0001332905-14-000012.txt : 20141113
0001332905-14-000012.hdr.sgml : 20141113
20141113095208
ACCESSION NUMBER: 0001332905-14-000012
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141113
DATE AS OF CHANGE: 20141113
EFFECTIVENESS DATE: 20141113
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: RMB Capital Management, LLC
CENTRAL INDEX KEY: 0001332905
IRS NUMBER: 593792751
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11714
FILM NUMBER: 141216582
BUSINESS ADDRESS:
STREET 1: 115 S. LASALLE ST.
STREET 2: 34TH FLOOR
CITY: CHICAGO
STATE: IL
ZIP: 60603
BUSINESS PHONE: (312) 993-5800
MAIL ADDRESS:
STREET 1: 115 S. LASALLE ST.
STREET 2: 34TH FLOOR
CITY: CHICAGO
STATE: IL
ZIP: 60603
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001332905
XXXXXXXX
09-30-2014
09-30-2014
RMB Capital Management, LLC
115 S. LASALLE ST.
34TH FLOOR
CHICAGO
IL
60603
13F HOLDINGS REPORT
028-11714
N
Lisa M Tamburini
Legal Counsel and Compliance Officer
312-870-5685
Lisa M Tamburini
Chicago
IL
11-13-2014
8
652
1641519
false
1
0001027760
028-05920
DELAWARE CAPITAL MANAGEMENT INC
18
0000105692
028-01204
WHV Investment Management, Inc.
19
0001456133
028-13404
Convergence Investment Partners, LLC
20
0001207017
028-10469
LAZARD ASSET MANAGEMENT LLC
6
0001056823
028-06986
HORIZON ASSET MANAGEMENT LLC
8
0001015079
028-05620
BRANDES INVESTMENT PARTNERS, LP
32
0001109426
028-05621
SANTA BARBARA ASSET MANAGEMENT, LLC
31
0001009262
028-05358
LATEEF INVESTMENT MANAGEMENT, L.P.
INFORMATION TABLE
2
inftable11.11.2014.xml
INFORMATION TABLE
A X A SPONSORED ADR F SPONSORE
ADR
054536107
150
6075
SH
OTR
18
0
0
6075
A X A SPONSORED ADR F SPONSORE
ADR
054536107
137
5576
SH
OTR
19
5576
0
0
AAC TECH HLDGS INC ADR F UNSPO
ADR
000304105
174
3000
SH
SOLE
3000
0
0
AAC TECH HLDGS INC ADR F UNSPO
ADR
000304105
1874
32263
SH
OTR
20
0
0
32263
ABB LTD ADR F SPONSORED ADR 1
ADR
000375204
2908
129742
SH
OTR
01
0
0
129742
ABB LTD ADR F SPONSORED ADR 1
ADR
000375204
365
16281
SH
OTR
19
16281
0
0
AGRIC BK OF CHINA ADR F UNSPON
ADR
00850m102
112
10141
SH
SOLE
10141
0
0
AGRIC BK OF CHINA ADR F UNSPON
ADR
00850m102
1197
108099
SH
OTR
20
0
0
108099
AMBEV SA ADR EACH REPRORD SPON
ADR
02319v103
127
19418
SH
OTR
19
19418
0
0
AMBEV SA ADR EACH REPRORD SPON
ADR
02319v103
21
3254
SH
OTR
20
0
0
3254
ANHEUSER BUSCH INBEV SA/NV-SPO
ADR
03524A108
222
2000
SH
OTR
19
2000
0
0
ANHUI CONCH CEM CO ADR F UNSPO
ADR
035243104
178
11122
SH
SOLE
11122
0
0
ANHUI CONCH CEM CO ADR F UNSPO
ADR
035243104
1921
120312
SH
OTR
20
0
0
120312
BAIDU INC ADR F SPONSORED ADR
ADR
056752108
299
1370
SH
SOLE
1370
0
0
BAIDU INC ADR F SPONSORED ADR
ADR
056752108
3269
14979
SH
OTR
20
0
0
14979
BAIDU INC ADR F SPONSORED ADR
ADR
056752108
62
285
SH
OTR
19
285
0
0
BANCO BRADESCO NEW ADR F SPONS
ADR
059460303
187
13115
SH
SOLE
13115
0
0
BANCO BRADESCO NEW ADR F SPONS
ADR
059460303
2007
140847
SH
OTR
20
0
0
140847
BANCO BRADESCO NEW ADR F SPONS
ADR
059460303
42
2928
SH
OTR
19
2928
0
0
BANCO SANTANDER SA ADR F SPONS
ADR
05964h105
7
763
SH
SOLE
763
0
0
BANCO SANTANDER SA ADR F SPONS
ADR
05964h105
2073
218184
SH
OTR
01
0
0
218184
BANCO SANTANDER SA ADR F SPONS
ADR
05964h105
150
15786
SH
OTR
19
15786
0
0
BANCOLOMBIA S A ADR F 1 ADR RE
ADR
05968l102
255
4496
SH
SOLE
4496
0
0
BANCOLOMBIA S A ADR F 1 ADR RE
ADR
05968l102
2750
48483
SH
OTR
20
0
0
48483
BANCOLOMBIA S A ADR F 1 ADR RE
ADR
05968l102
2
39
SH
OTR
19
39
0
0
BASF SE ADR F SPONSORED ADR 1
ADR
055262505
6
66
SH
SOLE
66
0
0
BASF SE ADR F SPONSORED ADR 1
ADR
055262505
259
2822
SH
OTR
18
0
0
2822
BASF SE ADR F SPONSORED ADR 1
ADR
055262505
167
1824
SH
OTR
19
1824
0
0
BG GROUP PLC ADR F SPONSORED A
ADR
055434203
1215
65720
SH
OTR
01
0
0
65720
BG GROUP PLC ADR F SPONSORED A
ADR
055434203
55
2957
SH
OTR
19
2957
0
0
BHP BILLITON LTD SPONSORED ADR
ADR
088606108
5
85
SH
SOLE
85
0
0
BHP BILLITON LTD SPONSORED ADR
ADR
088606108
545
9255
SH
OTR
18
0
0
9255
BHP BILLITON LTD SPONSORED ADR
ADR
088606108
178
3027
SH
OTR
19
3027
0
0
BP PLC ADR (CNV INTO 6ORD USD0
ADR
055622104
195
4443
SH
SOLE
4443
0
0
BP PLC ADR (CNV INTO 6ORD USD0
ADR
055622104
2140
48684
SH
OTR
01
0
0
48684
BP PLC ADR (CNV INTO 6ORD USD0
ADR
055622104
113
2574
SH
OTR
19
2574
0
0
BP PLC ADR (CNV INTO 6ORD USD0
ADR
055622104
4
90
SH
OTR
08
0
0
90
BRITISH AMERN TOB PLC SPONSORE
ADR
110448107
382
3377
SH
OTR
18
0
0
3377
BRITISH AMERN TOB PLC SPONSORE
ADR
110448107
125
1102
SH
OTR
19
1102
0
0
CANON INC ADR EACH REP1 ORD NP
ADR
138006309
1999
61353
SH
OTR
01
0
0
61353
CANON INC ADR EACH REP1 ORD NP
ADR
138006309
98
3011
SH
OTR
19
3011
0
0
CANON INC ADR EACH REP1 ORD NP
ADR
138006309
7
230
SH
OTR
08
0
0
230
CHINA MERCHANTS BK ADR F UNSPO
ADR
16950t102
69
8021
SH
SOLE
8021
0
0
CHINA MERCHANTS BK ADR F UNSPO
ADR
16950t102
735
85918
SH
OTR
20
0
0
85918
CHINA MOBILE LIMITED SPONSORED
ADR
16941M109
1315
22390
SH
OTR
01
0
0
22390
CHINA MOBILE LIMITED SPONSORED
ADR
16941M109
185
3143
SH
OTR
19
3143
0
0
CHINA MOBILE LIMITED SPONSORED
ADR
16941M109
29
498
SH
OTR
20
0
0
498
CHINA MOBILE LIMITED SPONSORED
ADR
16941M109
4
70
SH
OTR
08
0
0
70
CHINA NATL MATLS CO ADRF UNSPO
ADR
16948e100
99
21434
SH
SOLE
21434
0
0
CHINA NATL MATLS CO ADRF UNSPO
ADR
16948e100
1055
228955
SH
OTR
20
0
0
228955
CHINA ST CONST INTL ADRF UNSPO
ADR
16948h103
286
3853
SH
SOLE
3853
0
0
CHINA ST CONST INTL ADRF UNSPO
ADR
16948h103
3097
41684
SH
OTR
20
0
0
41684
CYRELA BRAZIL RLTY ADR F SPONS
ADR
23282c401
146
29009
SH
SOLE
29009
0
0
CYRELA BRAZIL RLTY ADR F SPONS
ADR
23282c401
1584
314248
SH
OTR
20
0
0
314248
CYRELA BRAZIL RLTY ADR F SPONS
ADR
23282c401
3
694
SH
OTR
19
694
0
0
DAIMLER AG ADR F SPONSORED ADR
ADR
233825108
10
135
SH
SOLE
135
0
0
DAIMLER AG ADR F SPONSORED ADR
ADR
233825108
1179
15372
SH
OTR
01
0
0
15372
DEUTSCHE TELEKOM AG SPONSORED
ADR
251566105
2322
153153
SH
OTR
01
0
0
153153
DEUTSCHE TELEKOM AG SPONSORED
ADR
251566105
59
3913
SH
OTR
19
3913
0
0
DEUTSCHE TELEKOM AG SPONSORED
ADR
251566105
3
175
SH
OTR
08
0
0
175
DIAGEO PLC NEW ADR F SPONSORED
ADR
25243q205
8416
72932
SH
SOLE
72932
0
0
DIAGEO PLC NEW ADR F SPONSORED
ADR
25243q205
378
3271
SH
OTR
18
0
0
3271
DIAGEO PLC NEW ADR F SPONSORED
ADR
25243q205
99
859
SH
OTR
19
859
0
0
ENI ADR EACH REP 2 ORDEUR1(MGT
ADR
26874r108
1815
38404
SH
OTR
01
0
0
38404
ENI ADR EACH REP 2 ORDEUR1(MGT
ADR
26874r108
76
1613
SH
OTR
19
1613
0
0
ENI ADR EACH REP 2 ORDEUR1(MGT
ADR
26874r108
7
140
SH
OTR
08
0
0
140
ENSCO PLC CLASS A
ADR
G3157S106
242
5870
SH
OTR
18
0
0
5870
ESTACIO PARTICIPACO ADRF 1SPON
ADR
297319105
225
21627
SH
SOLE
21627
0
0
ESTACIO PARTICIPACO ADRF 1SPON
ADR
297319105
2417
232433
SH
OTR
20
0
0
232433
EXXARO RESOURCES ADR F SPONSOR
ADR
30231d109
189
16603
SH
SOLE
16603
0
0
EXXARO RESOURCES ADR F SPONSOR
ADR
30231d109
2032
178887
SH
OTR
20
0
0
178887
GDF SUEZ SPON ADR
ADR
36160B105
762
30379
SH
OTR
01
0
0
30379
GDF SUEZ SPON ADR
ADR
36160B105
169
6756
SH
OTR
19
6756
0
0
GDF SUEZ SPON ADR
ADR
36160B105
4
160
SH
OTR
08
0
0
160
GERDAU SA SPONS ADR F SPONSORE
ADR
373737105
199
41498
SH
SOLE
41498
0
0
GERDAU SA SPONS ADR F SPONSORE
ADR
373737105
2147
447369
SH
OTR
20
0
0
447369
GERDAU SA SPONS ADR F SPONSORE
ADR
373737105
19
4006
SH
OTR
19
4006
0
0
GLAXOSMITHKLINE PLC SPONS ADR
ADR
37733W105
32
698
SH
SOLE
698
0
0
GLAXOSMITHKLINE PLC SPONS ADR
ADR
37733W105
2716
59085
SH
OTR
01
0
0
59085
GLAXOSMITHKLINE PLC SPONS ADR
ADR
37733W105
170
3691
SH
OTR
19
3691
0
0
GLAXOSMITHKLINE PLC SPONS ADR
ADR
37733W105
8
180
SH
OTR
08
0
0
180
GOL LINHAS AEREAS ADR F SPONSO
ADR
38045r107
2221
461830
SH
SOLE
461830
0
0
GRUPO FINANCIERO BANORTES A B
ADR
40052p107
228
7122
SH
SOLE
7122
0
0
GRUPO FINANCIERO BANORTES A B
ADR
40052p107
2475
77298
SH
OTR
20
0
0
77298
HDFC BANK LIMITED ADR F SPONSO
ADR
40415f101
241
5176
SH
SOLE
5176
0
0
HDFC BANK LIMITED ADR F SPONSO
ADR
40415f101
2576
55299
SH
OTR
20
0
0
55299
HDFC BANK LIMITED ADR F SPONSO
ADR
40415f101
49
1043
SH
OTR
19
1043
0
0
HENDERSON LAND DEVELOPMENTCO S
ADR
425166303
0
14
SH
SOLE
14
0
0
HENDERSON LAND DEVELOPMENTCO S
ADR
425166303
142
21940
SH
OTR
19
21940
0
0
HONDA MOTOR CO LTD ADR F SPONS
ADR
438128308
1318
38438
SH
OTR
01
0
0
38438
HONDA MOTOR CO LTD ADR F SPONS
ADR
438128308
150
4387
SH
OTR
19
4387
0
0
HONDA MOTOR CO LTD ADR F SPONS
ADR
438128308
7
210
SH
OTR
08
0
0
210
HSBC HLDGS PLC ADR NEW F SPONS
ADR
404280406
15
300
SH
SOLE
300
0
0
HSBC HLDGS PLC ADR NEW F SPONS
ADR
404280406
252
4953
SH
OTR
19
4953
0
0
HSBC HLDGS PLC ADR NEW F SPONS
ADR
404280406
2
40
SH
OTR
08
0
0
40
IBERDROLA S A ADR F SPONSORED
ADR
450737101
1
29
SH
SOLE
29
0
0
IBERDROLA S A ADR F SPONSORED
ADR
450737101
3658
127660
SH
OTR
01
0
0
127660
IBERDROLA S A ADR F SPONSORED
ADR
450737101
59
2050
SH
OTR
19
2050
0
0
ICICI BANK LTD ADR F SPONSORED
ADR
45104g104
266
5425
SH
SOLE
5425
0
0
ICICI BANK LTD ADR F SPONSORED
ADR
45104g104
2856
58164
SH
OTR
20
0
0
58164
ICICI BANK LTD ADR F SPONSORED
ADR
45104g104
40
810
SH
OTR
19
810
0
0
KAO CORP NEW ADR F SPONSORED A
ADR
485537302
2088
53551
SH
OTR
01
0
0
53551
KAO CORP NEW ADR F SPONSORED A
ADR
485537302
50
1294
SH
OTR
19
1294
0
0
KONINKLIJKE AHOLD NV SPONADR E
ADR
500467105
2425
149724
SH
OTR
01
0
0
149724
KONINKLIJKE AHOLD NV SPONADR E
ADR
500467105
42
2610
SH
OTR
19
2610
0
0
KONINKLIJKE AHOLD NV SPONADR E
ADR
500467105
5
299
SH
OTR
08
0
0
299
KONINKLIJKE PHILIPS N V NY REG
ADR
500472303
212
6691
SH
OTR
19
6691
0
0
LLOYDS BANKING GROUP PLC SPONS
ADR
539439109
10
1987
SH
SOLE
1987
0
0
LLOYDS BANKING GROUP PLC SPONS
ADR
539439109
122
24169
SH
OTR
19
24169
0
0
LOCALIZA RENT A CAR ADRF SPONS
ADR
53956w300
149
10389
SH
SOLE
10389
0
0
LOCALIZA RENT A CAR ADRF SPONS
ADR
53956w300
1636
113933
SH
OTR
20
0
0
113933
MITSUBISHI UFJ FINL ADRF SPONS
ADR
606822104
109
19498
SH
OTR
19
19498
0
0
MITSUBISHI UFJ FINL ADRF SPONS
ADR
606822104
5
845
SH
OTR
08
0
0
845
MIZUHO FINANCIAL GROUPADR EACH
ADR
60687y109
60
16669
SH
OTR
19
16669
0
0
NATIONAL GRID PLC ADR F SPONSO
ADR
636274300
0
2
SH
SOLE
2
0
0
NATIONAL GRID PLC ADR F SPONSO
ADR
636274300
2613
36358
SH
OTR
01
0
0
36358
NATIONAL GRID PLC ADR F SPONSO
ADR
636274300
156
2164
SH
OTR
19
2164
0
0
NESTLE S A REG B ADR F 1 ADR R
ADR
641069406
29
400
SH
SOLE
400
0
0
NESTLE S A REG B ADR F 1 ADR R
ADR
641069406
2130
28973
SH
OTR
01
0
0
28973
NESTLE S A REG B ADR F 1 ADR R
ADR
641069406
536
7286
SH
OTR
18
0
0
7286
NESTLE S A REG B ADR F 1 ADR R
ADR
641069406
282
3836
SH
OTR
19
3836
0
0
NEW ORIENTAL ED ADR F SPONSORE
ADR
647581107
67
2885
SH
SOLE
2885
0
0
NEW ORIENTAL ED ADR F SPONSORE
ADR
647581107
715
30824
SH
OTR
20
0
0
30824
NOKIA CORP
ADR
654902204
60
7103
SH
SOLE
7103
0
0
NOKIA CORP
ADR
654902204
69
8181
SH
OTR
19
8181
0
0
NOMURA HOLDINGS INC. ADREACH R
ADR
65535h208
20
3340
SH
SOLE
3340
0
0
NOMURA HOLDINGS INC. ADREACH R
ADR
65535h208
70
11818
SH
OTR
19
11818
0
0
NOVARTIS A G SPON ADR F SPONSO
ADR
66987v109
42
451
SH
SOLE
451
0
0
NOVARTIS A G SPON ADR F SPONSO
ADR
66987v109
3739
39716
SH
OTR
01
0
0
39716
NOVARTIS A G SPON ADR F SPONSO
ADR
66987v109
799
8490
SH
OTR
18
0
0
8490
NOVARTIS A G SPON ADR F SPONSO
ADR
66987v109
386
4099
SH
OTR
19
4099
0
0
NOVO-NORDISK A S ADR
ADR
670100205
14
300
SH
SOLE
300
0
0
NOVO-NORDISK A S ADR
ADR
670100205
33
692
SH
OTR
32
0
0
692
NOVO-NORDISK A S ADR
ADR
670100205
157
3289
SH
OTR
19
3289
0
0
NTT DOCOMO INC ADR F SPONSORED
ADR
62942m201
885
52897
SH
OTR
01
0
0
52897
NTT DOCOMO INC ADR F SPONSORED
ADR
62942m201
63
3757
SH
OTR
19
3757
0
0
OAO GAZPROM SPON ADR F SPONSOR
ADR
368287207
68
9733
SH
OTR
19
9733
0
0
OAO GAZPROM SPON ADR F SPONSOR
ADR
368287207
19
2783
SH
OTR
20
0
0
2783
OAO GAZPROM SPON ADR F SPONSOR
ADR
368287207
2
340
SH
OTR
08
0
0
340
ORANGE ADR EACH REPR 1ORD EUR4
ADR
684060106
2082
141260
SH
OTR
01
0
0
141260
ORANGE ADR EACH REPR 1ORD EUR4
ADR
684060106
44
2988
SH
OTR
19
2988
0
0
ORANGE ADR EACH REPR 1ORD EUR4
ADR
684060106
5
330
SH
OTR
08
0
0
330
PANASONIC CORP ADR-EACHCNV INT
ADR
69832a205
141
11840
SH
OTR
19
11840
0
0
PETROLEO BRASILEIRO SAPETROBRA
ADR
71654v101
220
14756
SH
SOLE
14756
0
0
PETROLEO BRASILEIRO SAPETROBRA
ADR
71654v101
2381
159893
SH
OTR
20
0
0
159893
PETROLEO BRASILEIRO SAPETROBRA
ADR
71654v101
35
2384
SH
OTR
19
2384
0
0
PETROLEO BRASILEIRO SAPETROBRA
ADR
71654v101
5
310
SH
OTR
08
0
0
310
PETROLEUM GEO SERVICESASA ADS
ADR
716599105
317
50000
SH
SOLE
50000
0
0
PING AN ISNURANCE ADR F SPONSO
ADR
72341e304
170
11336
SH
SOLE
11336
0
0
PING AN ISNURANCE ADR F SPONSO
ADR
72341e304
1832
122013
SH
OTR
20
0
0
122013
PT BANK RAKYAT ADR F UNSPONSOR
ADR
69366x100
168
9819
SH
SOLE
9819
0
0
PT BANK RAKYAT ADR F UNSPONSOR
ADR
69366x100
1797
105021
SH
OTR
20
0
0
105021
PURE TECHNOLOGIES LTD F
ADR
745915108
1812
250620
SH
SOLE
250620
0
0
QBE INS GROUP ADR NEW F SPONSO
ADR
74728g605
476
46656
SH
OTR
01
0
0
46656
R W E AG SPON ADR F 1 ADR REP
ADR
74975e303
1639
42044
SH
OTR
01
0
0
42044
REED ELSEVIER NEW ADR F SPONSO
ADR
758204200
1872
41434
SH
OTR
01
0
0
41434
REED ELSEVIER NEW ADR F SPONSO
ADR
758204200
37
810
SH
OTR
19
810
0
0
RIO TINTO PLC SPONSORED ADR
ADR
767204100
615
12505
SH
OTR
18
0
0
12505
RIO TINTO PLC SPONSORED ADR
ADR
767204100
138
2807
SH
OTR
19
2807
0
0
ROCHE HLDG LTD SPONSORED ADR
ADR
771195104
314
8491
SH
OTR
19
8491
0
0
ROYAL DUTCH SHELL A ADRF SPONS
ADR
780259206
167
2200
SH
SOLE
2200
0
0
ROYAL DUTCH SHELL A ADRF SPONS
ADR
780259206
1941
25497
SH
OTR
01
0
0
25497
ROYAL DUTCH SHELL A ADRF SPONS
ADR
780259206
121
1589
SH
OTR
19
1589
0
0
S A P SE ADR F SPONSORED ADR 1
ADR
803054204
10
135
SH
SOLE
135
0
0
S A P SE ADR F SPONSORED ADR 1
ADR
803054204
1872
25937
SH
OTR
01
0
0
25937
S A P SE ADR F SPONSORED ADR 1
ADR
803054204
94
1300
SH
OTR
19
1300
0
0
SANDS CHINA LTD ADR F UNSPONSO
ADR
80007r105
134
2574
SH
SOLE
2574
0
0
SANDS CHINA LTD ADR F UNSPONSO
ADR
80007r105
1457
27932
SH
OTR
20
0
0
27932
SANOFI SPON ADR
ADR
80105N105
18
315
SH
SOLE
315
0
0
SANOFI SPON ADR
ADR
80105N105
2798
49578
SH
OTR
01
0
0
49578
SANOFI SPON ADR
ADR
80105N105
231
4101
SH
OTR
19
4101
0
0
SANOFI SPON ADR
ADR
80105N105
7
130
SH
OTR
08
0
0
130
SARTORIUS STEDIM ORD F
ADR
f8005v111
4179
25003
SH
SOLE
25003
0
0
SBERBANK ADR F SPONSORED ADR 1
ADR
80585y308
180
23527
SH
SOLE
23527
0
0
SBERBANK ADR F SPONSORED ADR 1
ADR
80585y308
1979
259071
SH
OTR
20
0
0
259071
SBERBANK ADR F SPONSORED ADR 1
ADR
80585y308
47
6185
SH
OTR
19
6185
0
0
SEVEN & I HLDG CO ADR F UNSPON
ADR
81783h105
2018
26014
SH
OTR
01
0
0
26014
SIEMENS A G SPONSORED ADR ISIN
ADR
826197501
10
83
SH
SOLE
83
0
0
SIEMENS A G SPONSORED ADR ISIN
ADR
826197501
750
6299
SH
OTR
19
6299
0
0
SINGAPORE TLCM ADR NEW F SPONS
ADR
82929r304
1938
65042
SH
OTR
01
0
0
65042
SINGAPORE TLCM ADR NEW F SPONS
ADR
82929r304
45
1512
SH
OTR
19
1512
0
0
STANDARD BK GRP NEW ADRF SPONS
ADR
853118206
147
12701
SH
SOLE
12701
0
0
STANDARD BK GRP NEW ADRF SPONS
ADR
853118206
1585
137063
SH
OTR
20
0
0
137063
TAIWAN SEMICONDUCTR ADRF SPONS
ADR
874039100
425
21072
SH
SOLE
21072
0
0
TAIWAN SEMICONDUCTR ADRF SPONS
ADR
874039100
1900
94159
SH
OTR
01
0
0
94159
TAIWAN SEMICONDUCTR ADRF SPONS
ADR
874039100
4629
229396
SH
OTR
20
0
0
229396
TAIWAN SEMICONDUCTR ADRF SPONS
ADR
874039100
68
3383
SH
OTR
19
3383
0
0
TAKEDA PHARMACEUTICALCO LTDSPO
ADR
874060205
2033
93540
SH
OTR
01
0
0
93540
TAKEDA PHARMACEUTICALCO LTDSPO
ADR
874060205
53
2430
SH
OTR
19
2430
0
0
TAKEDA PHARMACEUTICALCO LTDSPO
ADR
874060205
4
170
SH
OTR
08
0
0
170
TATA MOTORS LTD ADR F SPONSORE
ADR
876568502
292
6680
SH
SOLE
6680
0
0
TATA MOTORS LTD ADR F SPONSORE
ADR
876568502
3152
72116
SH
OTR
20
0
0
72116
TATA MOTORS LTD ADR F SPONSORE
ADR
876568502
52
1187
SH
OTR
19
1187
0
0
TAV HAVALIMANLARI ADR F UNSPON
ADR
876704107
299
9314
SH
SOLE
9314
0
0
TAV HAVALIMANLARI ADR F UNSPON
ADR
876704107
3236
100823
SH
OTR
20
0
0
100823
TECHTRONIC INDS CO ADR F 1 ADR
ADR
87873r101
191
13240
SH
SOLE
13240
0
0
TECHTRONIC INDS CO ADR F 1 ADR
ADR
87873r101
2060
142528
SH
OTR
20
0
0
142528
TELEFONICA SA ADR EA REPR1 ORD
ADR
879382208
2420
157466
SH
OTR
01
0
0
157466
TELEFONICA SA ADR EA REPR1 ORD
ADR
879382208
62
4025
SH
OTR
19
4025
0
0
TENARIS S A ADR F SPONSORED AD
ADR
88031m109
628
13795
SH
OTR
18
0
0
13795
TENARIS S A ADR F SPONSORED AD
ADR
88031m109
8
172
SH
OTR
19
172
0
0
TESCO PLC SPON ADR ISIN#US8815
ADR
881575302
1917
211719
SH
OTR
01
0
0
211719
TESCO PLC SPON ADR ISIN#US8815
ADR
881575302
37
4089
SH
OTR
19
4089
0
0
TESCO PLC SPON ADR ISIN#US8815
ADR
881575302
6
630
SH
OTR
08
0
0
630
TEVA PHARM INDS LTD ADRF SPONS
ADR
881624209
105
1949
SH
SOLE
1949
0
0
TEVA PHARM INDS LTD ADRF SPONS
ADR
881624209
2623
48796
SH
OTR
01
0
0
48796
TEVA PHARM INDS LTD ADRF SPONS
ADR
881624209
82
1530
SH
OTR
19
1530
0
0
TMK OAO ADR F SPONSORED ADR 1
ADR
87260r300
238
26616
SH
SOLE
26616
0
0
TMK OAO ADR F SPONSORED ADR 1
ADR
87260r300
2574
287282
SH
OTR
20
0
0
287282
TOKIO MARINE HOLDINGSINC ADR E
ADR
889094108
2344
75580
SH
OTR
01
0
0
75580
TOKIO MARINE HOLDINGSINC ADR E
ADR
889094108
5
147
SH
OTR
08
0
0
147
TOKYO ELECTRON LTD ADR F UNSPO
ADR
889110102
1280
78454
SH
OTR
01
0
0
78454
TOTAL S A ADR F 1 ADR REP 1 OR
ADR
89151e109
2863
44422
SH
OTR
01
0
0
44422
TOTAL S A ADR F 1 ADR REP 1 OR
ADR
89151e109
124
1920
SH
OTR
19
1920
0
0
TOYOTA MOTOR CORP SP ADR REP2C
ADR
892331307
13
110
SH
SOLE
110
0
0
TOYOTA MOTOR CORP SP ADR REP2C
ADR
892331307
457
3885
SH
OTR
19
3885
0
0
TOYOTA MOTOR CORP SP ADR REP2C
ADR
892331307
5
40
SH
OTR
08
0
0
40
TOYOTA MOTOR CORP SP ADR REP2C
ADR
892331307
2
21
SH
OTR
01
0
0
21
UNILEVER N V NY SHS NEWF N Y R
ADR
904784709
1
21
SH
SOLE
21
0
0
UNILEVER N V NY SHS NEWF N Y R
ADR
904784709
299
7523
SH
OTR
18
0
0
7523
UNILEVER N V NY SHS NEWF N Y R
ADR
904784709
92
2326
SH
OTR
19
2326
0
0
UNILEVER N V NY SHS NEWF N Y R
ADR
904784709
7
170
SH
OTR
08
0
0
170
UNILEVER PLC ADR NEW F SPONSOR
ADR
904767704
2649
63226
SH
OTR
01
0
0
63226
UNILEVER PLC ADR NEW F SPONSOR
ADR
904767704
74
1763
SH
OTR
19
1763
0
0
UTD OVERSEAS BK SPN ADRF SPONS
ADR
911271302
0
5
SH
SOLE
5
0
0
UTD OVERSEAS BK SPN ADRF SPONS
ADR
911271302
1690
48107
SH
OTR
01
0
0
48107
VALE SA ADR F SPONSORED ADR 1
ADR
91912e105
215
19508
SH
SOLE
19508
0
0
VALE SA ADR F SPONSORED ADR 1
ADR
91912e105
2259
205143
SH
OTR
20
0
0
205143
VALE SA ADR F SPONSORED ADR 1
ADR
91912e105
288
26147
SH
OTR
18
0
0
26147
VALE SA ADR F SPONSORED ADR 1
ADR
91912e105
38
3416
SH
OTR
19
3416
0
0
VINCI S A ADR F SPONSORED ADR
ADR
927320101
1293
88971
SH
OTR
01
0
0
88971
VODAFONE GROUP NEW ADR F SPONS
ADR
92857w308
5
162
SH
SOLE
162
0
0
VODAFONE GROUP NEW ADR F SPONS
ADR
92857w308
1078
32766
SH
OTR
01
0
0
32766
VODAFONE GROUP NEW ADR F SPONS
ADR
92857w308
62
1871
SH
OTR
19
1871
0
0
ZOOMLION HEAVY INDU ADRF UNSPO
ADR
98978w101
68
11739
SH
SOLE
11739
0
0
ZOOMLION HEAVY INDU ADRF UNSPO
ADR
98978w101
730
125169
SH
OTR
20
0
0
125169
ZURICH INSURANCE GP ADRF SPONS
ADR
989825104
26
880
SH
SOLE
880
0
0
ZURICH INSURANCE GP ADRF SPONS
ADR
989825104
1692
56761
SH
OTR
01
0
0
56761
ZURICH INSURANCE GP ADRF SPONS
ADR
989825104
97
3245
SH
OTR
19
3245
0
0
A F L A C INC
COM
001055102
8237
141405
SH
SOLE
141405
0
0
A F L A C INC
COM
001055102
65
1114
SH
OTR
19
1114
0
0
ABRAXAS PETROLEUM CORP NEVADA
COM
003830106
2015
381547
SH
SOLE
381547
0
0
ACCENTURE PLC CL A F
COM
g1151c101
12092
148697
SH
SOLE
148697
0
0
ACCENTURE PLC CL A F
COM
g1151c101
34
417
SH
OTR
32
0
0
417
ACCENTURE PLC CL A F
COM
g1151c101
87
1074
SH
OTR
31
0
0
1074
ADVANCE AUTO PARTS INCCOM
COM
00751y106
21588
165678
SH
SOLE
165678
0
0
AFFILIATED MANAGERS GROUP
COM
008252108
3028
15113
SH
SOLE
15113
0
0
AGRIUM INC F
COM
008916108
249
2795
SH
OTR
18
0
0
2795
AGRIUM INC F
COM
008916108
36
407
SH
OTR
19
407
0
0
AIRGAS INC COM
COM
009363102
16562
149683
SH
SOLE
149683
0
0
AMERICAN TOWER CORP REIT
COM
03027x100
11804
126070
SH
SOLE
126070
0
0
AMERICAN VANGUARD CP
COM
030371108
1142
101925
SH
SOLE
101925
0
0
AMERICAN WATER WORKS CO
COM
030420103
8622
178778
SH
SOLE
178778
0
0
AMERIPRISE FINL INC COM
COM
03076c106
222
1800
SH
SOLE
1800
0
0
AMERIS BANCORP COM
COM
03076k108
1791
81595
SH
SOLE
81595
0
0
AMGEN INCORPORATED
COM
031162100
592
4214
SH
SOLE
4214
0
0
APPLE INC
COM
037833100
3887
38579
SH
SOLE
38579
0
0
APPLE INC
COM
037833100
60
596
SH
OTR
32
0
0
596
ASB BANCORP INC
COM
00213t109
2742
136096
SH
SOLE
136096
0
0
ASTEC INDS INC
COM
046224101
1492
40920
SH
SOLE
40920
0
0
ASTORIA FINANCIAL CORP
COM
046265104
619
50000
SH
SOLE
50000
0
0
AT&T INC COM ISIN#US00206R1023
COM
00206r102
196
5555
SH
SOLE
5555
0
0
AT&T INC COM ISIN#US00206R1023
COM
00206r102
44
1261
SH
OTR
32
0
0
1261
ATLANTA BANCORPORATION CONTRA
COM
047990353
532
272822
SH
SOLE
272822
0
0
ATLANTIC COAST FINANCIAL CORPO
COM
048426100
2993
733697
SH
SOLE
733697
0
0
BANC OF CALIFORNIA INC
COM
05990k106
3489
300000
SH
SOLE
300000
0
0
BANK OF AMERICA CORP
COM
060505104
171
10046
SH
SOLE
10046
0
0
BANK OF THE CAROLINAS (NC)
COM
06425j102
5253
44935688
SH
SOLE
44935688
0
0
BANKWELL FINANCIAL GROUP INC
COM
06654A103
393
20700
SH
SOLE
20700
0
0
BARRICK GOLD CORP F
COM
067901108
801
54636
SH
SOLE
54636
0
0
BARRICK GOLD CORP F
COM
067901108
21
1416
SH
OTR
19
1416
0
0
BEACON ROOFING SUPPLYINC COM
COM
073685109
1029
40400
SH
SOLE
40400
0
0
BECTON DICKINSON & CO
COM
075887109
10153
89210
SH
SOLE
89210
0
0
BELDEN INC
COM
077454106
1518
23705
SH
SOLE
23705
0
0
BERKSHIRE HATHAWAY INC DE CL
COM
084670702
650
4705
SH
SOLE
4705
0
0
BERKSHIRE HATHAWAY INC DE CL
COM
084670702
86
621
SH
OTR
06
0
0
621
BIODELIVERY SCI INTL INC
COM
09060j106
4738
277243
SH
SOLE
277243
0
0
BIOGEN IDEC INC
COM
09062x103
266
805
SH
SOLE
805
0
0
BLACK DIAMOND INC COM
COM
09202g101
6474
856395
SH
SOLE
856395
0
0
BNC BANCORP
COM
05566t101
3811
243329
SH
SOLE
243329
0
0
BOEING CO
COM
097023105
7735
60726
SH
SOLE
60726
0
0
BOEING CO
COM
097023105
41
324
SH
OTR
32
0
0
324
BRIDGE BANCORP INC
COM
108035106
278
11772
SH
SOLE
11772
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
8569
167427
SH
SOLE
167427
0
0
BROOKFIELD ASSET MGMT F D VTG
COM
112585104
158
3520
SH
OTR
18
0
0
3520
BROOKFIELD ASSET MGMT F D VTG
COM
112585104
445
9902
SH
OTR
19
9902
0
0
BROOKFIELD ASSET MGMT F D VTG
COM
112585104
218
4856
SH
OTR
06
0
0
4856
BRUKER CORPORATION
COM
116794108
3279
177113
SH
SOLE
177113
0
0
C1 FINANCIAL INC COM
COM
12591n109
1724
95086
SH
SOLE
95086
0
0
CALIX NETWORKS INC
COM
13100m509
4870
508845
SH
SOLE
508845
0
0
CAMERON INTL CORP
COM
13342b105
261
3925
SH
OTR
18
0
0
3925
CANADIAN NATL RY CO
COM
136375102
135
1900
SH
SOLE
1900
0
0
CANADIAN NATL RY CO
COM
136375102
581
8190
SH
OTR
18
0
0
8190
CANADIAN NATL RY CO
COM
136375102
150
2111
SH
OTR
19
2111
0
0
CANADIAN NATURAL RESOURCES LTD
COM
136385101
310
7970
SH
OTR
18
0
0
7970
CANADIAN NATURAL RESOURCES LTD
COM
136385101
43
1116
SH
OTR
19
1116
0
0
CANADIAN PAC RAILWAY F
COM
13645t100
850
4095
SH
OTR
18
0
0
4095
CANADIAN PAC RAILWAY F
COM
13645t100
98
472
SH
OTR
19
472
0
0
CARRIAGE SERVICES INC
COM
143905107
3383
195194
SH
SOLE
195194
0
0
CARTER BK & TR MARTINSVILLE VA
COM
146102108
983
84000
SH
SOLE
84000
0
0
CASELLA WASTE SYSTEMSINC CL A
COM
147448104
8140
2114406
SH
SOLE
2114406
0
0
CATERPILLAR INC DEL
COM
149123101
326
3290
SH
SOLE
3290
0
0
CATERPILLAR INC DEL
COM
149123101
32
325
SH
OTR
32
0
0
325
CELGENE CORP
COM
151020104
234
2470
SH
SOLE
2470
0
0
CELGENE CORP
COM
151020104
93
983
SH
OTR
31
0
0
983
CHEMTURA CORP NEW DUTCH TENDER
COM
163893209
4761
204063
SH
SOLE
204063
0
0
CHEVRON CORPORATION
COM
166764100
11190
93785
SH
SOLE
93785
0
0
CHEVRON CORPORATION
COM
166764100
50
415
SH
OTR
32
0
0
415
CHINA OILFIELD SVC ADR F SPONS
COM
168909109
181
3437
SH
SOLE
3437
0
0
CHINA OILFIELD SVC ADR F SPONS
COM
168909109
1958
37089
SH
OTR
20
0
0
37089
CINCINNATI FINL CORP
COM
172062101
1483
31530
SH
SOLE
31530
0
0
CITRIX SYS INC COM
COM
177376100
1004
14078
SH
SOLE
14078
0
0
CLEAN HBRS INC
COM
184496107
1596
29600
SH
SOLE
29600
0
0
CME GROUP INC CL A CLASS A
COM
12572q105
11701
146339
SH
SOLE
146339
0
0
COGNEX CORP
COM
192422103
2130
52882
SH
SOLE
52882
0
0
COLUMBUS MCKINNON N Y
COM
199333105
7516
341807
SH
SOLE
341807
0
0
COMCAST CORP NEW CL A
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20030n101
368
6838
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0
CONNECTONE BANCORP INC
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20786w107
2857
150000
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20825C104
273
3565
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CONSTELLIUM NV EUR0.02
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n22035104
1217
49435
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CONTINENTAL RES INC OKLACOM
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212015101
14208
213717
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CONTINENTAL RES INC OKLACOM
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212015101
45
678
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0
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678
COOPER COS INC NEW
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216648402
22265
142956
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COWEN GROUP INC CLASS A
COM
223622101
2990
797233
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224122101
4006
278188
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g2519y108
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g2519y108
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g2519y108
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CSX CORP
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126408103
289
9000
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CVS HEALTH CORP
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126650100
13616
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CVS HEALTH CORP
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126650100
53
671
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32
0
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671
DANAHER CORP DEL COM
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235851102
29790
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235851102
82
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31
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g27823106
242
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25065k104
2500
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251893103
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253922108
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254709108
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254709108
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254687106
316
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26153c103
236
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DUNKIN BRANDS GROUP INC
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268648102
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268648102
37
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EATON CORP PLC F
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g29183103
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291011104
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153
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135
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29872m105
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EVANS BANCORP INC NEW
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29911Q208
756
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EXXON MOBIL CORP
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30231G102
1176
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FACEBOOK INC-A
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30303M102
262
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307675108
5955
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302993365
47
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316394105
1370
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31660b101
8045
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317585404
1746
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318910106
796
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318916103
1536
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319438107
490
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31942d107
201
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31942d107
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33616C100
19444
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336312202
2378
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30249U101
21086
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345370860
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20
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FOX CHASE BANCORP INC
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35137t108
489
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35353C102
744
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354613101
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224
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20
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359678109
1938
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369604103
336
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371559105
22012
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372309104
9260
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38141G104
10567
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38259P706
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38259P706
21
37
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06
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37
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38259P508
13479
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38259P508
22
37
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GROUPON INC COM USD0.0001
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399473107
70
10500
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40075t607
950
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409321502
830
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HARLEY DAVIDSON INC
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412822108
24843
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HEARUSA INC XXX ESCROW PENDING
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422esc301
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HEICO CORP CL A
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422806208
1997
49544
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HENDERSON LAND DEVELOPMENTCO H
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y31476107
130
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06
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20032
HERITAGE FINANCIAL GROUP
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42726X102
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HERTZ GLOBAL HLDGS INCCOM
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42805t105
665
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HOME DEPOT INC
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437076102
462
5036
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437872104
5829
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HOWARD HUGHES CORP COM ISIN#US
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44267d107
359
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06
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HUDSON TECHNOLOGIES INC
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444144109
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ICAD INC NEW
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44934s206
2216
225000
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451734107
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452308109
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g47791101
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291
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INTUIT INC
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461202103
328
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46146l101
7938
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222
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469249205
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471109108
340
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06
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293
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48562p103
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49456b101
415
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49456b101
40
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32
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49926d109
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389
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50106a402
125
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50106a402
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517834107
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531229300
214
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203
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SCHLUMBERGER LTD F
COM
806857108
14748
145031
SH
SOLE
145031
0
0
SCHLUMBERGER LTD F
COM
806857108
714
7025
SH
OTR
18
0
0
7025
SCRIPPS NETWORKS INTERACT INC
COM
811065101
24234
310330
SH
SOLE
310330
0
0
SCRIPPS NETWORKS INTERACT INC
COM
811065101
106
1361
SH
OTR
31
0
0
1361
SEACOAST BANKING CORPORATION O
COM
811707801
2186
200000
SH
SOLE
200000
0
0
SELECT BANCORP INC COM
COM
81617l108
1041
139708
SH
SOLE
139708
0
0
SHORE BANCSHARES INC
COM
825107105
1507
167500
SH
SOLE
167500
0
0
SIGMA-ALDRICH CORP
COM
826552101
6693
49207
SH
SOLE
49207
0
0
SILVERCREST ASSET MANAGEMENT G
COM
828359109
952
69871
SH
SOLE
69871
0
0
SMITH & WESSON HLDG CORP
COM
831756101
1750
185426
SH
SOLE
185426
0
0
SOUTHCOAST FINANCIAL CORP
COM
84129r100
887
125000
SH
SOLE
125000
0
0
SOUTHERN FIRST BANCSHARES
COM
842873101
712
51100
SH
SOLE
51100
0
0
SOUTHWEST BANCORP INC-OKLA
COM
844767103
1778
108399
SH
SOLE
108399
0
0
SPDR INDEX SHS FDS S&PINTL SMA
COM
78463x871
392
12000
SH
SOLE
12000
0
0
SQUARE 1 FINANCIAL INC CL A
COM
85223w101
1218
63333
SH
SOLE
63333
0
0
STARBUCKS CORP
COM
855244109
415
5505
SH
SOLE
5505
0
0
STATE BANK FINANCIAL CORPORATI
COM
856190103
1281
78898
SH
SOLE
78898
0
0
STATE STR CORP COM ISIN#US8574
COM
857477103
310
4214
SH
SOLE
4214
0
0
STERICYCLE INC COM USD0.01 ISI
COM
858912108
240
2063
SH
SOLE
2063
0
0
STONEGATE BANK
COM
861811107
1287
50000
SH
SOLE
50000
0
0
STRYKER CORP
COM
863667101
308
3809
SH
SOLE
3809
0
0
SUN BANCORP INC NJ
COM
86663B201
435
24038
SH
SOLE
24038
0
0
SUN BANCORP INC RESTRICTED
COM
86663B201
4664
262040
SH
SOLE
262040
0
0
SUNCOR ENERGY INC NEW F
COM
867224107
43
1190
SH
SOLE
1190
0
0
SUNCOR ENERGY INC NEW F
COM
867224107
603
16670
SH
OTR
18
0
0
16670
SUNCOR ENERGY INC NEW F
COM
867224107
49
1359
SH
OTR
19
1359
0
0
SUNSHINE BANCORP
COM
86777j108
1185
100000
SH
SOLE
100000
0
0
SYNCHRONY FINANCIAL
COM
87165B103
1275
51946
SH
SOLE
51946
0
0
SYNOVUS FINL CORP
COM
87161C501
1300
55000
SH
SOLE
55000
0
0
TFS FINANCIAL CORP
COM
87240R107
716
50000
SH
SOLE
50000
0
0
THE TRAVELERS COMPANIES INC.
COM
89417E109
233
2480
SH
SOLE
2480
0
0
THERMON GROUP HLDGS INC COM
COM
88362T103
17074
699189
SH
SOLE
699189
0
0
TIME WARNER CABLE INCCOM
COM
88732j207
238
1659
SH
SOLE
1659
0
0
TIME WARNER CABLE INCCOM
COM
88732j207
45
312
SH
OTR
32
0
0
312
TITAN INTERNATIONAL INC
COM
88830m102
1210
102362
SH
SOLE
102362
0
0
TJX COS INC NEW COM
COM
872540109
28555
482599
SH
SOLE
482599
0
0
TRISTATE CAPITAL HOLDINGS INC
COM
89678f100
1703
187767
SH
SOLE
187767
0
0
TYSON FOODS INC CLASS A
COM
902494103
259
6587
SH
SOLE
6587
0
0
U S BANCORP DEL NEW
COM
902973304
10646
254507
SH
SOLE
254507
0
0
UBS AG-REG
COM
H89231338
11
637
SH
SOLE
637
0
0
UBS AG-REG
COM
H89231338
196
11273
SH
OTR
19
11273
0
0
UBS AG-REG
COM
H89231338
6
370
SH
OTR
08
0
0
370
UNIFIRST CORP
COM
904708104
9356
96868
SH
SOLE
96868
0
0
UNION PACIFIC CORP
COM
907818108
11543
106466
SH
SOLE
106466
0
0
UNION PACIFIC CORP
COM
907818108
47
434
SH
OTR
32
0
0
434
UNITED FINANCIAL BANCORP
COM
910304104
1063
83764
SH
SOLE
83764
0
0
USG CORP COM NEW
COM
903293405
1705
62031
SH
SOLE
62031
0
0
VANGUARD FTSE DEVELOPEDMARKET
COM
921943858
1745
43892
SH
SOLE
43892
0
0
VERISK ANALYTICS INC CLA
COM
92345y106
1562
25656
SH
SOLE
25656
0
0
VIACOM INC CL B NEW
COM
92553p201
7820
101641
SH
SOLE
101641
0
0
VIACOM INC CL B NEW
COM
92553p201
105
1370
SH
OTR
06
0
0
1370
VIEWPOINT FINL GROUP INCMD COM
COM
92672a101
1319
55082
SH
SOLE
55082
0
0
VIRTUS INVESTMENT PARTNERS INC
COM
92828q109
27995
161168
SH
SOLE
161168
0
0
VISA INC CL A SHRS
COM
92826c839
14255
66810
SH
SOLE
66810
0
0
VITESSE SEMICONDUCTORCORP COMN
COM
928497304
292
81067
SH
SOLE
81067
0
0
WEATHERFORD INTL PLC COMUSD0.0
COM
g48833100
1
58
SH
SOLE
58
0
0
WEATHERFORD INTL PLC COMUSD0.0
COM
g48833100
755
36320
SH
OTR
18
0
0
36320
WELLS FARGO & CO NEW DEL
COM
949746101
514
9918
SH
SOLE
9918
0
0
WELLS FARGO & CO NEW DEL
COM
949746101
55
1067
SH
OTR
32
0
0
1067
WENDYS COMPANY (THE) COMUSD0.1
COM
95058w100
23
2833
SH
SOLE
2833
0
0
WENDYS COMPANY (THE) COMUSD0.1
COM
95058w100
177
21392
SH
OTR
06
0
0
21392
WEST PHARMACEUTICAL SVCS INC
COM
955306105
9367
209266
SH
SOLE
209266
0
0
WESTERN UNION CO COM
COM
959802109
4657
290363
SH
SOLE
290363
0
0
WHITING PETE CORP NEWCOM
COM
966387102
1965
25341
SH
SOLE
25341
0
0
YADKIN FINANCIAL CORPORATION C
COM
984305102
6975
384070
SH
SOLE
384070
0
0
YANDEX N V CL A F CLASS A
COM
n97284108
245
8799
SH
SOLE
8799
0
0
YANDEX N V CL A F CLASS A
COM
n97284108
2637
94891
SH
OTR
20
0
0
94891
QBE INSURANCE GROUP NPV ISIN#A
COM
q78063114
494
48386
SH
SOLE
48386
0
0
CAPSTONE INFRASTRUCTURE CORP C
COM
B3RZ3G5
3710
799081
SH
SOLE
799081
0
0
ACCESS CO LTD NPV ISIN#JP31080
COM
j0005l108
2396
443900
SH
SOLE
443900
0
0
Alpine Electronics Inc
COM
j01134105
1444
87640
SH
SOLE
87640
0
0
AMUSE INC NPV ISIN#JP312450000
COM
j0142s107
4593
160930
SH
SOLE
160930
0
0
ARGO GRAPHICS NPV ISIN#JP31261
COM
zz7244796
4060
224540
SH
SOLE
224540
0
0
BANDAI NAMCO HOLDINGSINC NPV I
COM
j48454102
1066
41520
SH
SOLE
41520
0
0
CENTURY TOKYO LEASING CORP
COM
j05607106
660
24820
SH
SOLE
24820
0
0
DENSO CORP NPV ISIN#JP35515000
COM
j12075107
1403
30440
SH
SOLE
30440
0
0
DIC CORP
COM
j1280g103
1285
572940
SH
SOLE
572940
0
0
DTS CORPORATION NPV ISIN#JP354
COM
j11907102
1440
68800
SH
SOLE
68800
0
0
EIKEN CHEMICAL CO LTD
COM
j12831103
2181
127500
SH
SOLE
127500
0
0
FAITH INC NPV ISIN#JP380269000
COM
j1334k100
3895
421680
SH
SOLE
421680
0
0
Futaba Corp Chiba
COM
j16758112
1085
72200
SH
SOLE
72200
0
0
GS YUASA CORP
COM
j1770l109
1132
194300
SH
SOLE
194300
0
0
INF DEVELOPMNT
COM
J2388G102
615
70600
SH
SOLE
70600
0
0
JAPAN HOTEL REIT INVESTMENT
COM
J2761Q107
847
1391
SH
SOLE
1391
0
0
KABU.COM SECURITIES COLTD NPV
COM
j29719101
1198
245160
SH
SOLE
245160
0
0
KATO SANGYO CO NPV ISIN#JP3213
COM
j3104n108
1802
85890
SH
SOLE
85890
0
0
KING CO LTD NPV ISIN#JP3261200
COM
j32878100
1476
367000
SH
SOLE
367000
0
0
KOEI TECMO HOLDINGS COLTD NPV
COM
j8239a103
1545
95710
SH
SOLE
95710
0
0
KOSE CORPORATION NPV ISIN#JP32
COM
j3622s100
1551
36510
SH
SOLE
36510
0
0
LIXIL GROUP CORP
COM
j3893w103
1161
54340
SH
SOLE
54340
0
0
MARUZEN CO LTD NPV ISIN#JP3875
COM
j40734105
1470
158000
SH
SOLE
158000
0
0
MEDIKIT
COM
J4187P101
410
13100
SH
SOLE
13100
0
0
MITSUI KNOWLEDGE INDUSTRY CO
COM
041679662
2120
911500
SH
SOLE
911500
0
0
OPT INC
COM
j61659108
3724
532500
SH
SOLE
532500
0
0
OTSUKA CORPORATION NPV ISIN#JP
COM
j6243l115
1202
30226
SH
SOLE
30226
0
0
PRONEXUS INC NPV ISIN#JP311900
COM
j6415x103
2068
293320
SH
SOLE
293320
0
0
SEVEN BANK
COM
J7164A104
1224
300220
SH
SOLE
300220
0
0
SHOBUNSHA PUBLICATIONS INC
COM
j7447q108
390
60600
SH
SOLE
60600
0
0
SOFT99 CORPORATION NPV ISIN#JP
COM
j7596y100
1273
205600
SH
SOLE
205600
0
0
SOFTBANK CORP NPV ISIN#JP34361
COM
j75963108
1188
16950
SH
SOLE
16950
0
0
SOFTCREATE HOLDINGS CORPNPV IS
COM
zzc17u3n4
548
61200
SH
SOLE
61200
0
0
SOTSU CO LTD NPV ISIN#JP343250
COM
j76556109
660
20900
SH
SOLE
20900
0
0
SRA HOLDINGS INC NPV ISIN#JP31
COM
j7659s107
2671
177920
SH
SOLE
177920
0
0
TOEI ANIMATION NPV ISIN#JP3560
COM
j84453109
3535
135760
SH
SOLE
135760
0
0
TOHOKUSHINSHA FILM CORPORATION
COM
j8514f108
1730
225800
SH
SOLE
225800
0
0
ZUKEN INC NPV ISIN#JP341200000
COM
j98974108
2712
269150
SH
SOLE
269150
0
0
Boralex Inc
COM
09950m300
5894
448537
SH
SOLE
448537
0
0
CASELLA WASTE SYSTEMS INC CLAS
COM
147448104
3135
814193
SH
SOLE
814193
0
0
Forbes Energy Services
COM
345143101
695
172490
SH
SOLE
172490
0
0
INVESCO BOND FUND MUTUAL FUND
COM
46132l107
5609
301868
SH
SOLE
301868
0
0
Nuveen Select Quality Muni Fun
COM
2532299
1099
80400
SH
SOLE
80400
0
0
CHS INC CUMVPFD 8%
PFD
12542r209
985
32712
SH
SOLE
32712
0
0
ISHARES CORE S&P 500ETF
ETF
464287200
590
2975
SH
SOLE
2975
0
0
ISHARES RUS 1000 VAL ETF
ETF
464287598
212
2115
SH
SOLE
2115
0
0
ISHARES RUSSELL 2000 INDEX FUN
ETF
464287655
624
5711
SH
SOLE
5711
0
0
ISHARES RUSSELL 3000ETF
ETF
464287689
4682
40089
SH
SOLE
40089
0
0
ISHARES S&P 500 GROWTHETF
ETF
464287309
1434
13429
SH
SOLE
13429
0
0
SPDR S&P 500 ETF TRUST
ETF
78462F103
317
1608
SH
SOLE
1608
0
0
VANGUARD DIV APPRCIATION
ETF
921908844
376
4887
SH
SOLE
4887
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
357
8568
SH
SOLE
8568
0
0
ALERIAN MLP ETF
ETF
00162q866
1027
53571
SH
SOLE
53571
0
0
ISHARES MSCI EAFE INDEX FUND
ETF
464287465
16002
249558
SH
SOLE
249558
0
0
ISHARES MSCI EMERGINGMARKETS E
ETF
464287234
11115
267443
SH
SOLE
267443
0
0
ISHARES S&P GLOBAL TIMBER & FO
ETF
464288174
20891
423740
SH
SOLE
423740
0
0
JAPAN SMALLER CAPTLZTN FD INC
ETF
47109U104
24111
2488259
SH
SOLE
2488259
0
0
VANGUARD REIT INDEX ETF
ETF
922908553
984
13688
SH
SOLE
13688
0
0
WISDOMTREE TRUST JAPANHEDGE EQ
ETF
97717w851
36424
696173
SH
SOLE
696173
0
0
FC HOLDINGS INC CL E CONV PFD
PFD
302995154
94
20000
SH
SOLE
20000
0
0
WINTHROP REALTY TRUST
PFD
976391607
8502
325865
SH
SOLE
325865
0
0
AMERICAN INTL GROUP INCWTS EXP
WT
acg874152
0
207685
SH
SOLE
207685
0
0
WTS PORTER BANCORP INC WT PUR
WT
736233115
0
43478
SH
SOLE
43478
0
0
Elizabeth Arden, Inc.
PUT
rden4886
374
291900
SH
SOLE
291900
0
0
Walter Energy Inc.
PUT
wlt160115
7233
3091400
SH
SOLE
3091400
0
0
WLT 1/15/16 P 5
PUT
wlt160115
648
277200
SH
SOLE
277200
0
0
PUT USB OCT 42.00000 10/18/20
PUT
8GPBMZ0
4183
100000
SH
SOLE
100000
0
0
PUT ACE OCT 100.0000 10/18/201
PUT
8C10099
2621
25000
SH
SOLE
25000
0
0
PUT ALL OCT 60.00000 10/18/201
PUT
8GDYBZ4
4602
75000
SH
SOLE
75000
0
0
PUT AXP OCT 85.00000 10/18/201
PUT
8GDYZH2
2188
25000
SH
SOLE
25000
0
0
PUT BK OCT 39.00000 10/18/2014
PUT
8E09642
426
25000
SH
SOLE
25000
0
0
PUT CMA OCT 48.00000 10/18/201
PUT
8GFBVV4
1246
25000
SH
SOLE
25000
0
0
PUT MS OCT 34.00000 10/18/2014
PUT
9GFMKS4
3457
100000
SH
SOLE
100000
0
0
PUT RNR OCT 100.0000 10/18/201
PUT
9GFQPM3
1499
15000
SH
SOLE
15000
0
0
PUT SCHW OCT 26.00000 10/18/20
PUT
8GQFJJ9
1763
60000
SH
SOLE
60000
0
0
PUT TRV OCT 92.50000 10/18/201
PUT
8GFTMR3
4697
50000
SH
SOLE
50000
0
0
PUT WFC OCT 49.00000 10/18/201
PUT
8GFWJD3
2593
50000
SH
SOLE
50000
0
0
PUT WFC OCT 50.00000 10/18/201
PUT
8GFWJD5
1296
25000
SH
SOLE
25000
0
0
PUT XL OCT 32.00000 10/18/2014
PUT
8GFWVW1
1658
50000
SH
SOLE
50000
0
0
PUT XLF OCT 23.00000 10/18/201
PUT
8GMQTN8
4634
200000
SH
SOLE
200000
0
0
HYG 10/18/14 P 90.5
PUT
hyg141018
2868
31200
SH
SOLE
31200
0
0
SPY 10/18/14 P 195
PUT
spy141018
7545
38300
SH
SOLE
38300
0
0
WLT 10/18/14 C 3.5
CALL
wlt141018
983
420200
SH
SOLE
420200
0
0
WLT 10/18/14 C 4
CALL
wlt141081
194
83300
SH
SOLE
833
0
0