEFINED 43.000
COLGATE-PALMOLIVE CO COM 194162103 689.7502 8,974.112 SH DEFINED 8,974.112
COMPANIA DE MINAS ADR 204448104 4.5180 100.000 SH DEFINED 100.000
COPANO ENERGY LLC COM 217202100 355.5432 12,995.000 SH DEFINED 12,995.000
COPART INC COM 217204106 21.4305 650.000 SH DEFINED 650.000
CUMMINS INC COM 231021106 7.9710 88.000 SH DEFINED 88.000
CUSHING MLP TOTAL RETURN COM 231631102 387.7851 46,110.000 SH DEFINED 46,110.000
CYPRESS SEMICONDUCTOR COM 232806109 31.4500 2,500.000 SH DEFINED 2,500.000
DELUXE CORP COM 248019101 18.1735 950.000 SH DEFINED 950.000
DISNEY WALT COMPANY COM 254687106 25.6525 775.000 SH DEFINED 775.000
RR DONNELLEY & SONS CO COM 257867101 2.5610 151.000 SH DEFINED 151.000
DOW CHEMICAL COMPANY COM 260543103 26.9108 980.000 SH DEFINED 980.000
DU PONT E.I. DE NEMOURS COM 263534109 949.5136 21,280.000 SH DEFINED 21,280.000
DURECT CORPORATION COM 266605104 80.5180 31,700.000 SH DEFINED 31,700.000
E M C CORP MASS COM 268648102 47.5254 2,340.000 SH DEFINED 2,340.000
EATON CORPORATION COM 278058102 2.1447 26.000 SH DEFINED 26.000
EATON VANCE ENHANCED COM 278277108 17.7788 1,375.000 SH DEFINED 1,375.000
EBAY INC COM 278642103 4.1480 170.000 SH DEFINED 170.000
EBIX INC COM 278715206 46.3138 1,975.000 SH DEFINED 1,975.000
ECOLAB INC COM 278865100 621.8694 12,256.000 SH DEFINED 12,256.000
EDGAR ONLINE INC COM 279765101 3.6597 3,000.000 SH DEFINED 3,000.000
EDISON INTL COM 281020107 8.5975 250.000 SH DEFINED 250.000
EL PASO PIPELINE COM 283702108 44.8980 1,400.000 SH DEFINED 1,400.000
ELDORADO GOLD CORP NEW COM 284902103 46.2250 2,500.000 SH DEFINED 2,500.000
EMCORE CORP COM 290846104 0.8010 1,000.000 SH DEFINED 1,000.000
EMERSON ELECTRIC CO COM 291011104 646.4542 12,276.000 SH DEFINED 12,276.000
ENCANA CORP COM 292505104 21.1610 700.000 SH DEFINED 700.000
ENTERPRISE PRODUCTS COM 293792107 264.7576 6,674.000 SH DEFINED 6,674.000
EXPEDITORS INTL WASH INC COM 302130109 26.4898 573.000 SH DEFINED 573.000
EXPRESS SCRIPTS INC COM 302182100 4.8700 100.000 SH DEFINED 100.000
FX ENERGY INC COM 302695101 2.4426 590.000 SH DEFINED 590.000
FIRST SOLAR INC COM 336433107 11.0513 75.000 SH DEFINED 75.000
FIRST TRUST NASDAQ100ETF FCE 337345102 8.6899 384.000 SH DEFINED 384.000
FLUOR CORP (NEW) W99 343412102 150.3236 3,035.000 SH DEFINED 3,035.000
FOMENTO ECONOMICO FCE 344419106 29.1698 575.000 SH DEFINED 575.000
FORD MOTOR CO DEL WTS W99 345370134 12.8700 3,000.000 SH DEFINED 3,000.000
FORD MOTOR COMPANY FCE 345370860 132.8040 10,850.000 SH DEFINED 10,850.000
FORD CAP TR II 6.50% FCE 345395206 43.3586 905.000 SH DEFINED 905.000
FOREST OIL CORP NEW FCE 346091705 2.9700 100.000 SH DEFINED 100.000
FORTUNE BRANDS INC FCE 349631101 49.2300 1,000.000 SH DEFINED 1,000.000
FRANKLIN RESOURCES INC FCE 354613101 131.4870 1,230.000 SH DEFINED 1,230.000
ARTHUR J GALLAGHER & CO FCE 363576109 15.8220 600.000 SH DEFINED 600.000
GENL DYNAMICS CORP COM FCE 369550108 99.9935 1,592.000 SH DEFINED 1,592.000
GENERAL ELECTRIC COMPANY FCD 369604103 1396.7038 85,951.000 SH DEFINED 85,951.000
GENERAL GROWTH CHG FCD 370021107 166.1088 10,648.000 SH DEFINED 10,648.000
GENTEX CORPORATION FCE 371901109 12.9451 663.000 SH DEFINED 663.000
GILEAD SCIENCES INC FCD 375558103 108.6105 3,050.000 SH DEFINED 3,050.000
GLADSTONE CAPITAL CORP FCE 376535100 31.2743 2,775.000 SH DEFINED 2,775.000
GUESS? INC FCE 401617105 467.0419 11,495.000 SH DEFINED 11,495.000
HSBC HOLDINGS PLC-SPON FCE 404280406 28.1786 557.000 SH DEFINED 557.000
HSBC HOLDINGS PLC 6.2% FCE 404280604 41.4800 1,700.000 SH DEFINED 1,700.000
HALLIBURTON COMPANY FCD 406216101 119.0520 3,600.000 SH DEFINED 3,600.000
HAWAIIAN ELEC INDS INC FCD 419870100 22.5400 1,000.000 SH DEFINED 1,000.000
HEWLETT-PACKARD COMPANY FCE 428236103 1086.7102 25,831.000 SH DEFINED 25,831.000
HOME DEPOT INC FCE 437076102 871.8045 27,519.082 SH DEFINED 27,519.082
HONEYWELL INTERNATIONAL FCE 438516106 379.5098 8,637.000 SH DEFINED 8,637.000
HUGOTON ROYALTY TRUST FCE 444717102 40.3198 2,017.000 SH DEFINED 2,017.000
IAMGOLD CORPORATION FCE 450913108 32.7635 1,850.000 SH DEFINED 1,850.000
ILLINOIS TOOL WORKS INC FCE 452308109 91.2188 1,940.000 SH DEFINED 1,940.000
ING GROEP N V FCE 456837103 62.9748 6,120.000 SH DEFINED 6,120.000
INTEL CORP FCE 458140100 2167.3824 112,884.503 SH DEFINED 112,884.503
INTERCLICK INC FCE 458483203 40.5000 10,000.000 SH DEFINED 10,000.000
INTERNATIONAL BUSINESS FCE 459200101 1631.0159 12,159.057 SH DEFINED 12,159.057
INTERNATIONAL PAPER CO FCE 460146103 241.6425 11,110.000 SH DEFINED 11,110.000
IROBOT CORP FCE 462726100 18.5700 1,000.000 SH DEFINED 1,000.000
ISHARES GOLD TRUST FCE 464285105 13.8240 1,080.000 SH DEFINED 1,080.000
ISHARES MSCI AUSTRALIA FCE 464286103 29.0815 1,225.000 SH DEFINED 1,225.000
ISHARES MSCI BRAZIL FCE 464286400 38.4740 500.000 SH DEFINED 500.000
ISHARES MSCI CANADA FCE 464286509 16.1453 576.000 SH DEFINED 576.000
ISHARES MSCI BRIC ETF FCE 464286657 16.4294 344.000 SH DEFINED 344.000
ISHARES MSCI PACIFIC FCE 464286665 26.5800 600.000 SH DEFINED 600.000
ISHARES MSCI GERMANY FCE 464286806 28.3360 1,288.000 SH DEFINED 1,288.000
ISHARES MSCI JAPAN ETF FCE 464286848 7.4236 751.000 SH DEFINED 751.000
ISHARES TR FCE 464287101 84.9750 1,650.000 SH DEFINED 1,650.000
ISHARES DOW JONES SELECT FCE 464287168 87.9187 1,877.000 SH DEFINED 1,877.000
ISHARES BARCLAYS TIPS FCD 464287176 160.8635 1,475.000 SH DEFINED 1,475.000
ISHARES BARCLAYS FCD 464287226 110.7144 1,019.000 SH DEFINED 1,019.000
ISHARES TR MSCI FCE 464287234 89.0923 1,990.000 SH DEFINED 1,990.000
ISHARES IBOXX INV ETF FCD 464287242 167.8634 1,484.335 SH DEFINED 1,484.335
ISHARES S&P 500 GROWTH FCE 464287309 347.0177 5,845.000 SH DEFINED 5,845.000
ISHARES S&P NORTH FCE 464287374 20.1492 580.000 SH DEFINED 580.000
ISHARES S&P LATIN FCE 464287390 20.2160 400.000 SH DEFINED 400.000
ISHARES S&P 500 VALUE FCE 464287408 319.3698 5,887.000 SH DEFINED 5,887.000
ISHARES BARCLAYS ETF FCD 464287440 51.4852 520.000 SH DEFINED 520.000
ISHARES BARCLAYS ETF FCD 464287457 47.9222 568.000 SH DEFINED 568.000
ISHARES MSCI EAFE INDEX FCE 464287465 351.5429 6,401.000 SH DEFINED 6,401.000
ISHARES S&P NORTH FCE 464287515 22.2998 430.000 SH DEFINED 430.000
ISHARES PHLX SOX FCE 464287523 21.7626 460.000 SH DEFINED 460.000
ISHARES S&P NORTH FCE 464287531 49.1039 1,655.000 SH DEFINED 1,655.000
ISHARES S&P NORTH FCE 464287549 20.7936 380.000 SH DEFINED 380.000
ISHARES NASDAQ BIOTECH FCE 464287556 68.9920 800.000 SH DEFINED 800.000
ISHARES COHEN & STEER FCE 464287564 354.6824 5,729.000 SH DEFINED 5,729.000
ISHARES TR CONSUMER FCE 464287580 26.1636 428.000 SH DEFINED 428.000
ISHARES S&P MIDCAP FCE 464287606 213.3452 2,423.000 SH DEFINED 2,423.000
ISHARES TR -RUSSELL FCE 464287655 5.0625 75.000 SH DEFINED 75.000
ISHARES TR -DOW JONES FCE 464287697 16.9208 222.000 SH DEFINED 222.000
ISHARES S&P MIDCAP FCE 464287705 159.5708 2,244.000 SH DEFINED 2,244.000
ISHARES TR -DOW JONES TIPS 464287713 8.4545 388.000 SH DEFINED 388.000
ISHARES TR -DOW JONES FCE 464287721 106.2705 1,837.000 SH DEFINED 1,837.000
ISHARES TR -DOW JONES FCE 464287739 57.1104 1,080.000 SH DEFINED 1,080.000
ISHARES TR -DOW JONES FCE 464287754 12.8827 223.000 SH DEFINED 223.000
ISHARES TR -DOW JONES FCE 464287762 18.9787 300.000 SH DEFINED 300.000
ISHARES TR -DOW JONES FCE 464287770 18.3600 360.000 SH DEFINED 360.000
ISHARES TR -DOW JONES FCE 464287788 31.0278 596.000 SH DEFINED 596.000
ISHARES TR -DOW JONES FCE 464287796 17.0319 526.000 SH DEFINED 526.000
ISHARE TR -S&P FCE 464287804 64.8217 1,097.000 SH DEFINED 1,097.000
ISHARES TR -DOW JONES FCE 464287812 37.8799 639.000 SH DEFINED 639.000
ISHARES TR-DOW JONES ETF FCE 464287838 27.7737 430.000 SH DEFINED 430.000
ISHARES S&P SMALLCAP FCE 464287879 96.0527 1,545.000 SH DEFINED 1,545.000
ISHARES S&P SMALLCAP FCE 464287887 103.6377 1,659.000 SH DEFINED 1,659.000
ISHARES MSCI ALL ETF FCE 464288182 85.3796 1,411.000 SH DEFINED 1,411.000
ISHARES IBOXX $ YIELDETF FCD 464288513 54.6212 609.000 SH DEFINED 609.000
ISHARES BARCLAYS FCD 464288588 6.3295 58.000 SH DEFINED 58.000
ISHARES BARCLAYS FCD 464288646 35.6102 339.000 SH DEFINED 339.000
ISHARES S&P U.S. FCE 464288687 242.3795 6,093.000 SH DEFINED 6,093.000
ISHARES MSCI EAFE VALUE FCE 464288877 50.3631 1,035.000 SH DEFINED 1,035.000
ITC HOLDINGS CORP COM 465685105 361.3613 5,805.000 SH DEFINED 5,805.000
JACOBS ENGINEERNG GROUP COM 469814107 411.8841 10,643.000 SH DEFINED 10,643.000
JOHNSON & JOHNSON COM 478160104 1218.8293 19,671.228 SH DEFINED 19,671.228
JOHNSON CONTROLS INC COM 478366107 914.3290 29,978.000 SH DEFINED 29,978.000
KLA-TENCOR CORP COM 482480100 46.7854 1,328.000 SH DEFINED 1,328.000
KAYNE ANDERSON MLP COM 486606106 46.8027 1,785.000 SH DEFINED 1,785.000
KELLOGG COMPANY COM 487836108 4.0408 80.000 SH DEFINED 80.000
KIMBERLY-CLARK CORP COM 494368103 61.0169 938.000 SH DEFINED 938.000
KINDER MORGAN ENERGY COM 494550106 261.2424 3,813.758 SH DEFINED 3,813.758
KOHLS CORP COM 500255104 66.9036 1,270.000 SH DEFINED 1,270.000
LKQ CORP COM 501889208 22.2560 1,070.000 SH DEFINED 1,070.000
LEGACY RESERVES LP UNIT 524707304 48.5802 1,970.000 SH DEFINED 1,970.000
LINCOLN ELECTRIC HLDGS COM 533900106 17.3460 300.000 SH DEFINED 300.000
LINN ENERGY LLC UNITS UNIT 536020100 15.9800 500.000 SH DEFINED 500.000
LOWES COMPANIES INC COM 548661107 642.5182 28,825.403 SH DEFINED 28,825.403
LULULEMON ATHLETICA INC COM 550021109 6.0372 135.000 SH DEFINED 135.000
MDU RESOURCES GROUP INC COM 552690109 37.5060 1,880.000 SH DEFINED 1,880.000
MVC CAPITAL INC COM 553829102 14.2670 1,100.000 SH DEFINED 1,100.000
MAJESCO ENTERTAINMENT CO COM 560690208 50.4959 76,509.000 SH DEFINED 76,509.000
MARKWEST ENERGY PARTNERS COM 570759100 428.3482 11,925.061 SH DEFINED 11,925.061
MARSH AND MC LENNAN COM 571748102 36.1800 1,500.000 SH DEFINED 1,500.000
MARRIOTT INTL INC NEW COM 571903202 21.7130 606.000 SH DEFINED 606.000
MARTEK BIOSCIENCES CORP COM 572901106 131.9329 5,830.000 SH DEFINED 5,830.000
MARTIN MIDSTREAM PARTNER UNIT 573331105 9.7950 300.000 SH DEFINED 300.000
MASSMUTUAL FCO 576299101 22.1280 1,600.000 SH DEFINED 1,600.000
MCDERMOTT INTL INC COM 580037109 14.7800 1,000.000 SH DEFINED 1,000.000
MCDONALDS CORP COM 580135101 587.5114 7,885.000 SH DEFINED 7,885.000
MCGRAW-HILL COMPANIES COM 580645109 278.5636 8,426.000 SH DEFINED 8,426.000
MCMORAN EXPLORAT 6.75% PUT 582411500 29.6250 250.000 SH DEFINED 250.000
MEDTRONIC INC COM 585055106 163.4339 4,867.000 SH DEFINED 4,867.000
MERCURY GENERAL CORP NEW COM 589400100 12.2610 300.000 SH DEFINED 300.000
METTLER-TOLEDO INTL IN COM 592688105 15.5550 125.000 SH DEFINED 125.000
MICROSOFT CORP COM 594918104 1557.8041 63,609.805 SH DEFINED 63,609.805
MOLYCORP INC COM 608753109 14.1450 500.000 SH DEFINED 500.000
MONRO MUFFLER BRAKE INC COM 610236101 13.8330 300.000 SH DEFINED 300.000
MORGAN STANLEY & CO COM 617446448 49.3600 2,000.000 SH DEFINED 2,000.000
MORGAN STANLEY CHINA COM 617468103 9.8016 355.000 SH DEFINED 355.000
MORGAN STANLEY COM 617477104 51.3000 3,000.000 SH DEFINED 3,000.000
MOTOROLA INC CHG COM 620076109 10.7478 1,260.000 SH DEFINED 1,260.000
MYLAN INC COM 628530107 46.0845 2,450.000 SH DEFINED 2,450.000
NYSE EURONEXT COM 629491101 725.8209 25,405.000 SH DEFINED 25,405.000
NATIONAL RETAIL PPTYS COM 637417106 50.2200 2,000.000 SH DEFINED 2,000.000
NEW AMER HIGH INCOME FD COM 641876800 23.5117 2,321.000 SH DEFINED 2,321.000
NIKE INC CLASS B COM 654106103 880.9790 10,993.000 SH DEFINED 10,993.000
NORDSTROM INC COM 655664100 13.0200 350.000 SH DEFINED 350.000
NORFOLK SOUTHERN CORP COM 655844108 29.7550 500.000 SH DEFINED 500.000
NORTH AMERN PALLADIUM COM 656912102 24.8400 6,000.000 SH DEFINED 6,000.000
NORTHEAST UTILITIES COM 664397106 5.3226 180.000 SH DEFINED 180.000
NUCOR CORP COM 670346105 34.3800 900.000 SH DEFINED 900.000
NUVEEN CALIF SELECT COM 670975101 11.0475 750.000 SH DEFINED 750.000
OASIS PETROLEUM INC COM 674215108 107.9878 5,575.000 SH DEFINED 5,575.000
OCCIDENTAL PETE CORP COM 674599105 149.8662 1,914.000 SH DEFINED 1,914.000
ON SEMI CONDUCTOR CORP COM 682189105 131.5825 18,250.000 SH DEFINED 18,250.000
OWENS ILLINOIS INC NEW COM 690768403 5.6120 200.000 SH DEFINED 200.000
PACCAR INC COM 693718108 152.2503 3,162.000 SH DEFINED 3,162.000
PACKAGING CORP OF AMER COM 695156109 64.8760 2,800.000 SH DEFINED 2,800.000
PAYCHEX INC COM 704326107 98.2980 3,575.774 SH DEFINED 3,575.774
PEABODY ENERGY CORP COM 704549104 177.7088 3,625.971 SH DEFINED 3,625.971
PENGROWTH ENERGY TR CHG UNIT 706902509 8.6268 780.000 SH DEFINED 780.000
PENNEY J C CO INC COM 708160106 0.9513 35.000 SH DEFINED 35.000
PENTAIR INC COM 709631105 493.5203 14,675.000 SH DEFINED 14,675.000
PEPCO HOLDINGS INC COM 713291102 73.4700 3,950.000 SH DEFINED 3,950.000
PEPSICO INCORPORATED COM 713448108 836.7930 12,594.717 SH DEFINED 12,594.717
PFIZER INCORPORATED COM 717081103 706.9427 41,173.136 SH DEFINED 41,173.136
PHILIP MORRIS COM 718172109 582.2159 10,393.000 SH DEFINED 10,393.000
PIMCO HIGH INCOME FD COM 722014107 137.1527 10,534.000 SH DEFINED 10,534.000
PINNACLE WEST CAP CORP COM 723484101 16.5080 400.000 SH DEFINED 400.000
PIONEER MUNI HIGH INCOME COM 723762100 28.1600 2,000.000 SH DEFINED 2,000.000
PIONEER NAT RES CO COM 723787107 8.1288 125.000 SH DEFINED 125.000
PITNEY BOWES INC COM 724479100 147.5220 6,900.000 SH DEFINED 6,900.000
PLUM CREEK TIMBER CO INC COM 729251108 12.0020 340.000 SH DEFINED 340.000
POSTROCK ENERGY CORP COM 737525105 15.0452 4,573.000 SH DEFINED 4,573.000
PROCTER & GAMBLE CO COM 742718109 1335.6163 22,271.408 SH DEFINED 22,271.408
PROLOGIS TRUST REIT NEW FRO 743410102 500.8507 42,517.039 SH DEFINED 42,517.039
QUALCOMM INC COM 747525103 20.3096 450.000 SH DEFINED 450.000
RAYTHEON COMPANY COM 755111507 9.1420 200.000 SH DEFINED 200.000
REDWOOD TRUST INC COM 758075402 127.2480 8,800.000 SH DEFINED 8,800.000
REPUBLIC SVCS INC COM 760759100 53.3575 1,750.000 SH DEFINED 1,750.000
RINO INTL CORP COM 766883102 13.9500 1,000.000 SH DEFINED 1,000.000
RIO TINTO PLC ADR 767204100 58.7300 1,000.000 SH DEFINED 1,000.000
ROYAL DUTCH SHELL PLC ADR 780259107 6.2678 106.613 SH DEFINED 106.613
ROYCE VALUE TRUST INC COM 780910105 100.8834 8,310.000 SH DEFINED 8,310.000
RYLAND GROUP INC COM 783764103 1.0752 60.000 SH DEFINED 60.000
SEI INVESTMENTS CO COM 784117103 10.2107 502.000 SH DEFINED 502.000
SAN JUAN BASIN RTY TR UNIT 798241105 4.9420 200.000 SH DEFINED 200.000
SANGAMO BIOSCIENCES INC COM 800677106 6.8600 2,000.000 SH DEFINED 2,000.000
SARA LEE CORP COM 803111103 6.7150 500.000 SH DEFINED 500.000
SCHLUMBERGER LTD COM 806857108 1508.2744 24,481.000 SH DEFINED 24,481.000
SEMPRA ENERGY COM 816851109 236.2896 4,392.000 SH DEFINED 4,392.000
SERVICE CORP INTERNATL COM 817565104 11.3439 1,316.000 SH DEFINED 1,316.000
SHERWIN WILLIAMS CO COM 824348106 6.0112 80.000 SH DEFINED 80.000
SIEMENS A G - ADR ADR 826197501 21.0800 200.000 SH DEFINED 200.000
SIGMA ALDRICH CORP COM 826552101 28.9824 480.000 SH DEFINED 480.000
SIGA TECHNOLOGIES INC COM 826917106 4496.2785 531,475.000 SH DEFINED 531,475.000
SILVER WHEATON CORP COM 828336107 151.9050 5,700.000 SH DEFINED 5,700.000
SKYSTAR COM 830884300 7.6440 1,200.000 SH DEFINED 1,200.000
J M SMUCKER CO COM 832696405 7.8689 130.000 SH DEFINED 130.000
SNAP-ON INC COM 833034101 27.1618 584.000 SH DEFINED 584.000
THE SOUTHERN COMPANY COM 842587107 77.0868 2,070.000 SH DEFINED 2,070.000
STANLEY BLACK & DECKER COM 854502101 162.6984 2,655.000 SH DEFINED 2,655.000
STATE STR CORP COM 857477103 625.8715 16,619.000 SH DEFINED 16,619.000
STEEL DYNAMICS INC COM 858119100 3.5275 250.000 SH DEFINED 250.000
STRYKER CORP COM 863667101 272.7725 5,450.000 SH DEFINED 5,450.000
SYMANTEC CORP COM 871503108 28.6562 1,894.000 SH DEFINED 1,894.000
SYNOPSYS CORP COM 871607107 10.5273 425.000 SH DEFINED 425.000
SYSCO CORPORATION COM 871829107 194.4494 6,818.000 SH DEFINED 6,818.000
TCW STRATEGIC INCOME FD COM 872340104 5.3000 1,000.000 SH DEFINED 1,000.000
TECK RESOURCES LTD COM 878742204 224.3220 5,450.000 SH DEFINED 5,450.000
TEMPLETON EMERGING COM 880192109 33.9600 2,000.000 SH DEFINED 2,000.000
TEMPLETON GLOBAL INCOME COM 880198106 21.5600 2,000.000 SH DEFINED 2,000.000
TENNECO INC COM 880349105 259.4264 8,955.000 SH DEFINED 8,955.000
TESORO CORPORATION COM 881609101 6.6800 500.000 SH DEFINED 500.000
TEVA PHARMACEUTICAL ADR 881624209 1087.8741 20,623.205 SH DEFINED 20,623.205
TEXTRON INC COM 883203101 63.7360 3,100.000 SH DEFINED 3,100.000
TITANIUM METALS CORP COM 888339207 5.2894 265.000 SH DEFINED 265.000
TIVO INC COM 888706108 18.1200 2,000.000 SH DEFINED 2,000.000
TRANSDIGM GROUP INC COM 893641100 88.4213 1,425.000 SH DEFINED 1,425.000
TRAVELCENTERS OF AMER COM 894174101 0.1380 40.000 SH DEFINED 40.000
TRICO BANCSHARES COM 896095106 6.7013 436.000 SH DEFINED 436.000
TRINITY INDUSTRIES INC COM 896522109 1.1135 50.000 SH DEFINED 50.000
II-VI INC COM 902104108 11.1990 300.000 SH DEFINED 300.000
US BANCORP NEW COM 902973304 31.8895 1,475.000 SH DEFINED 1,475.000
UQM TECHNOLOGIES INC COM 903213106 351.2960 137,225.000 SH DEFINED 137,225.000
ULTRA PETROLEUM CORP COM 903914109 104.5302 2,490.000 SH DEFINED 2,490.000
UNION PACIFIC CORP COM 907818108 4.9080 60.000 SH DEFINED 60.000
UNITED PARCEL SERVICE-B COM 911312106 487.1705 7,305.000 SH DEFINED 7,305.000
UNITED TECHNOLOGIES CORP COM 913017109 1056.5171 14,832.473 SH DEFINED 14,832.473
VANGUARD MEGA CAP 300 INDEX 921910873 59.7327 1,532.000 SH DEFINED 1,532.000
VANGUARD LONG TERM BOND FCE 921937793 20.2842 236.000 SH DEFINED 236.000
VANGUARD INTERMEDIATE FCE 921937819 200.1204 2,307.661 SH DEFINED 2,307.661
VANGUARD SHORT TERM BOND FCD 921937827 237.2385 2,902.000 SH DEFINED 2,902.000
VANGUARD EUROPE ETF ETF 921943858 515.2110 14,925.000 SH DEFINED 14,925.000
VANGUARD EMERGING ETF 922042858 439.4618 9,667.000 SH DEFINED 9,667.000
VANGUARD PACIFIC ETF ETF 922042866 375.3884 6,971.000 SH DEFINED 6,971.000
VANGUARD EUROPEAN ETF ETF 922042874 724.4664 14,870.000 SH DEFINED 14,870.000
VEECO INSTRUMENTS INC COM 922417100 347.6539 9,970.000 SH DEFINED 9,970.000
VANGUARD MID-CAP VALUE FCE 922908512 351.8439 7,262.000 SH DEFINED 7,262.000
VANGUARD MID-CAP ETF FCE 922908538 330.2264 6,104.000 SH DEFINED 6,104.000
VANGUARD REIT ETF ETF 922908553 284.0964 5,455.000 SH DEFINED 5,455.000
VANGUARD SMALL CAP ETF 922908595 396.5322 5,937.000 SH DEFINED 5,937.000
VANGUARD SMALL CAP VALUE ETF 922908611 382.5576 6,408.000 SH DEFINED 6,408.000
VANGUARD MID CAP ETF ETF 922908629 15.5829 235.000 SH DEFINED 235.000
VANGUARD GROWTH ETF ETF 922908736 322.5933 5,868.000 SH DEFINED 5,868.000
VANGUARD VALUE ETF ETF 922908744 313.3845 6,435.000 SH DEFINED 6,435.000
VANGUARD SMALL CAP ETF ETF 922908751 15.1622 239.000 SH DEFINED 239.000
VMWARE INC CLASS A COM 928563402 31.0880 366.000 SH DEFINED 366.000
WAL-MART STORES INC COM 931142103 110.8575 2,071.328 SH DEFINED 2,071.328
WALGREEN COMPANY COM 931422109 69.6088 2,077.876 SH DEFINED 2,077.876
WASHINGTON FED INC COM 938824109 41.2102 2,697.000 SH DEFINED 2,697.000
WELLS FARGO COMPANY COM 949746101 960.4745 38,243.062 SH DEFINED 38,243.062
WESCO FINANCIAL CORP COM 950817106 17.9075 50.000 SH DEFINED 50.000
WESTAMERICA BANCORP COM 957090103 38.6879 710.000 SH DEFINED 710.000
WILLIAMS COMPANIES COM 969457100 9.8990 518.000 SH DEFINED 518.000
WILMINGTON TRUST CORP COM 971807102 7.1840 800.000 SH DEFINED 800.000
YAHOO INC COM 984332106 7.0850 500.000 SH DEFINED 500.000
YUM BRANDS INC COM 988498101 4.6060 100.000 SH DEFINED 100.000
THE ZWEIG TOTAL RETURN COM 989837109 4.4768 1,175.000 SH DEFINED 1,175.000
GLOBAL X FUNDS ETF ETF 37950E105 22.6149 1,210.000 SH DEFINED 1,210.000
NUVEEN INVESTMENT COM 67062E103 30.6400 2,000.000 SH DEFINED 2,000.000
AMERISOURCEBERGEN CORP COM 03073E105 22.6884 740.000 SH DEFINED 740.000
SALLY BEAUTY CO INC COM 79546E104 72.8000 6,500.000 SH DEFINED 6,500.000
VALE S A ADR ADR 91912E105 237.3393 7,590.000 SH DEFINED 7,590.000
CLOUGH GLOBAL FCE 18914E106 20.2373 1,596.000 SH DEFINED 1,596.000
TARGET CORP COM 87612E106 223.3792 4,180.000 SH DEFINED 4,180.000
ING GLOBAL EQUITY DIV COM 45684E107 28.8591 2,490.000 SH DEFINED 2,490.000
FIRST TRUST ETF ETF 33733E203 9.7776 280.000 SH DEFINED 280.000
NEWS CORP INC-CL B COM 65248E203 15.0600 1,000.000 SH DEFINED 1,000.000
VALE SA-SP PREF ADR FD ADR 91912E204 19.4250 700.000 SH DEFINED 700.000
FIRST TRUST DOW JONES FCE 33733E302 9.8728 328.000 SH DEFINED 328.000
AMB PPTY CORP COM 00163T109 169.1433 6,390.000 SH DEFINED 6,390.000
AT & T INC COM 00206R102 1745.1720 61,020.000 SH DEFINED 61,020.000
ADOBE SYSTEMS INC COM 00724F101 466.9083 17,855.000 SH DEFINED 17,855.000
AGILENT TECH INC COM 00846U101 43.3143 1,298.000 SH DEFINED 1,298.000
AKAMAI TECH INC COM 00971T101 60.2160 1,200.000 SH DEFINED 1,200.000
ALLIANCEBERNSTEIN HLDG UNIT 01881G106 412.2601 15,610.000 SH DEFINED 15,610.000
ALTRIA GROUP INC COM 02209S103 63.6530 2,650.000 SH DEFINED 2,650.000
ANHEUSER BUSCH INBEV ADR 03524A108 455.9000 7,760.000 SH DEFINED 7,760.000
APOLLO INVESTMENT CORP COM 03761U106 317.1300 31,000.000 SH DEFINED 31,000.000
APOLLO COMMERCIAL REAL COM 03762U105 96.1790 5,985.000 SH DEFINED 5,985.000
ARES CAPITAL CORP COM 04010L103 426.2278 27,235.000 SH DEFINED 27,235.000
BIO-REFERENCE LABS INC < COM 09057G602 144.6641 6,935.000 SH DEFINED 6,935.000
BLACKROCK LIMITED COM 09249W101 13.4848 784.000 SH DEFINED 784.000
BLACKROCK ENERGY AND COM 09250U101 23.4343 953.000 SH DEFINED 953.000
BLACKSTONE GROUP LP/THE COM 09253U108 139.5900 11,000.000 SH DEFINED 11,000.000
BLACKROK MUNIYIELD COM 09254M105 142.4930 9,700.000 SH DEFINED 9,700.000
BLACKRCK SR HGH INC FD COM 09255T109 4.1895 1,050.000 SH DEFINED 1,050.000
CAMERON INTERNATINL CRP COM 13342B105 17.1840 400.000 SH DEFINED 400.000
CELLDEX THERAPEUTICS INC COM 15117B103 0.8320 208.000 SH DEFINED 208.000
CENOVUS ENERGY INC COM 15135U109 20.1390 700.000 SH DEFINED 700.000
CISCO SYSTEMS INC COM 17275R102 997.3260 45,540.000 SH DEFINED 45,540.000
CLEARWIRE CORP CLASS A COM 18538Q105 194.1600 24,000.000 SH DEFINED 24,000.000
COHEN & STEERS TOTAL COM 19247R103 76.4664 6,330.000 SH DEFINED 6,330.000
COMCAST CORP NEW CL A COM 20030N101 8.1360 450.000 SH DEFINED 450.000
CONOCOPHILLIPS COM 20825C104 112.4479 1,958.000 SH DEFINED 1,958.000
CORELOGIC INC COM 21871D103 105.3800 5,500.000 SH DEFINED 5,500.000
COSTCO WHSL CORP NEW COM 22160K105 316.1847 4,902.848 SH DEFINED 4,902.848
DNP SELECT INCOME FD COM 23325P104 85.1999 8,685.000 SH DEFINED 8,685.000
DEVON ENERGY CORP NEW COM 25179M103 783.3540 12,100.000 SH DEFINED 12,100.000
DIAGEO PLC ADR 25243Q205 23.3254 338.000 SH DEFINED 338.000
DIGIMARC CORP COM 25381B101 140.4081 5,985.000 SH DEFINED 5,985.000
DOMINION RES INC VA NEW COM 25746U109 1273.8431 29,176.434 SH DEFINED 29,176.434
DORCHESTER MINERALS LP COM 25820R105 26.8900 1,000.000 SH DEFINED 1,000.000
DUKE ENERGY CORP COM 26441C105 82.3515 4,650.000 SH DEFINED 4,650.000
DYNEX CAP INC COM 26817Q506 1135.9964 105,380.000 SH DEFINED 105,380.000
EATON VANCE CALIFORNIA COM 27828A100 53.2000 4,000.000 SH DEFINED 4,000.000
ECHELON CORP COM 27874N105 22.4438 2,625.000 SH DEFINED 2,625.000
ENERGY TRANSFER PARTNERS UNIT 29273R109 28.9680 600.000 SH DEFINED 600.000
ENERGY TRANSFER EQUITY COM 29273V100 14.8480 400.000 SH DEFINED 400.000
ENTERGY CORP NEW COM 29364G103 108.6726 1,420.000 SH DEFINED 1,420.000
EQUITY RESIDENTIAL FRO 29476L107 26.9722 567.000 SH DEFINED 567.000
EXELON CORPORATION COM 30161N101 7.2386 170.000 SH DEFINED 170.000
EXXON MOBIL CORP COM 30231G102 1991.0539 32,222.914 SH DEFINED 32,222.914
FEDEX CORPORATION COM 31428X106 282.6630 3,306.000 SH DEFINED 3,306.000
FIFTH STREET FINANCE COM 31678A103 16.7100 1,500.000 SH DEFINED 1,500.000
FIRST AMERICAN FINL CORP COM 31847R102 8.9640 600.000 SH DEFINED 600.000
FIRST TRUST NASDAQ-100 FCE 33733E401 8.7935 454.000 SH DEFINED 454.000
FIRST TRUST S&P REIT ETF COM 33734G108 9.8129 708.000 SH DEFINED 708.000
FIRST TR VALUE LINE FCE 33734H106 14.2300 1,000.000 SH DEFINED 1,000.000
FIRST TRUST ISE-REVERE COM 33734J102 80.4580 4,900.000 SH DEFINED 4,900.000
FIRST TRUST CONSUMER ETF FCE 33734X119 8.8852 458.000 SH DEFINED 458.000
FIRST TRUST ENERGY ETF FCE 33734X127 7.8022 456.000 SH DEFINED 456.000
FIRST TRUST ETF FCE 33734X135 8.7425 650.000 SH DEFINED 650.000
FIRST TRST HLTH CAREETF FCE 33734X143 8.6851 371.000 SH DEFINED 371.000
FIRST TRUST ETF FCE 33734X150 8.6026 533.000 SH DEFINED 533.000
FIRST TRUST MATERIAL ETF FCE 33734X168 8.6236 414.000 SH DEFINED 414.000
FIRST TRUST TECHNLGY ETF FCE 33734X176 8.7882 453.000 SH DEFINED 453.000
FIRST TRUST ETF FCE 33734X184 8.7264 539.000 SH DEFINED 539.000
FIRST TRUST ISE GLOBAL COM 33736M103 7.8900 200.000 SH DEFINED 200.000
FIRST TRUST EPRA/NAREIT COM 33736N101 9.0860 267.000 SH DEFINED 267.000
FLOWSERVE CORP COM 34354P105 10.9420 100.000 SH DEFINED 100.000
FLY LEASING LTD SPON ADR ADR 34407D109 13.1200 1,000.000 SH DEFINED 1,000.000
FRANKLIN TEMPLETON LTD COM 35472T101 12.6825 950.000 SH DEFINED 950.000
FREEPORT-MCMORAN COPPER COM 35671D857 83.2553 975.000 SH DEFINED 975.000
FRONTIER COMMUNICATIONS COM 35906A108 3.8399 470.000 SH DEFINED 470.000
GABELLI GOLD NATURAL COM 36244N109 135.7087 7,777.000 SH DEFINED 7,777.000
GENVEC INC COM 37246C109 1.2000 2,000.000 SH DEFINED 2,000.000
GENWORTH FINANCIAL INC COM 37247D106 1.8330 150.000 SH DEFINED 150.000
GLAXOSMITHKLINE PLC-ADR ADR 37733W105 3.9520 100.000 SH DEFINED 100.000
GLOBAL PAYMENTS INC COM 37940X102 24.0184 560.000 SH DEFINED 560.000
GOLDMAN SACHS GROUP INC COM 38141G104 809.9081 5,601.799 SH DEFINED 5,601.799
GOOGLE INC CL A COM 38259P508 757.1376 1,440.000 SH DEFINED 1,440.000
HANCOCK JOHN PREMIUM COM 41013T105 17.4150 1,500.000 SH DEFINED 1,500.000
ING PRIME RATE TR FCD 44977W106 282.9161 49,374.530 SH DEFINED 49,374.530
ING CLARION GLOBAL REAL COM 44982G104 64.1750 8,500.000 SH DEFINED 8,500.000
ISTAR FINANCIAL INC COM 45031U101 4.1432 1,354.000 SH DEFINED 1,354.000
ICICI BANK LTD SPON ADR 45104G104 14.9550 300.000 SH DEFINED 300.000
INCYTE CORP COM 45337C102 15.7502 985.000 SH DEFINED 985.000
INVESCO CALIF INSD MUN FCD 46130L109 10.3810 700.000 SH DEFINED 700.000
INVESCO VAN KAMPEN COM 46131M106 2.1988 146.000 SH DEFINED 146.000
I SHARES SILVER TRUST FCE 46428Q109 63.9300 3,000.000 SH DEFINED 3,000.000
JDS UNIPHASE CORP COM 46612J507 1.2390 100.000 SH DEFINED 100.000
JPMORGAN CHASE & CO COM 46625H100 687.8584 18,073.000 SH DEFINED 18,073.000
KKR FINANCIAL HOLDINGS COM 48248A306 56.5256 6,438.000 SH DEFINED 6,438.000
KRAFT FOODS INC CL A COM 50075N104 45.4876 1,474.000 SH DEFINED 1,474.000
LMP CAP & INCOME FUND COM 50208A102 1.1410 100.000 SH DEFINED 100.000
LABORATORY CORP OF < COM 50540R409 23.5290 300.000 SH DEFINED 300.000
LAZARD GLOBAL TOTAL COM 52106W103 27.2622 1,826.000 SH DEFINED 1,826.000
LOCAL.COM CORP COM 53954R105 372.6060 84,300.000 SH DEFINED 84,300.000
MFA FINANCIAL INC COM 55272X102 238.0560 31,200.000 SH DEFINED 31,200.000
MACQUARIE GLOBAL COM 55608D101 8.2600 500.000 SH DEFINED 500.000
MANULIFE FINL CORP COM 56501R106 27.5334 2,180.000 SH DEFINED 2,180.000
MARKET VECTORS ETF ETF 57060U407 11.5472 560.000 SH DEFINED 560.000
MCKESSON CORPORATION COM 58155Q103 41.3926 670.000 SH DEFINED 670.000
MEDCO HEALTH SOLUTIONS COM 58405U102 572.1915 10,991.000 SH DEFINED 10,991.000
MERCK & CO INC NEW COM 58933Y105 585.7943 15,914.000 SH DEFINED 15,914.000
METLIFE INC COM 59156R108 27.2995 710.000 SH DEFINED 710.000
MONSANTO CO NEW COM 61166W101 43.6642 911.000 SH DEFINED 911.000
THE MOSAIC COMPANY COM 61945A107 7.6976 131.000 SH DEFINED 131.000
MYRIAD GENETICS INC COM 62855J104 11.4870 700.000 SH DEFINED 700.000
NIVS INTELLIMEDIA COM 62914U108 122.9430 57,450.000 SH DEFINED 57,450.000
NASDAQ PREMIUM INCOME & COM 63110R105 36.0453 2,700.000 SH DEFINED 2,700.000
NATIONAL HEALTH INVS INC COM 63633D104 11.0150 250.000 SH DEFINED 250.000
NETAPP INC COM 64110D104 49.7900 1,000.000 SH DEFINED 1,000.000
NETSCOUT SYSTEMS INC COM 64115T104 92.2950 4,500.000 SH DEFINED 4,500.000
NFJ DIVIDEND INTEREST & COM 65337H109 48.0050 3,046.000 SH DEFINED 3,046.000
NEXTERA ENERGY INC COM 65339F101 5.9829 110.000 SH DEFINED 110.000
NISOURCE INC COM 65473P105 19.1400 1,100.000 SH DEFINED 1,100.000
NORTHSTAR REALTY FINANCE COM 66704R100 7.4800 2,000.000 SH DEFINED 2,000.000
NOVARTIS AG ADR 66987V109 23.6447 410.000 SH DEFINED 410.000
NUSTAR GP HOLDINGS LLC UNIT 67059L102 351.0720 10,350.000 SH DEFINED 10,350.000
NUVEEN CALIF MUN VALUE COM 67062C107 277.1780 29,300.000 SH DEFINED 29,300.000
NUVEEN EQUITY COM 6706ER101 0.0532 4.000 SH DEFINED 4.000
NUVEEN MULTI-STRATEGY COM 67073B106 5.5895 667.000 SH DEFINED 667.000
NUVEEN TAX ADVANTAGED COM 67073G105 12.2500 1,000.000 SH DEFINED 1,000.000
ONCOGENEX PHARMACEUTICAL COM 68230A106 2.9698 200.000 SH DEFINED 200.000
ORACLE CORPORATION COM 68389X105 40.2750 1,500.000 SH DEFINED 1,500.000
P G & E CORPORATION COM 69331C108 3.3611 74.000 SH DEFINED 74.000
PPL CORPORATION COM 69351T106 19.0610 700.000 SH DEFINED 700.000
PENN VIGINIA GP HOLDINGS COM 70788P105 113.0427 4,945.000 SH DEFINED 4,945.000
PETROLEO BRASILEIRO - ADR 71654V408 36.2700 1,000.000 SH DEFINED 1,000.000
PHARMERICA CORP COM 71714F104 0.2859 30.000 SH DEFINED 30.000
PIMCO STRATEGIC GLOBAL COM 72200X104 64.3116 6,124.918 SH DEFINED 6,124.918
PIONEER SOUTHWEST ENERGY UNIT 72388B106 41.2050 1,500.000 SH DEFINED 1,500.000
POTASH CORP OF COM 73755L107 21.6060 150.000 SH DEFINED 150.000
POWER-ONE INC COM 73930R102 22.7250 2,500.000 SH DEFINED 2,500.000
POWERSHRS FINANCIAL ETF 73935X229 7.2780 400.000 SH DEFINED 400.000
POWERSHARES DYNAMIC MID ETF 73935X807 23.1875 1,250.000 SH DEFINED 1,250.000
PRECISION DRILLING CORP COM 74022D308 10.2750 1,500.000 SH DEFINED 1,500.000
PRINCIPAL FINANCIAL COM 74251V102 6.4800 250.000 SH DEFINED 250.000
PROSHARES ULTRA S&P ETF FCE 74347R107 39.3700 1,000.000 SH DEFINED 1,000.000
PROSHARES TRUST ETF FCD 74347X849 6.0375 150.000 SH DEFINED 150.000
PUBLIC STORAGE INC COM 74460D109 12.0330 124.000 SH DEFINED 124.000
RANGE RESOURCES CORP COM 75281A109 11.4390 300.000 SH DEFINED 300.000
SPDR S&P 500 TRUST ETF ETF 78462F103 148.9397 1,305.000 SH DEFINED 1,305.000
SPDR GOLD TRUST ETF FCE 78463V107 284.9835 2,228.000 SH DEFINED 2,228.000
SPDR S&P EMERGING ASIA ETF 78463X301 23.6493 285.000 SH DEFINED 285.000
SPDR S&P CHINA ETF ETF 78463X400 22.8720 300.000 SH DEFINED 300.000
SPDR S&P EMERGING ETF ETF 78463X509 23.0604 330.000 SH DEFINED 330.000
SPDR S&P EMERGING ETF ETF 78463X608 21.3615 470.000 SH DEFINED 470.000
SPDR S&P EMRG LAT AM ETF ETF 78463X707 22.7691 270.000 SH DEFINED 270.000
SPDR S&P EMERGING ETF ETF 78463X756 24.0944 440.000 SH DEFINED 440.000
SPDR S&P BRIC 40 ETF FCE 78463X798 22.2224 860.000 SH DEFINED 860.000
SPDR S&P MIDCAP 400 ETF ETF 78467Y107 106.8631 734.000 SH DEFINED 734.000
SCANA CORP COM COM 80589M102 10.7251 266.000 SH DEFINED 266.000
SELECT SECTOR SPDR FD FCE 81369Y100 4.5236 138.000 SH DEFINED 138.000
SELECT SECTOR SPDR FD FCE 81369Y209 12.0131 394.000 SH DEFINED 394.000
SELECT SECTOR SPDR TR FCE 81369Y308 36.4392 1,307.000 SH DEFINED 1,307.000
SELECT SECTOR SPDR FD FCE 81369Y407 11.6267 348.000 SH DEFINED 348.000
ENERGY SELECT ETF FCE 81369Y506 19.7892 353.000 SH DEFINED 353.000
FINANCIAL SELECT ETF FCE 81369Y605 18.9491 1,321.000 SH DEFINED 1,321.000
INDUSTRIAL SELECT ETF FCE 81369Y704 14.1386 452.000 SH DEFINED 452.000
SECTOR SPDR TR FCE 81369Y803 35.4278 1,539.000 SH DEFINED 1,539.000
SELECT SECTOR SPDR TR FCE 81369Y886 34.5808 1,102.000 SH DEFINED 1,102.000
SMART BALANCE INC COM 83169Y108 9.7000 2,500.000 SH DEFINED 2,500.000
SOUTHERN COPPER CORP COM 84265V105 727.8620 20,725.000 SH DEFINED 20,725.000
TELECOMMUNICATIONS SYS COM 87929J103 176.3410 45,100.000 SH DEFINED 45,100.000
3M CO COM 88579Y101 583.1248 6,725.000 SH DEFINED 6,725.000
TIME WARNER CABLE COM 88732J207 215.9600 4,000.000 SH DEFINED 4,000.000
TREEHOUSE FOODS INC COM 89469A104 0.5532 12.000 SH DEFINED 12.000
UNITEDHEALTH GROUP COM 91324P102 227.8639 6,490.000 SH DEFINED 6,490.000
VANGUARD NATURAL RESRCES COM 92205F106 50.9200 2,000.000 SH DEFINED 2,000.000
VEOLIA ENVIRONNEMENT ADR 92334N103 7.9080 300.000 SH DEFINED 300.000
VERIZON COMMUNICATIONS COM 92343V104 274.7337 8,430.000 SH DEFINED 8,430.000
VISA INC CLASS A COM 92826C839 41.6602 561.004 SH DEFINED 561.004
VODAFONE GROUP PLC ADR 92857W209 391.9980 15,800.000 SH DEFINED 15,800.000
WASTE MGMT INC DEL COM 94106L109 165.8814 4,641.338 SH DEFINED 4,641.338
WESTERN ASSET MANGED COM 95766L107 6.4500 1,000.000 SH DEFINED 1,000.000
WESTERN ASSET INCOME FD COM 95766T100 19.0260 1,400.000 SH DEFINED 1,400.000
WINDSTREAM CORP COM 97381W104 270.3250 22,000.000 SH DEFINED 22,000.000
WISDOMTREE S/C DVD FD FCE 97717W604 38.1420 900.000 SH DEFINED 900.000
WORLD WRESTLING ENTMNT COM 98156Q108 13.9100 1,000.000 SH DEFINED 1,000.000
YAMANA GOLD INC COM 98462Y100 22.8000 2,000.000 SH DEFINED 2,000.000
ARCH CAP GROUP LTD COM G0450A105 13.6594 163.000 SH DEFINED 163.000
ASSURED GUARANTY LTD COM G0585R106 35.0755 2,050.000 SH DEFINED 2,050.000
BUNGE LTD COM G16962105 7.5725 128.000 SH DEFINED 128.000
CDC CORPORATION COM G2022L114 0.0212 5.000 SH DEFINED 5.000
COOPER INDUSTRIES PLC COM G24140108 462.1439 9,445.000 SH DEFINED 9,445.000
MARVELL TECHNOLOGY COM G5876H105 7.0040 400.000 SH DEFINED 400.000
NORDIC AMER TANKER COM G65773106 428.2938 16,005.000 SH DEFINED 16,005.000
SEADRILL LTD COM G7945E105 111.6115 3,850.000 SH DEFINED 3,850.000
SEAGATE TECHNOLOGY PLC COM G7945M107 139.3218 11,832.000 SH DEFINED 11,832.000
WHITE MOUNTAIN INS GRP COM G9618E107 32.6968 106.000 SH DEFINED 106.000
TYCO INTERNATIONAL LTD COM H89128104 2.9384 80.000 SH DEFINED 80.000
NAVIOS MARITIME HOLDINGS COM Y62196103 306.7662 52,260.000 SH DEFINED 52,260.000
NAVIOS MARITIME PARTNERS UNIT Y62267102 104.6983 5,635.000 SH DEFINED 5,635.000
TEEKAY LNG PARTNERS LP COM Y8564M105 47.6700 1,500.000 SH DEFINED 1,500.000