Chief Compliance Officer

0001398344-13-004774.txt : 20131009 0001398344-13-004774.hdr.sgml : 20131009 20131009164957 ACCESSION NUMBER: 0001398344-13-004774 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131009 DATE AS OF CHANGE: 20131009 EFFECTIVENESS DATE: 20131009 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Baltimore-Washington Financial Advisors Inc. CENTRAL INDEX KEY: 0001426221 IRS NUMBER: 521677425 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13116 FILM NUMBER: 131143724 BUSINESS ADDRESS: STREET 1: 5950 SYMPHONY WOODS ROAD STREET 2: SUITE 600 CITY: COLUMBIA STATE: MD ZIP: 21044 BUSINESS PHONE: 410-461-3900 MAIL ADDRESS: STREET 1: 5950 SYMPHONY WOODS ROAD STREET 2: SUITE 600 CITY: COLUMBIA STATE: MD ZIP: 21044 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001426221 XXXXXXXX 09-30-2013 09-30-2013 false Baltimore-Washington Financial Advisors Inc.

5950 Symphony Woods Road Suite 600 Columbia MD 21044

13F HOLDINGS REPORT 028-13116 N Robert Carpenter Chief Compliance Officer 410-461-3900 /s/ Robert Carpenter Columbia MD 10-09-2013 0 211 252655 INFORMATION TABLE 2 fp0008426_13fhr-table.xml 13F INFORMATION TABLE 3M CO COM COM 88579Y101 4420 37012 SH SOLE 34967 0 2145 ABERDEEN ASIA-PAC PRIME INC COM COM 003009107 5645 931476 SH SOLE 862356 0 65820 ABERDEEN CHILE FUND COM COM 00301W105 3 225 SH SOLE 225 0 0 ACCURAY INC COM COM 004397105 1 124 SH SOLE 124 0 0 AES TRUST III PFD 6.75% CONV/CALL PFD CV 6.75% 00808N202 10 200 SH SOLE 200 0 0 AKAMAI TECHNOLOGIES COM COM 00971T101 5 100 SH SOLE 100 0 0 ALLIED NEVADA GOLD CORP COM COM 019344100 149 35695 SH SOLE 30425 0 7020 ALTERA CORP COM COM 021441100 3513 94530 SH SOLE 89055 0 5300 AMAZON.COM INC COM COM 023135106 31 100 SH SOLE 100 0 0 AMERICAN EXPRESS CO CM COM 025816109 19 255 SH SOLE 255 0 0 AMERICAN TOWER CORP REIT COM 03027X100 20 265 SH SOLE 265 0 0 AMGEN INC COM COM 031162100 12 110 SH SOLE 110 0 0 ANIKA THERAPEUTICS INC COM COM 035255108 845 35370 SH SOLE 29225 0 6145 APPLE INC COM COM 037833100 5067 10628 SH SOLE 9911 0 652 ARES CAPITAL CORP COM COM 04010L103 2233 129171 SH SOLE 120932 0 12339 AT&T INC COM COM 00206R102 5 150 SH SOLE 150 0 0 ATMI INC COM COM 00207R101 1950 73525 SH SOLE 67545 0 5980 AUTOMATIC DATA PROCESSING INC COM COM 053015103 15 213 SH SOLE 213 0 0 BAIDU INC ADR SPON ADR REP A 056752108 39 250 SH SOLE 0 0 250 BANK OF AMERICA CORP COM COM 060505104 131 9525 SH SOLE 9250 0 375 BANK OF NEW YORK MELLON CORP COM COM 064058100 3860 127841 SH SOLE 121441 0 5750 BEAZER HOMES USA INC COM COM NEW 07556Q881 10 550 SH SOLE 550 0 0 BERKSHIRE HATHAWAY INC DEL CL B CL B NEW 084670702 136 1200 SH SOLE 1200 0 0 BHP BILLITON LIMITED ADR SPONSORED ADR 088606108 30 450 SH SOLE 450 0 0 BLACKROCK CORP HIGH YLD FD VI COM COM 09255P107 46 3900 SH SOLE 0 0 3900 BLACKROCK MARYLAND MUN BD TR COM COM 09249L105 36 2754 SH SOLE 2754 0 0 BOEING CO COM COM 097023105 79 676 SH SOLE 676 0 0 CAL-MAINE FOODS INC COM COM NEW 128030202 5089 105863 SH SOLE 98668 0 7395 CALPINE INC COM COM NEW 131347304 10 490 SH SOLE 490 0 0 CAMPBELL SOUP CO COM COM 134429109 1622 39847 SH SOLE 37427 0 2420 CAPSTEAD MORTGAGE CORP COM COM NO PAR 14067E506 40 3400 SH SOLE 3400 0 0 CATERPILLAR INC COM COM 149123101 29 350 SH SOLE 100 0 250 CEDAR FAIR L P DEPOSITRY UNIT DEPOSITRY UNIT 150185106 33 750 SH SOLE 750 0 0 CHEVRON CORP COM COM 166764100 78 640 SH SOLE 640 0 0 CHICO'S FAS INC COM COM 168615102 8 500 SH SOLE 500 0 0 CISCO SYSTEMS INC COM COM 17275R102 3734 159366 SH SOLE 149086 0 10280 CITIGROUP INC COM COM NEW 172967424 59 1224 SH SOLE 912 0 312 COCA COLA CO COM COM 191216100 49 1300 SH SOLE 800 0 500 COLGATE PALMOLIVE CO COM COM 194162103 3252 54834 SH SOLE 52454 0 2380 CONOCOPHILLIPS CORP COM COM 20825C104 5025 72292 SH SOLE 68717 0 3575 COPART INC COM COM 217204106 72 2250 SH SOLE 1000 0 1250 CORRECTIONS CORP OF AMERICA COM COM NEW 22025Y407 0 1 SH SOLE 0 0 1 COSTAR GROUP INC COM COM 22160N109 50 300 SH SOLE 300 0 0 CREE, INC. COM COM 225447101 9 150 SH SOLE 150 0 0 CUMMINS INC COM COM 231021106 66 500 SH SOLE 500 0 0 CURRENCY SH CAN DOL TR EXCHANGE TRADED FUND CDN DOLLAR SHS 23129X105 48 500 SH SOLE 500 0 0 CURRENCY SHARES AUS DOLLAR TRUST AUSTRALIAN DOL 23129U101 1103 11805 SH SOLE 11515 0 290 DARDEN RESTAURANTS INC COM COM 237194105 6 125 SH SOLE 125 0 0 DIGITL REALTY TRUST INC COM COM 253868103 16 300 SH SOLE 0 0 300 DOMINION RESOURCES INC COM COM 25746U109 3136 50194 SH SOLE 46819 0 3075 DOW CHEMICAL COM COM 260543103 4814 125370 SH SOLE 116000 0 9170 DU PONT E I DE NEMOURS & CO COM COM 263534109 59 1000 SH SOLE 1000 0 0 DUNKIN BRANDS GROUP COM COM 265504100 5 100 SH SOLE 100 0 0 EAGLE BANCORP INC (MD) COM COM 268948106 11 385 SH SOLE 385 0 0 EATON VANCE MUN BOND CLOSED END FUND COM 27827X101 34 2978 SH SOLE 2978 0 0 EXPRESS SCRIPTS HOLDING CO COM COM 30219G108 2726 44109 SH SOLE 40169 0 4040 EXXON MOBIL CORPORATION COM COM 30231G102 1943 22580 SH SOLE 20533 0 2047 F5 NETWORKS INC COM COM 315616102 2415 28140 SH SOLE 25450 0 2690 FACEBOOK INC COM CL A 30303M102 100 2000 SH SOLE 2000 0 0 FINANCIAL ENGINES INC COM COM 317485100 2116 35607 SH SOLE 32157 0 3450 FORD MOTOR COM COM PAR $0.01 345370860 42 2500 SH SOLE 2500 0 0 FREEPORT MCMORAN COPPER & GOLD COM COM 35671D857 79 2400 SH SOLE 2400 0 0 GENERAL ELECTRIC CO COM COM 369604103 41 1700 SH SOLE 1700 0 0 GENOMIC HEALTH INC COM COM 37244C101 2086 68220 SH SOLE 61090 0 7130 GENTEX CORP COM COM 371901109 1688 65955 SH SOLE 59260 0 6695 GILEAD SCIENCES INC COM COM 375558103 1378 21925 SH SOLE 18730 0 2225 GOOGLE INC CL A CL A 38259P508 2722 3108 SH SOLE 2888 0 220 GROUPON INC COM COM CL A 399473107 11 1000 SH SOLE 1000 0 0 GUGGENHEIM ABC GUGGENHEIM CANADIAN ENERGY INC GUGG CA ENRG INC 18383Q606 6 400 SH SOLE 400 0 0 GUGGENHEIM S&P 500 EQUAL WEIGHT ETF GUG S&P500 EQ WT 78355W106 636 9760 SH SOLE 7725 0 1975 HANCOCK JOHN INVS TR COM COM 410142103 19 1000 SH SOLE 1000 0 0 HEALTHCARE TRUST OF AMERICA CLASS A CL A 42225P105 2049 194815 SH SOLE 176015 0 13840 HHGREGG INC COM COM 42833L108 7 400 SH SOLE 400 0 0 HOME DEPOT INC COM COM 437076102 22 296 SH SOLE 296 0 0 IMMUNOCELLULAR THERAPEUTICS COM COM 452536105 5 2000 SH SOLE 2000 0 0 IMMUNOGEN INC COM COM 45253H101 25 1450 SH SOLE 1450 0 0 INTEL CORP COM COM 458140100 55 2395 SH SOLE 0 0 2395 INTERMUNE INC COM COM 45884X103 1516 98570 SH SOLE 86475 0 12095 INTL BUSINESS MACHINES COM COM 459200101 317 1710 SH SOLE 1710 0 0 IPG PHOTONICS CORP COM COM 44980X109 32 570 SH SOLE 570 0 0 ISHARES 1-3 YEAR CREDIT BND ETF 1-3 YR CR BD ETF 464288646 8799 83581 SH SOLE 74735 0 8946 ISHARES 1-3 YR TREASURY BND ETF 1-3 YR TR BD ETF 464287457 84 1000 SH SOLE 1000 0 0 ISHARES COHEN & STEERS REIT ETF COHEN&STEER REIT 464287564 543 7059 SH SOLE 4020 0 2539 ISHARES CORE S&P 500 ETF CORE S&P500 ETF 464287200 10 59 SH SOLE 59 0 0 ISHARES CORE S&P SMALL-CAP ETF CORE S&P SCP ETF 464287804 78 785 SH SOLE 585 0 200 ISHARES CORE TOTAL U.S. BOND ETF CORE TOTUSBD ETF 464287226 2557 23851 SH SOLE 16610 0 7241 ISHARES EUROPE ETF EUROPE ETF 464287861 713 16160 SH SOLE 14710 0 1450 ISHARES GLOBAL TECH ETF GLOBAL TECH ETF 464287291 49 650 SH SOLE 650 0 0 ISHARES IBOXX $ INVMNT GRD CORP BD ETF IBOXX INV CP ETF 464287242 90 792 SH SOLE 317 0 475 ISHARES INDIA 50 ETF INDIA 50 ETF 464289529 213 10135 SH SOLE 9315 0 820 ISHARES MSCI BRAZIL CAPPED ETF MSCI BRZ CAP ETF 464286400 1749 36500 SH SOLE 34590 0 2410 ISHARES MSCI CANADA ETF MSCI CDA ETF 464286509 67 2350 SH SOLE 2350 0 0 ISHARES MSCI EAFE ETF MSCI EAFE ETF 464287465 2812 44082 SH SOLE 36025 0 7762 ISHARES MSCI EMERGING MKTS ETF MSCI EMG MKT ETF 464287234 21 524 SH SOLE 524 0 0 ISHARES MSCI EMRG MKTS MIN VOL ETF EM MK MINVOL ETF 464286533 47 800 SH SOLE 0 0 800 ISHARES MSCI SINGAPORE ETF MSCI SINGAP ETF 464286673 854 63985 SH SOLE 59080 0 4905 ISHARES RUSSELL 1000 VALUE ETF RUS 1000 VAL ETF 464287598 23 266 SH SOLE 266 0 0 ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 18 170 SH SOLE 170 0 0 ISHARES RUSSELL 2000 GROWTH ETF RUS 2000 GRW ETF 464287648 434 3450 SH SOLE 3025 0 425 ISHARES RUSSELL MID-CAP ETF RUS MID-CAP ETF 464287499 857 6164 SH SOLE 2590 0 3574 ISHARES RUSSELL MID-CAP VALUE ETF RUS MDCP VAL ETF 464287473 203 3339 SH SOLE 2404 0 935 ISHARES S&P SMALL-CAP 600 VALUE ETF SP SMCP600VL ETF 464287879 11 110 SH SOLE 110 0 0 ISHARES SELECT DIVIDEND ETF SELECT DIVID ETF 464287168 2253 33963 SH SOLE 19835 0 14128 ISHARES TIPS BOND ETF TIPS BD ETF 464287176 428 3806 SH SOLE 3394 0 412 JOHNSON & JOHNSON COM COM 478160104 153 1765 SH SOLE 1200 0 565 JOHNSON CTLS INC COM COM 478366107 5255 126638 SH SOLE 119708 0 6930 JP MORGAN CHASE & CO COM COM 46625H100 3 58 SH SOLE 58 0 0 KINDER MORGAN ENERGY PARTNERS CM LP UT LTD PARTNER 494550106 4374 54795 SH SOLE 51585 0 3210 KOHLS CORP COM COM 500255104 92 1785 SH SOLE 910 0 875 LABORATORY CORP OF AMERICA COM COM NEW 50540R409 2653 26760 SH SOLE 24815 0 1945 LEVEL 3 COMMUNICATIONS INC COM COM NEW 52729N308 0 2 SH SOLE 2 0 0 LIVE NATION ENTERTAINMENT INC COM COM 538034109 6 300 SH SOLE 300 0 0 LOCKHEED MARTIN COM COM 539830109 15 114 SH SOLE 114 0 0 M & T BANK CORPORATION COM COM 55261F104 92 819 SH SOLE 819 0 0 MAIN STREET CAPITAL HOLDINGS COM COM 56035L104 9 300 SH SOLE 300 0 0 MAKO SURGICALS CORP COM COM 560879108 24 800 SH SOLE 800 0 0 MARATHON OIL CORP COM COM 565849106 70 2000 SH SOLE 2000 0 0 MARATHON PETE CORP COM COM 56585A102 3237 50324 SH SOLE 47189 0 3135 MARKEL CP COM COM 570535104 31 60 SH SOLE 60 0 0 MARKET VECTORS BDC INCOME ETF BUSI DEVCO ETF 57060U316 41 2000 SH SOLE 2000 0 0 MARKET VECTORS GOLD MINERS ETF GOLD MINER ETF 57060U100 8 300 SH SOLE 300 0 0 MARKET VECTORS SHORT MUNI INDEX MKTVEC SMUNETF 57060U803 190 10825 SH SOLE 8825 0 2000 MARRIOTT VACATIONS WORLD W/I COM COM 57164Y107 21 467 SH SOLE 467 0 0 MARTHA STEWART LIVING CL A CL A 573083102 0 30 SH SOLE 30 0 0 MCCORMICK & CO INC COM NON VTG COM NON VTG 579780206 2 33 SH SOLE 33 0 0 MCCORMICK & CO INC VTG COM COM VTG 579780107 23 350 SH SOLE 350 0 0 MCDONALDS CORP COM COM 580135101 19 200 SH SOLE 200 0 0 MEDASSETS INC COM COM 584045108 496 19525 SH SOLE 15600 0 1705 MEDTRONIC INC COM COM 585055106 17 310 SH SOLE 0 0 310 MERCK & CO INC. COM COM 58933Y105 2381 50022 SH SOLE 47697 0 2325 MICROSOFT CORP COM COM 594918104 4769 143287 SH SOLE 133032 0 10255 MICROVISION COM COM NEW 594960304 3 1710 SH SOLE 1710 0 0 MONSANTO CO COM COM 61166W101 7 68 SH SOLE 68 0 0 MYLAN INC COM COM 628530107 3625 94978 SH SOLE 86578 0 8625 NATIONAL RETAIL PROPERTIES INC COM COM 637417106 12 375 SH SOLE 375 0 0 NATIONAL-OILWELL VARCO INC COM COM 637071101 2240 28675 SH SOLE 26595 0 1900 NEXTERA ENERGY INC COM COM 65339F101 18 225 SH SOLE 225 0 0 NIC INC COM COM 62914B100 3536 153010 SH SOLE 136505 0 16505 NOVARTIS AG ADR SPONSORED ADR 66987V109 48 625 SH SOLE 0 0 625 NOVOGEN LIMITED SPONS ADR SPON ADR 1:25 SH 67010F202 0 110 SH SOLE 110 0 0 NOVO-NORDISK A S ADR ADR 670100205 41 240 SH SOLE 0 0 240 NUVEEN MD PREM INCOME MUN FD COM COM 67061Q107 141 11582 SH SOLE 11582 0 0 NXP SEMICONDUCTOR NV COM COM N6596X109 19 500 SH SOLE 500 0 0 OCCIDENTAL PETROLEUM CORP COM COM 674599105 5177 55340 SH SOLE 50835 0 4505 OLD NATL BANCORP IND COM COM 680033107 48 3400 SH SOLE 3400 0 0 OLIN CORP COM PAR $1 COM PAR $1 680665205 966 41890 SH SOLE 40715 0 1625 OXFORD INDUSTRIES INC COM COM 691497309 1130 16620 SH SOLE 14470 0 2150 PANERA BREAD CO CL A CL A 69840W108 16 100 SH SOLE 100 0 0 PARKER HANNIFIN CORP COM COM 701094104 4670 42955 SH SOLE 38680 0 4275 PAYCHEX INC COM COM 704326107 45 1100 SH SOLE 0 0 1100 PENN WEST PETE LTD NEW COM COM 707887105 6 500 SH SOLE 500 0 0 PEPSICO INC COM COM 713448108 5333 67076 SH SOLE 62821 0 3955 PFIZER INC COM COM 717081103 60 2100 SH SOLE 2100 0 0 PIMCO MUNI INCOME FUND CLOSED-END FUND COM 72200R107 38 3058 SH SOLE 3058 0 0 PLAINS ALL AMERICAN PIPELINE COM LP UNIT LTD PARTN 726503105 5866 111400 SH SOLE 105295 0 6105 PNC FINL CORP COM COM 693475105 47 650 SH SOLE 0 0 650 POTASH CORP SASK INC COM COM 73755L107 421 13445 SH SOLE 12495 0 1350 POWERSHARES FTSE RAFI US 1000 PORTFOLIO FTSE RAFI 1000 73935X583 83 1100 SH SOLE 1100 0 0 POWERSHARES QQQ UNIT SER 1 73935A104 1981 25116 SH SOLE 18437 0 6679 PROCTER GAMBLE CO COM COM 742718109 227 3007 SH SOLE 3007 0 0 PROLOGIS COM COM 74340W103 12 325 SH SOLE 325 0 0 PUBLIC SVC ENTERPRISE GROUP COM COM 744573106 3819 115985 SH SOLE 110945 0 5040 QUALCOMM INC COM COM 747525103 490 7285 SH SOLE 2865 0 0 QUANTUM FUEL SYSTEMS TEC COM COM PAR $0.02 74765E307 0 10 SH SOLE 10 0 0 RAYONIER INC COM COM 754907103 5542 99583 SH SOLE 93216 0 6367 ROCKWELL AUTOMATION INC COM COM 773903109 5232 48921 SH SOLE 45511 0 3700 ROCKWELL COLLINS COM COM 774341101 27 404 SH SOLE 404 0 0 ROYAL DUTCH SHELL PLC ADR CLASS A SPONS ADR A 780259206 1 12 SH SOLE 12 0 0 SEATTLE GENETICS INC COM COM 812578102 20 458 SH SOLE 458 0 0 SELECT SECTOR SPDR TRUST HEALTH CARE SELECT INDEX SBI HEALTHCARE 81369Y209 1651 32627 SH SOLE 20957 0 10795 SIRIUS XM RADIO INC COM COM 82967N108 15 3760 SH SOLE 3760 0 0 SOUTHERN CO COM COM 842587107 21 500 SH SOLE 500 0 0 SPDR DOW JONES INDUSTRIAL AVE ETF TRUST UT SER 1 78467X109 8 50 SH SOLE 50 0 0 SPDR GOLD TR GOLD SHS ETF GOLD SHS 78463V107 90 700 SH SOLE 400 0 300 SPDR S&P HI YLD DIV ARISTOCRATS IDX S&P DIVID ETF 78464A763 240 3485 SH SOLE 2055 0 1340 SPDR S&P MIDCAP 400 ETF TRUST UTSER1 S&PDCRP 78467Y107 462 2041 SH SOLE 1291 0 750 SPDR TR S&P 500 ETF TR TR UNIT 78462F103 13 75 SH SOLE 75 0 0 SPECTRUM PHARMACEUTICALS INC COM COM 84763A108 14 1730 SH SOLE 1730 0 0 ST JUDE MED INC COM COM 790849103 3331 62102 SH SOLE 58002 0 4100 STARBUCKS CORP COM COM 855244109 15 200 SH SOLE 200 0 0 STATE STREET CORP COM COM 857477103 4626 70352 SH SOLE 65127 0 4825 STRYKER CORP COM COM 863667101 3787 56026 SH SOLE 53361 0 3940 SUBURBAN PROPANE PARTNERS LP COM UNIT LTD PARTN 864482104 2961 63260 SH SOLE 61805 0 2855 SYSCO CORP COM COM 871829107 3942 123860 SH SOLE 113220 0 10640 TARGET CORP COM COM 87612E106 3439 53750 SH SOLE 50200 0 3450 TATA MOTORS LTD COM SPONSORED ADR 876568502 16 600 SH SOLE 600 0 0 TEXAS INSTRUMENTS INC COM COM 882508104 4488 111391 SH SOLE 104646 0 6895 THE BLACKSTONE GROUP LP COM COM UNIT LTD 09253U108 2476 99485 SH SOLE 89005 0 7170 UNDER ARMOUR INC COM CLASS A CL A 904311107 20 250 SH SOLE 250 0 0 UNION PAC CORP COM COM 907818108 97 624 SH SOLE 264 0 360 UNITED TECH CORP COM COM 913017109 5028 46637 SH SOLE 43722 0 2915 V F CORP COM COM 918204108 1660 8342 SH SOLE 7797 0 545 VANGUARD CRSP US LARGE CAP INDEX LARGE CAP ETF 922908637 3918 50657 SH SOLE 30511 0 20106 VANGUARD CRSP US LARGE CAP VALUE IND ET VALUE ETF 922908744 4644 66537 SH SOLE 42879 0 23658 VANGUARD CRSP US MID CAP INDEX MID CAP ETF 922908629 1306 12739 SH SOLE 10434 0 2105 VANGUARD CRSP US SMALL CAP VALUE IND ET SM CP VAL ETF 922908611 1890 20947 SH SOLE 15690 0 5137 VANGUARD EMERGING MARKETS ETF FTSE EMR MKT ETF 922042858 4362 108677 SH SOLE 95378 0 13229 VANGUARD SHORT TERM BOND FUND SHORT TRM BOND 921937827 417 5194 SH SOLE 4909 0 285 VANGUARD SHORT TERM CORP BOND ETF SHRT TRM CORP BD 92206C409 5327 66920 SH SOLE 61840 0 5080 VANGUARD TOTAL STOCK MARKET ETF TOTAL STK MKT 922908769 51 577 SH SOLE 325 0 252 VODAFONE GROUP PLC ADR SPONS ADR NEW 92857W209 6606 187773 SH SOLE 172598 0 15175 WALT DISNEY CO COM COM DISNEY 254687106 41 639 SH SOLE 639 0 0 WASHINGTON REAL ESTATE INVT SH BEN INT SH BEN INT 939653101 3856 152590 SH SOLE 142180 0 10410 WELLS FARGO & CO COM COM 949746101 4344 105139 SH SOLE 94144 0 10995 WESTERN ASSET INTERMEDIATE MUN CLOSED END FUND COM 958435109 38 4145 SH SOLE 4145 0 0 WESTPORT INNOVATIONS INC COM COM NEW 960908309 18 741 SH SOLE 741 0 0 WHITING PETROLEUM CORP COM COM 966387102 54 900 SH SOLE 0 0 900 YAHOO! INC COM COM 984332106 711 21440 SH SOLE 14000 0 200 YUM! BRANDS INC COM COM 988498101 17 242 SH SOLE 242 0 0 ZALICUS INC 1:6 R/S 10/3/13 98887C204 COM 98887C105 3 2205 SH SOLE 2205 0 0 ZIX CORPORATION COM COM 98974P100 7 1500 SH SOLE 1500 0 0