0001193125-13-223827.txt : 20130516 0001193125-13-223827.hdr.sgml : 20130516 20130516124053 ACCESSION NUMBER: 0001193125-13-223827 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130516 DATE AS OF CHANGE: 20130516 EFFECTIVENESS DATE: 20130516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Orinda Asset Management LLC CENTRAL INDEX KEY: 0001502631 IRS NUMBER: 272804413 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-15243 FILM NUMBER: 13850294 BUSINESS ADDRESS: STREET 1: 4 ORINDA WAY, SUITE 180-C CITY: ORINDA STATE: CA ZIP: 94563 BUSINESS PHONE: 925-253-1300 MAIL ADDRESS: STREET 1: 4 ORINDA WAY, SUITE 180-C CITY: ORINDA STATE: CA ZIP: 94563 13F-HR/A 1 d540235d13fhra.txt FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISION Washington, D.C. 20549 Form 13F Form 13F Cover Page Report for the Calendar Year or Quarter Ended: March 31, 2013 Check here if Amendment [X]; Amendment Number: 1 This Amendment (Check only one.) [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Orinda Asset Management LLC Address: 4 Orinda Way Suite 100B Orinda, CA 94563 Form 13F File Number: 28-15243 The institutional investment manager filing this report and the person by whom it is signed hereby represents 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. Person Signing this Report on Behalf of Reporting Manager: Name: Cynthia Yee Title: Chief Financial Officer Phone: 925-253-1300 Signature, Place, and Date of Signing: /s/ Cynthia Yee Orinda, CA May 16, 2013 ---------------------- --------------------- ------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [ ] 13F Holdings Report. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F Notice. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting managers(s).) [X] 13F Combination Report. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F File Number Name 28-10361 GRT Capital Partners, LLC 28-14338 OMT Capital Management LLC 28-04129 M.A. Weatherbie & Co., Inc. 28-15189 Covenant Financial Services LLC 28-15202 Connective Capital Management, LLC FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 5 Form 13F Information Table Entry Total: 400 Form 13F Information Table Value Total: 144,544 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 28-10361 GRT Capital Partners, LLC 2 28-14338 OMT Capital Management LLC 3 28-04129 M.A. Weatherbie & Co., Inc. 4 28-15189 Covenant Financial Services LLC 5 28-15202 Connective Capital Management, LLC FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ---------------------------- ---------------- --------- -------- ------- --- ---- ---------- -------- ------ ------ ------ BRINKER INTL INC COM 109641100 198 5259 SH Other 1 5259 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 1010 175034 SH Other 1, 2 175034 CF INDS HLDGS INC COM 125269100 726 3814 SH Other 1, 5 3814 CSG SYS INTL INC COM 126349109 160 7552 SH Other 1 7552 CVS CAREMARK CORPORATION COM 126650100 1353 24600 SH Other 24600 CARROLLTON BANCORP COM 145282109 9 1633 SH Other 1 1633 CEDAR REALTY TRUST INC COM NEW 150602209 122 20000 SH Sole 20000 CENTRAL FD CDA LTD CL A 153501101 1666 86016 SH Other 86016 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 170 2737 SH Other 2737 CHICOS FAS INC COM 168615102 794 47290 SH Other 2 47290 CHRISTOPHER & BANKS CORP COM 171046105 242 37674 SH Other 37674 COACH INC COM 189754104 450 9000 SH Other 4 9000 COCA COLA CO COM 191216100 303 7500 SH Other 4 7500 COMERICA INC COM 200340107 192 5340 SH Other 5340 COMMERCE BANCSHARES INC COM 200525103 157 3833 SH Other 3833 COMPUTER SCIENCES CORP COM 205363104 230 4663 SH Other 1 4663 CONCEPTUS INC COM 206016107 399 16517 SH Other 3 16517 CONCUR TECHNOLOGIES INC COM 206708109 396 5766 SH Other 3 5766 COOPER TIRE & RUBR CO COM 216831107 20 772 SH Other 1 772 CRAY INC COM NEW 225223304 148 6387 SH Other 1 6387 DECKERS OUTDOOR CORP COM 243537107 1854 33292 SH Other 3 33292 DELTA AIR LINES INC DEL COM NEW 247361702 157 9482 SH Other 1 9482 DISCOVER FINL SVCS COM 254709108 143 3200 SH Other 3200 DRIL-QUIP INC COM 262037104 561 6439 SH Other 3 6439 ECB BANCORP INC COM 268253101 77 5316 SH Other 1 5316 EMC INS GROUP INC COM 268664109 150 5682 SH Other 1 5682 ELDORADO GOLD CORP NEW COM 284902103 145 15170 SH Other 1 15170 EMERSON ELEC CO COM 291011104 335 6000 SH Other 4 6000 ERICSSON ADR B SEK 10 294821608 187 14854 SH Other 1 14854 ESCO TECHNOLOGIES INC COM 296315104 579 14170 SH Other 2 14170 EXPEDITORS INTL WASH INC COM 302130109 120 3365 SH Other 1 3365 FXCM INC COM CL A 302693106 106 7762 SH Other 3 7762 FARMERS NATL BANC CORP COM 309627107 69 11009 SH Other 1 11009 FARO TECHNOLOGIES INC COM 311642102 358 8252 SH Other 3 8252 FIFTH THIRD BANCORP COM 316773100 147 9028 SH Other 9028 51JOB INC SP ADR REP COM 316827104 397 6675 SH Other 5 6675 FINANCIAL ENGINES INC COM 317485100 612 16910 SH Other 2 16910 FIRST FINL HLDGS INC COM 320239106 258 12288 SH Other 1 12288 FIRST TR MORNINGSTAR DIV LEA SHS 336917109 347 16803 SH Other 16803 FLAGSTAR BANCORP INC COM PAR .001 337930705 140 10077 SH Other 1 10077 FORD MTR CO DEL COM PAR $0.01 345370860 446 33878 SH Other 4 33878 FRANCESCAS HLDGS CORP COM 351793104 1003 35012 SH Other 3 35012 GENERAC HLDGS INC COM 368736104 149 4228 SH Other 1 4228 GIANT INTERACTIVE GROUP INC ADR 374511103 96 14700 SH Other 14700 GOLDCORP INC NEW COM 380956409 187 5559 SH Other 5559 GRACO INC COM 384109104 1102 18997 SH Other 2 18997 GRAMERCY CAP CORP COM 384871109 610 117000 SH Sole 117000 GRAY TELEVISION INC COM 389375106 74 15777 SH Other 1 15777
GREEN PLAINS RENEWABLE ENERG COM 393222104 262 22881 SH Other 5 22881 GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 60 2123 SH Other 2123 H & E EQUIPMENT SERVICES INC COM 404030108 365 17891 SH Other 3 17891 HARRIS & HARRIS GROUP INC COM 413833104 14 3955 SH Other 3955 HECKMANN CORP COM 422680108 100 23349 SH Other 23349 HECLA MNG CO COM 422704106 66 16631 SH Other 16631 HEICO CORP NEW COM 422806109 558 12852 SH Other 3 12852 HELMERICH & PAYNE INC COM 423452101 314 5166 SH Other 1 5166 HOLLYFRONTIER CORP COM 436106108 347 6741 SH Other 5 6741 HOLOGIC INC COM 436440101 828 36640 SH Other 2 36640 HOPFED BANCORP INC COM 439734104 18 1672 SH Other 1 1672 HOVNANIAN ENTERPRISES INC CL A 442487203 58 10000 SH Sole 10000 HUNTINGTON BANCSHARES INC COM 446150104 128 17263 SH Other 17263 HURON CONSULTING GROUP INC COM 447462102 467 11592 SH Other 3 11592 IAMGOLD CORP COM 450913108 117 16300 SH Other 16300 IHS INC CL A 451734107 1003 9576 SH Other 3 9576 INTEL CORP COM 458140100 328 15000 SH Other 4 15000 INTERNATIONAL BUSINESS MACHS COM 459200101 384 1800 SH Other 4 1800 INTERNATIONAL RECTIFIER CORP COM 460254105 994 46980 SH Other 2 46980 INTERVEST BANCSHARES CORP COM 460927106 101 17100 SH Other 1 17100 ISHARES TR DJ SEL DIV INX 464287168 412 6498 SH Other 6498 ISHARES TR MSCI EMERG MKT 464287234 428 10000 SH Other 4 10000 ISHARES TR IBOXX INV CPBD 464287242 64 533 SH Other 533 ISHARES TR S&P500 GRW 464287309 468 5676 SH Other 5676 ISHARES TR S&P/TOPIX 150 464287382 234 5000 SH Other 4 5000 ISHARES TR BARCLYS MBS BD 464288588 79 735 SH Other 735 ITC HLDGS CORP COM 465685105 605 6780 SH Other 2 6780 JOHNSON & JOHNSON COM 478160104 417 5111 SH Other 1, 4 5111 KLA-TENCOR CORP COM 482480100 131 2486 SH Other 1 2486 KEYCORP NEW COM 493267108 146 14639 SH Other 14639 KIMBALL INTL INC CL B 494274103 83 9203 SH Other 1 9203 KINROSS GOLD CORP COM NO PAR 496902404 164 20686 SH Other 20686 KOHLS CORP COM 500255104 231 5000 SH Other 4 5000 KORN FERRY INTL COM NEW 500643200 142 7961 SH Other 1 7961 LKQ CORP COM 501889208 1175 53996 SH Other 3 53996 LNB BANCORP INC COM 502100100 53 6371 SH Other 1 6371 LANDSTAR SYS INC COM 515098101 866 15176 SH Other 2, 3 15176 LANNET INC COM 516012101 166 16433 SH Other 1 16433 LEXINGTON REALTY TRUST PFD CONV SER C 529043309 180 3667 SH Sole 3667 LILLY ELI & CO COM 532457108 238 4193 SH Other 4193 LINCOLN NATL CORP IND COM 534187109 110 3360 SH Other 1 3360 LINDSAY CORP COM 535555106 237 2689 SH Other 1 2689 LOEWS CORP COM 540424108 441 10000 SH Other 4 10000 LOUISIANA PAC CORP COM 546347105 161 7475 SH Other 7475 MPG OFFICE TR INC COM 553274101 1370 498112 SH Sole 498112 MACK CALI RLTY CORP COM 554489104 286 10000 SH Sole 10000 MASIMO CORP COM 574795100 289 14725 SH Other 3 14725 MASTEC INC COM 576323109 1388 47620 SH Other 2 47620 MCDONALDS CORP COM 580135101 299 3000 SH Other 4 3000 METROCORP BANCSHARES INC COM 591650106 2 173 SH Other 1 173 MIDDLEBY CORP COM 596278101 288 1892 SH Other 3 1892 MINE SAFETY APPLIANCES CO COM 602720104 143 2878 SH Other 1 2878 MOHAWK INDS INC COM 608190104 152 1345 SH Other 1345 MORGAN STANLEY CHINA A SH FD COM 617468103 123 5201 SH Other 1 5201
NATIONAL CINEMEDIA INC COM 635309107 994 63010 SH Other 2 63010 NATIONAL FUEL GAS CO N J COM 636180101 97 1585 SH Other 1585 NATIONAL INSTRS CORP COM 636518102 876 26759 SH Other 2, 3 26759 NATIONAL OILWELL VARCO INC COM 637071101 421 5949 SH Other 5 5949 NATIONAL RETAIL PPTYS INC COM 637417106 36 1000 SH Sole 1000 NEW GOLD INC CDA COM 644535106 273 29923 SH Other 1 29923 NEW HAMPSHIRE THRIFT BANCSHS COM 644722100 40 3070 SH Other 1 3070 NEWMONT MINING CORP COM 651639106 115 2756 SH Other 2756 NEWPORT CORP COM 651824104 1032 61020 SH Other 2 61020 NORDSON CORP COM 655663102 89 1352 SH Other 1352 NORTH AMERN PALLADIUM LTD COM 656912102 110 76993 SH Other 76993 NORTHROP GRUMMAN CORP COM 666807102 130 1857 SH Other 1 1857 OAK RIDGE FINL SVCS INC COM 671768109 66 15257 SH Other 1 15257 OCEANEERING INTL INC COM 675232102 337 5081 SH Other 5 5081 OMEGA HEALTHCARE INVS INC COM 681936100 228 7500 SH Sole 7500 OWENS CORNING NEW COM 690742101 450 11400 SH Other 11400 PANDORA MEDIA INC COM 698354107 270 19035 SH Other 5 19035 PAREXEL INTL CORP COM 699462107 162 4088 SH Other 1 4088 PARKE BANCORP INC COM 700885106 170 23653 SH Other 1 23653 PATTERSON UTI ENERGY INC COM 703481101 137 5766 SH Other 1 5766 PEABODY ENERGY CORP COM 704549104 212 10000 SH Other 4 10000 PENNEY J C INC COM 708160106 151 10000 SH Other 4 10000 PEOPLES BANCORP N C INC COM 710577107 3 271 SH Other 1 271 PETMED EXPRESS INC COM 716382106 142 10596 SH Other 1 10596 PFIZER INC COM 717081103 528 18289 SH Other 4 18289 PLANTRONICS INC NEW COM 727493108 1122 25390 SH Other 2 25390 PLUM CREEK TIMBER CO INC COM 729251108 174 3324 SH Other 3324 QUAD / GRAPHICS INC COM CL A 747301109 157 6544 SH Other 1 6544 QUALCOMM INC COM 747525103 643 9605 SH Other 4 9605 QUESTAR CORP COM 748356102 143 5885 SH Other 5885 RPC INC COM 749660106 143 9418 SH Other 1 9418 RENTECH INC COM 760112102 14 5792 SH Other 5792 REPUBLIC AWYS HLDGS INC COM 760276105 305 26410 SH Other 1 26410 RESEARCH IN MOTION LTD COM 760975102 145 10011 SH Other 1 10011 RESMED INC COM 761152107 106 2294 SH Other 2294 RESPONSYS INC COM 761248103 499 56370 SH Other 2 56370 ROVI CORP COM 779376102 1075 50220 SH Other 2 50220 ROYAL GOLD INC COM 780287108 123 1732 SH Other 1 1732 RUBICON MINERALS CORP COM 780911103 255 105727 SH Other 1 105727 RUBY TUESDAY INC COM 781182100 367 49782 SH Other 49782 RUE21 INC COM 781295100 1006 34228 SH Other 3 34228 SEMPRA ENERGY COM 816851109 143 1787 SH Other 1787 SHORE BANCSHARES INC COM 825107105 148 21716 SH Other 1 21716 SILVER WHEATON CORP COM 828336107 151 4814 SH Other 1 4814 SNAP ON INC COM 833034101 273 3300 SH Other 3300 SOUTHWEST AIRLS CO COM 844741108 177 13158 SH Other 1 13158 SPECTRA ENERGY CORP COM 847560109 138 4485 SH Other 4485 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 104 5500 SH Other 5500 SPREADTRUM COMMUNICATIONS IN ADR 849415203 177 8636 SH Other 5 8636 STAMPS COM INC COM NEW 852857200 323 12945 SH Other 3 12945 STANDARD MTR PRODS INC COM 853666105 175 6304 SH Other 1 6304 STEWART INFORMATION SVCS COR COM 860372101 143 5596 SH Other 5596 SUFFOLK BANCORP COM 864739107 41 2875 SH Other 1 2875 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 999 58116 SH Other 5 58116
TASEKO MINES LTD COM 876511106 414 149550 SH Other 4 149550 TEREX CORP NEW COM 880779103 137 3990 SH Other 1 3990 TESORO CORP COM 881609101 669 11413 SH Other 5 11413 THERMO FISHER SCIENTIFIC INC COM 883556102 115 1500 SH Other 1500 THOMAS PPTYS GROUP INC COM 884453101 121 23633 SH Sole 23633 TIMBERLAND BANCORP INC COM 887098101 17 2014 SH Other 1 2014 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 411 4000 SH Other 4 4000 TRANSDIGM GROUP INC COM 893641100 781 5104 SH Other 3 5104 TRINITY INDS INC COM 896522109 167 3680 SH Other 3680 U M H PROPERTIES INC CV RED PFD-A 903002202 798 30000 SH Sole 30000 UNDER ARMOUR INC CL A 904311107 733 14321 SH Other 3 14321 UNI PIXEL INC COM NEW 904572203 122 3973 SH Other 5 3973 UNITED PARCEL SERVICE INC CL B 911312106 86 1000 SH Other 4 1000 VSB BANCORP INC N Y COM 917927105 38 3602 SH Other 1 3602 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 414 7550 SH Other 7550 VANGUARD INDEX FDS TOTAL STK MKT 922908769 363 4487 SH Other 4487 WABTEC CORP COM 929740108 144 1415 SH Other 1415 WAGEWORKS INC COM 930427109 207 8252 SH Other 3 8252 WASTE CONNECTIONS INC COM 941053100 598 16633 SH Other 3 16633 WESTERN REFNG INC COM 959319104 593 16749 SH Other 1, 5 16749 WEYERHAEUSER CO COM 962166104 195 6200 SH Other 6200 WHITESTONE REIT COM 966084204 832 54946 SH Sole 54946 WILLIAMS COS INC DEL COM 969457100 151 4039 SH Other 4039 WORLD FUEL SVCS CORP COM 981475106 1078 27130 SH Other 2 27130 XO GROUP INC COM 983772104 174 17374 SH Other 1 17374 YAHOO INC COM 984332106 879 37377 SH Other 5 37377 QUANTA SVCS INC COM 74762E102 153 5353 SH Other 5353 EXPRESS INC COM 30219E103 1247 70000 SH Other 70000 AMERISOURCEBERGEN CORP COM 03073E105 165 3201 SH Other 1 3201 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 561 30000 SH Other 30000 TARGET CORP COM 87612E106 924 13500 SH Other 13500 NCR CORP NEW COM 62886E108 747 27110 SH Other 2 27110 THE ADT CORPORATION COM 00101J106 180 3687 SH Other 1 3687 AOL INC COM 00184X105 119 3100 SH Other 3100 ABIOMED INC COM 003654100 1154 61810 SH Other 2 61810 ACACIA RESH CORP ACACIA TCH COM 003881307 97 3209 SH Other 3209 ACQUITY GROUP LTD SPONSORED ADR 00489C103 75 11876 SH Other 3 11876 ACUITY BRANDS INC COM 00508Y102 313 4520 SH Other 3 4520 ADVANCE AUTO PARTS INC COM 00751Y106 579 7000 SH Other 7000 AEROFLEX HLDG CORP COM 007767106 147 18669 SH Other 1 18669 AEROVIRONMENT INC COM 008073108 237 13072 SH Other 5 13072 AFFILIATED MANAGERS GROUP COM 008252108 988 6435 SH Other 3 6435 AGNICO EAGLE MINES LTD COM 008474108 160 3907 SH Other 3907 AGRIUM INC COM 008916108 134 1379 SH Other 1379 ALERE INC COM 01449J105 637 24940 SH Other 2 24940 ALIGN TECHNOLOGY INC COM 016255101 763 22770 SH Other 2 22770 ALLIANCE DATA SYSTEMS CORP COM 018581108 150 926 SH Other 1 926 ALLIANT TECHSYSTEMS INC COM 018804104 157 2170 SH Other 1 2170 ALON USA ENERGY INC COM 020520102 259 13586 SH Other 1 13586 AMAZON COM INC COM 023135106 92 347 SH Other 347 AMERICAN EXPRESS CO COM 025816109 202 3000 SH Other 4 3000 AMERICAN FINL GROUP INC OHIO COM 025932104 162 3410 SH Other 1 3410 AMERICAN RAILCAR INDS INC COM 02916P103 199 4253 SH Other 4253 AMGEN INC COM 031162100 156 1520 SH Other 1520
ANDERSONS INC COM 034164103 571 10669 SH Other 5 10669 ANGLOGOLD ASHANTI LTD SPONSORED ADR 035128206 106 4502 SH Other 4502 ANIKA THERAPEUTICS INC COM 035255108 178 12266 SH Other 1 12266 ANSYS INC COM 03662Q105 335 4114 SH Other 3, 5 4114 APOLLO COML REAL EST FIN INC COM 03762U105 1172 66634 SH Sole 66634 APPLE INC COM 037833100 443 1000 SH Other 4 1000 ARBOR RLTY TR INC COM 038923108 1410 179863 SH Sole 179863 ARCHER DANIELS MIDLAND CO COM 039483102 536 15892 SH Other 5 15892 ARMOUR RESIDENTIAL REIT INC COM 042315101 490 75000 SH Sole 75000 ASHFORD HOSPITALITY TR INC 9% CUM PFD SER E 044103505 883 31997 SH Sole 31997 ASTROTECH CORP COM 046484101 83 100000 SH Other 100000 ATLAS AIR WORLDWIDE HLDGS IN COM NEW 049164205 382 9370 SH Other 2 9370 AVERY DENNISON CORP COM 053611109 152 3526 SH Other 1 3526 AVIAT NETWORKS INC COM 05366Y102 143 42410 SH Other 1 42410 AXIALL CORP COM 05463D100 419 6740 SH Other 1 6740 BB&T CORP COM 054937107 84 2661 SH Other 2661 BARCLAYS BK PLC IPATH S&P500 VIX 06740C188 516 23000 SH Sole 23000 BARRICK GOLD CORP COM 067901108 468 15932 SH Other 4 15932 BBCN BANCORP INC COM 073295107 93 7135 SH Other 7135 BEL FUSE INC CL B 077347300 130 8308 SH Other 1 8308 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 625 6000 SH Other 6000 BIOMARIN PHARMACEUTICAL INC COM 09061G101 790 12685 SH Other 3 12685 BJS RESTAURANTS INC COM 09180C106 608 18256 SH Other 3 18256 BLACK DIAMOND INC COM 09202G101 229 25189 SH Other 3 25189 BLACK HILLS CORP COM 092113109 147 3343 SH Other 3343 BLOUNT INTL INC NEW COM 095180105 401 30000 SH Other 30000 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 557 22410 SH Other 2 22410 CAPITALSOURCE INC COM 14055X102 57 5900 SH Other 5900 CAPITOL FED FINL INC COM 14057J101 320 26500 SH Other 4 26500 CAPSTEAD MTG CORP PFD B CV $1.26 14067E308 471 30100 SH Sole 30100 CARDTRONICS INC COM 14161H108 860 31320 SH Other 2 31320 CHART INDS INC COM PAR $0.01 16115Q308 186 2330 SH Other 2330 CHEMED CORP NEW COM 16359R103 96 1200 SH Other 1200 CHIMERA INVT CORP COM 16934Q109 1294 405700 SH Sole 405700 CISCO SYS INC COM 17275R102 524 25049 SH Other 4 25049 CLAYMORE EXCHANGE TRD FD TR GUGG CHN RL EST 18383Q861 209 9527 SH Other 1 9527 COLONY BANKCORP INC COM 19623P101 29 5391 SH Other 1 5391 COLONY FINL INC COM 19624R106 948 42700 SH Sole 42700 COMCAST CORP NEW CL A 20030N101 147 3498 SH Other 3498 COMPANHIA SIDERURGICA NACION SPONSORED ADR 20440W105 165 36825 SH Other 1 36825 CORELOGIC INC COM 21871D103 127 4916 SH Other 1 4916 CURRENCYSHARES SWISS FRANC T SWISS FRANC SH 23129V109 81 780 SH Other 780 DEVON ENERGY CORP NEW COM 25179M103 282 5000 SH Other 4 5000 DIRECTV COM 25490A309 1698 30000 SH Other 30000 EPR PPTYS CONV PFD 9% SR E 26884U307 1421 43800 SH Sole 43800 ECHO GLOBAL LOGISTICS INC COM 27875T101 420 19003 SH Other 3 19003 ENDEAVOUR SILVER CORP COM 29258Y103 114 18400 SH Other 18400 EXAMWORKS GROUP INC COM 30066A105 368 21242 SH Other 3 21242 EXPEDIA INC DEL COM NEW 30212P303 300 5000 SH Other 5000 EXTERRAN HLDGS INC COM 30225X103 145 5371 SH Other 1 5371 EXXON MOBIL CORP COM 30231G102 451 5000 SH Other 4 5000 FBL FINL GROUP INC CL A 30239F106 153 3941 SH Other 1 3941 FEI CO COM 30241L109 144 2233 SH Other 2233 FACEBOOK INC CL A 30303M102 130 5088 SH Other 5088
FELCOR LODGING TR INC PFD CV A $1.95 31430F200 248 10000 SH Sole 10000 FIDELITY NATIONAL FINANCIAL CL A 31620R105 121 4805 SH Other 4805 FIRST AMERN FINL CORP COM 31847R102 186 7293 SH Other 7293 FIRST MAJESTIC SILVER CORP COM 32076V103 84 5201 SH Other 5201 FIRST SOUTH BANCORP INC VA COM 33646W100 262 40019 SH Other 1 40019 FIRST UTD CORP COM 33741H107 1 135 SH Other 1 135 FIRSTSERVICE CORP SUB VTG SH 33761N109 346 10414 SH Other 3 10414 FIVE STAR QUALITY CARE INC COM 33832D106 167 24959 SH Other 1 24959 FORUM ENERGY TECHNOLOGIES IN COM 34984V100 449 15600 SH Other 3 15600 FREEPORT-MCMORAN COPPER & GO CL A 35671D857 447 13500 SH Other 4 13500 FRESH MKT INC COM 35804H106 183 4273 SH Other 3 4273 GSI TECHNOLOGY COM 36241U106 137 20844 SH Other 1 20844 GENERAL MTRS CO CL A 37045V100 93 3352 SH Other 3352 GOLDMAN SACHS GROUP INC COM 38141G104 176 1198 SH Other 1198 GOOGLE INC CL A 38259P508 1339 1686 SH Other 5 1686 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 103 4000 SH Sole 4000 GRAND CANYON ED INC COM 38526M106 140 5504 SH Other 1 5504 HALLMARK FINL SVCS INC COM NEW 40624Q203 44 4853 SH Other 1 4853 HEADWATERS INC COM 42210P102 326 29911 SH Other 1 29911 HERTZ GLOBAL HOLDINGS INC COM 42805T105 125 5600 SH Other 5600 HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 156 28683 SH Other 5 28683 HITTITE MICROWAVE CORP COM 43365Y104 709 11710 SH Other 3 11710 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 686 25000 SH Sole 25000 HOVNANIAN ENTERPRISES INC UNIT 99/99/9999 44248W208 29 1000 SH Sole 1000 HOWARD HUGHES CORP COM 44267D107 318 3800 SH Sole 3800 IAC INTERACTIVECORP COM PAR $.001 44919P508 514 11511 SH Other 5 11511 IPG PHOTONICS CORP COM 44980X109 119 1789 SH Other 3 1789 ISTAR FINL INC COM 45031U101 463 42500 SH Sole 42500 INFORMATICA CORP COM 45666Q102 1009 29260 SH Other 2 29260 INNERWORKINGS INC COM 45773Y105 622 41132 SH Other 3, 5 41132 INSTEEL INDUSTRIES INC COM 45774W108 155 9498 SH Other 1 9498 INTERDIGITAL INC COM 45867G101 578 12079 SH Other 1, 3 12079 ISHARES TR FLTG RATE NT 46429B655 81 1591 SH Other 1591 JPMORGAN CHASE & CO COM 46625H100 714 15043 SH Other 1, 4 15043 JONES GROUP INC COM 48020T101 747 58720 SH Other 2 58720 J2 GLOBAL INC COM 48123V102 303 7727 SH Other 1 7727 KKR FINL HLDGS LLC COM 48248A306 215 19381 SH Sole 19381 KKR & CO L P DEL COM UNITS 48248M102 386 20000 SH Other 4 20000 KADANT INC COM 48282T104 139 5560 SH Other 1 5560 KINDER MORGAN INC DEL COM 49456B101 143 3692 SH Other 3692 LINKEDIN CORP COM CL A 53578A108 143 811 SH Other 811 LIQUIDITY SERVICES INC COM 53635B107 744 24956 SH Other 3 24956 MACYS INC COM 55616P104 117 2804 SH Other 2804 MAG SILVER CORP COM 55903Q104 71 7508 SH Other 7508 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 277 15978 SH Other 1 15978 MARATHON PETE CORP COM 56585A102 716 7986 SH Other 5 7986 MARKET VECTORS ETF TR INDIA SMALL CP 57060U563 262 29840 SH Other 1 29840 MCKESSON CORP COM 58155Q103 165 1531 SH Other 1 1531 MERCK & CO INC NEW COM 58933Y105 189 4272 SH Other 4272 MISTRAS GROUP INC COM 60649T107 243 10035 SH Other 3 10035 MITEL NETWORKS CORP COM 60671Q104 128 32722 SH Other 1 32722 MONSANTO CO NEW COM 61166W101 962 9096 SH Other 1, 5 9096 MOSAIC CO NEW COM 61945C103 399 6695 SH Other 5 6695 NIC INC COM 62914B100 185 9668 SH Other 3 9668
NQ MOBILE INC ADR REPSTG CL A 64118U108 116 12915 SH Other 5 12915 NEUTRAL TANDEM INC COM 64128B108 59 17942 SH Other 1 17942 NEWCASTLE INVT CORP COM 65105M108 1363 122000 SH Sole 122000 NORTHSTAR RLTY FIN CORP COM 66704R100 1232 130000 SH Sole 130000 ORACLE CORP COM 68389X105 696 21530 SH Other 5 21530 ORIENTAL FINL GROUP INC COM 68618W100 141 9090 SH Other 1 9090 PBF ENERGY INC CL A 69318G106 145 3900 SH Other 3900 PIMCO ETF TR TOTL RETN ETF 72201R775 98 892 SH Other 892 POLYCOM INC COM 73172K104 1015 91589 SH Other 2, 3 91589 PORTFOLIO RECOVERY ASSOCS IN COM 73640Q105 241 1896 SH Other 3 1896 POTASH CORP SASK INC COM 73755L107 386 9825 SH Other 5 9825 POWERSHARES GLOBAL ETF FD S&P 500 BUYWRT 73936G308 64 3095 SH Other 3095 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 65 2581 SH Other 2581 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 79 2651 SH Other 2651 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 1148 36937 SH Other 36937 PREFERRED APT CMNTYS INC COM 74039L103 500 500 SH Sole 500 PROSHARES TR PSHS ULSHT SP500 74347B300 441 10000 SH Other 4 10000 PROSHARES TR MSCI EMRG ETF 74347X302 277 3507 SH Other 1 3507 PUMA BIOTECHNOLOGY INC COM 74587V107 654 19573 SH Other 3 19573 QUESTCOR PHARMACEUTICALS INC COM 74835Y101 96 2941 SH Other 2941 REALPAGE INC COM 75606N109 382 18446 SH Other 3 18446 RENEWABLE ENERGY GROUP INC COM NEW 75972A301 458 59573 SH Other 1, 5 59573 RESOURCE CAP CORP COM 76120W302 99 15000 SH Sole 15000 REXNORD CORP NEW COM 76169B102 265 12504 SH Other 3 12504 RYDEX ETF TRUST GUG S&P500 PU GR 78355W403 431 7754 SH Other 7754 SPDR S&P 500 ETF TR TR UNIT 78462F103 301 1920 SH Other 1920 SPS COMM INC COM 78463M107 404 9462 SH Other 3 9462 SPDR SERIES TRUST DB INT GVT ETF 78464A490 49 794 SH Other 794 SANDRIDGE ENERGY INC COM 80007P307 264 50000 SH Other 4 50000 SCIENTIFIC GAMES CORP CL A 80874P109 970 110850 SH Other 2 110850 SENIOR HSG PPTYS TR SH BEN INT 81721M109 201 7500 SH Sole 7500 SERVICESOURCE INTL LLC COM 81763U100 788 111458 SH Other 2, 3 111458 SHUTTERFLY INC COM 82568P304 1028 23279 SH Other 2, 3 23279 SIGNATURE BK NEW YORK N Y COM 82669G104 1254 15919 SH Other 3 15919 SILVER STD RES INC COM 82823L106 145 13715 SH Other 13715 SOLERA HOLDINGS INC COM 83421A104 527 9038 SH Other 3 9038 SOVRAN SELF STORAGE INC COM 84610H108 64 1000 SH Sole 1000 SPIRIT RLTY CAP INC COM 84860F109 285 15000 SH Sole 15000 SPROTT PHYSICAL PLAT PALLAD UNIT 85207Q104 544 54986 SH Other 54986 STANDARD PAC CORP NEW COM 85375C101 140 16181 SH Other 16181 STANTEC INC COM 85472N109 134 3045 SH Other 3 3045 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 319 5000 SH Other 4 5000 STILLWATER MNG CO COM 86074Q102 141 10874 SH Other 10874 STRATEGIC HOTELS & RESORTS I COM 86272T106 534 64000 SH Sole 64000 SUMMIT FINANCIAL GROUP INC COM 86606G101 99 14012 SH Other 1 14012 SWIFT TRANSN CO CL A 87074U101 117 8275 SH Other 8275 TIMMINS GOLD CORP COM 88741P103 177 61476 SH Other 61476 TRANSCANADA CORP COM 89353D107 130 2707 SH Other 2707 ULTIMATE SOFTWARE GROUP INC COM 90385D107 514 4933 SH Other 3 4933 UNION FIRST MKT BANKSH CP COM 90662P104 144 7361 SH Other 1 7361 VALERO ENERGY CORP NEW COM 91913Y100 386 8477 SH Other 5 8477 VALUECLICK INC COM 92046N102 124 4200 SH Other 4200 VASCO DATA SEC INTL INC COM 92230Y104 119 14090 SH Other 1 14090 VERIFONE SYS INC COM 92342Y109 756 36554 SH Other 3 36554
VIRTUS INVT PARTNERS INC COM 92828Q109 1093 5868 SH Other 3 5868 WESTERN ASSET MTG CAP CORP COM 95790D105 581 25000 SH Sole 25000 WISDOMTREE TRUST LARGECAP DIVID 97717W307 349 5932 SH Other 5932 WISDOMTREE TRUST DIV EX-FINL FD 97717W406 416 6717 SH Other 6717 WISDOMTREE TRUST JAPAN HEDGE EQT 97717W851 315 7298 SH Other 1 7298 XUEDA ED GROUP SPONSORED ADR 98418W109 437 140631 SH Other 3 140631 XYLEM INC COM 98419M100 331 12000 SH Other 12000 YAMANA GOLD INC COM 98462Y100 201 13096 SH Other 13096 ZILLOW INC CL A 98954A107 214 3920 SH Other 3 3920 DEUTSCHE BANK AG NAMEN AKT D18190898 116 2968 SH Other 1 2968 AIRCASTLE LTD COM G0129K104 165 12052 SH Other 1 12052 ARGO GROUP INTL HLDGS LTD COM G0464B107 169 4087 SH Other 1 4087 AXIS CAPITAL HOLDINGS INV SHS G0692U109 143 3431 SH Other 1 3431 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 180 2364 SH Other 1 2364 COSAN LTD SHS A G25343107 135 6930 SH Other 1 6930 FLEETMATICS GROUP PLC COM G35569105 39 1588 SH Other 3 1588 FREESCALE SEMICONDUCTOR LTD SHS G3727Q101 140 9430 SH Other 1 9430 GREENLIGHT CAPITAL RE LTD CLASS A G4095J109 833 34061 SH Other 3 34061 HOLLYSYS AUTOMATION TECHNOLO SHS G45667105 310 25442 SH Other 5 25442 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 289 27304 SH Other 1 27304 SEADRILL LIMITED SHS G7945E105 211 5681 SH Other 5 5681 GOLAR LNG LTD BERMUDA SHS G9456A100 77 2073 SH Other 2073 XYRATEX LTD COM G98268108 138 13983 SH Other 1 13983 MELLANOX TECHNOLOGIES LTD SHS M51363113 117 2107 SH Other 5 2107 GILAT SATELLITE NETWORKS LTD SHS NEW M51474118 146 25643 SH Other 1 25643 AVG TECHNOLOGIES N V SHS N07831105 122 8759 SH Other 1 8759 CNH GLOBAL N V SHS NEW N20935206 145 3512 SH Other 1 3512 CORE LABORATORIES N V COM N22717107 703 5097 SH Other 3 5097 REPORT SUMMARY 400 144,544