0001529426-14-000003.txt : 20140818
0001529426-14-000003.hdr.sgml : 20140818
20140818172843
ACCESSION NUMBER: 0001529426-14-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140630
FILED AS OF DATE: 20140818
DATE AS OF CHANGE: 20140818
EFFECTIVENESS DATE: 20140818
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Rotella Capital Management, Inc.
CENTRAL INDEX KEY: 0001529426
IRS NUMBER: 880339457
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14669
FILM NUMBER: 141050010
BUSINESS ADDRESS:
STREET 1: 800 BELLEVUE WAY NE
STREET 2: SUITE 200
CITY: BELLEVUE
STATE: WA
ZIP: 98004
BUSINESS PHONE: 425-213-5700
MAIL ADDRESS:
STREET 1: 800 BELLEVUE WAY NE
STREET 2: SUITE 200
CITY: BELLEVUE
STATE: WA
ZIP: 98004
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001529426
XXXXXXXX
06-30-2014
06-30-2014
Rotella Capital Management, Inc.
800 BELLEVUE WAY NE
SUITE 200
BELLEVUE
WA
98004
13F HOLDINGS REPORT
028-14669
N
Sheila Powers
Compliance Officer
425.213.5747
Sheila Powers
Bellevue
WA
08-18-2014
0
368
118092
false
INFORMATION TABLE
2
SEC_13F_2014_Q2.xml
13F
ACCO Brands Corp
CMN
00081T108
119
18500
SH
DFND
18500
0
0
Accuride Corp
CMN
00439T206
51
10519
SH
DFND
10519
0
0
Adams Resources & Energy Inc
CMN
006351308
247
3154
SH
DFND
3154
0
0
Adobe Systems Inc
CMN
00724F101
260
3600
SH
SOLE
0
0
3600
Advantage Oil & Gas Ltd
CMN
00765F101
240
35759
SH
DFND
35759
0
0
AEterna Zentaris Inc
CMN
007975303
20
16900
SH
DFND
16900
0
0
Agenus Inc
CMN
00847G705
118
36496
SH
DFND
36496
0
0
Air Transport Services Group Inc
CMN
00922R105
137
16348
SH
DFND
16348
0
0
Alexco Resource Corp
CMN
01535P106
30
23600
SH
DFND
23600
0
0
Alexza Pharmaceuticals Inc
CMN
015384209
136
29833
SH
DFND
29833
0
0
Alimera Sciences Inc
CMN
016259103
83
13833
SH
DFND
13833
0
0
Alliance HealthCare Services Inc
CMN
018606301
246
9110
SH
DFND
9110
0
0
Alliance One International Inc
CMN
018772103
97
38728
SH
DFND
38728
0
0
Almaden Minerals Ltd
CMN
020283107
33
23768
SH
DFND
23768
0
0
Alon USA Energy Inc
CMN
020520102
142
11400
SH
DFND
11400
0
0
Alpha PRO Tech Ltd
CMN
020772109
22
10439
SH
DFND
10439
0
0
Alphatec Holdings Inc
CMN
02081G102
70
43156
SH
DFND
43156
0
0
American International Group Inc
CMN
026874784
209
3837
SH
DFND
2900
0
937
American Superconductor Corp
CMN
030111108
42
25653
SH
DFND
25653
0
0
Amyris Inc
CMN
03236M101
41
10938
SH
DFND
10938
0
0
Analog Devices Inc
CMN
032654105
287
5300
SH
SOLE
0
0
5300
Anthera Pharmaceuticals Inc
CMN
03674U201
90
26514
SH
DFND
26514
0
0
Anworth Mortgage Asset Corp
REIT
037347101
137
26593
SH
DFND
26593
0
0
Apollo Education Group Inc
CMN
037604105
216
6900
SH
DFND
6900
0
0
Apollo Investment Corp
CMN
03761U106
104
12100
SH
DFND
12100
0
0
Apple Inc
CMN
037833100
569
6121
SH
DFND
1300
0
4821
Apricus Biosciences Inc
CMN
03832V109
60
26612
SH
DFND
26612
0
0
ARC Document Solutions Inc
CMN
00191G103
146
24855
SH
DFND
24855
0
0
Arlington Asset Investment Corp
CMN
041356205
239
8747
SH
DFND
8747
0
0
ARMOUR Residential REIT Inc
REIT
042315101
120
27700
SH
DFND
27700
0
0
Arotech Corp
CMN
042682203
45
10000
SH
DFND
10000
0
0
Arqule Inc
CMN
04269E107
26
16646
SH
DFND
16646
0
0
Assurant Inc
CMN
04621X108
249
3800
SH
DFND
3100
0
700
Atlantic Power Corp
CMN
04878Q863
209
50900
SH
DFND
50900
0
0
Avago Technologies Ltd
CMN
Y0486S104
605
8400
SH
DFND
1100
0
7300
AZZ Inc
CMN
002474104
251
5457
SH
DFND
5457
0
0
Ballard Power Systems Inc
CMN
058586108
78
19000
SH
DFND
19000
0
0
Bank of Nova Scotia
CMN
064149107
213
3200
SH
DFND
3200
0
0
Baxter International Inc
CMN
071813109
1506
20827
SH
DFND
700
0
20127
Biodel Inc
CMN
09064M204
48
22277
SH
DFND
22277
0
0
BioFuel Energy Corp
CMN
09064Y307
79
11478
SH
DFND
11478
0
0
BioTelemetry Inc
CMN
090672106
164
22900
SH
DFND
22900
0
0
Blackstone Group LP/The
Ltd Part
09253U108
214
6400
SH
DFND
6400
0
0
BlueLinx Holdings Inc
CMN
09624H109
22
15445
SH
DFND
15445
0
0
Box Ships Inc
CMN
Y09675102
20
13269
SH
DFND
13269
0
0
BPZ Resources Inc
CMN
055639108
91
29484
SH
DFND
29484
0
0
Broadcom Corp
CMN
111320107
518
13963
SH
DFND
3500
0
10463
Builders FirstSource Inc
CMN
12008R107
105
14022
SH
DFND
14022
0
0
Cablevision Systems Corp
CMN
12686C109
191
10800
SH
DFND
10800
0
0
Cal Dive International Inc
CMN
12802T101
24
18500
SH
DFND
18500
0
0
Calix Inc
CMN
13100M509
109
13302
SH
DFND
13302
0
0
Capstone Turbine Corp
CMN
14067D102
34
22200
SH
DFND
22200
0
0
Cardica Inc
CMN
14141R101
52
45704
SH
DFND
45704
0
0
Carrols Restaurant Group Inc
CMN
14574X104
77
10843
SH
DFND
10843
0
0
Casella Waste Systems Inc
CMN
147448104
116
23220
SH
DFND
23220
0
0
Catalyst Pharmaceutical Partners Inc
CMN
14888U101
35
13800
SH
DFND
13800
0
0
Cedar Realty Trust Inc
REIT
150602209
100
15944
SH
DFND
15944
0
0
Cellcom Israel Ltd
CMN
M2196U109
125
10335
SH
DFND
10335
0
0
Cel-Sci Corp
CMN
150837508
86
68600
SH
DFND
68600
0
0
Cenveo Inc
CMN
15670S105
199
53569
SH
DFND
53569
0
0
Cherokee Inc
CMN
16444H102
291
19145
SH
DFND
19145
0
0
Chimera Investment Corp
REIT
16934Q109
39
12100
SH
DFND
12100
0
0
China Auto Logistics Inc
CMN
16936J202
24
11520
SH
DFND
11520
0
0
China Automotive Systems Inc
CMN
16936R105
127
14606
SH
DFND
14606
0
0
China BAK Battery Inc
CMN
16936Y209
40
16876
SH
DFND
16876
0
0
China Housing & Land Development Inc
CMN
16939V103
28
15204
SH
DFND
15204
0
0
China Recycling Energy Corp
CMN
168913101
26
14600
SH
DFND
14600
0
0
China XD Plastics Co Ltd
CMN
16948F107
229
27350
SH
DFND
27350
0
0
Cincinnati Bell Inc
CMN
171871106
75
19100
SH
DFND
19100
0
0
Cinedigm Corp
CMN
172406100
125
50380
SH
DFND
50380
0
0
Cisco Systems Inc
CMN
17275R102
529
21282
SH
SOLE
0
0
21282
Citrix Systems Inc
CMN
177376100
901
14400
SH
SOLE
0
0
14400
Cleantech Solutions International Inc
CMN
18451N204
77
14121
SH
DFND
14121
0
0
Columbia Laboratories Inc
CMN
197779200
91
13241
SH
DFND
13241
0
0
Computer Sciences Corp
CMN
205363104
202
3200
SH
DFND
1700
0
1500
Comstock Mining Inc
CMN
205750102
26
15298
SH
DFND
15298
0
0
Contango Oil & Gas Co
CMN
21075N204
233
5517
SH
DFND
5517
0
0
Covenant Transportation Group Inc
CMN
22284P105
145
11247
SH
DFND
11247
0
0
Cowen Group Inc
CMN
223622101
119
28205
SH
DFND
28205
0
0
Crown Media Holdings Inc
CMN
228411104
39
10652
SH
DFND
10652
0
0
CTI BioPharma Corp
CMN
12648L106
56
19800
SH
DFND
19800
0
0
Curis Inc
CMN
231269101
83
44506
SH
DFND
44506
0
0
Cyclacel Pharmaceuticals Inc
CMN
23254L306
115
37472
SH
DFND
37472
0
0
CYS Investments Inc
REIT
12673A108
182
20200
SH
DFND
20200
0
0
Cytori Therapeutics Inc
CMN
23283K105
151
63026
SH
DFND
63026
0
0
Danaos Corp
CMN
Y1968P105
71
12145
SH
DFND
12145
0
0
Delta Air Lines Inc
CMN
247361702
306
7900
SH
DFND
7900
0
0
Dendreon Corp
CMN
24823Q107
47
20400
SH
DFND
20400
0
0
Denison Mines Corp
CMN
248356107
40
32110
SH
DFND
32110
0
0
Destination XL Group Inc
CMN
25065K104
103
18692
SH
DFND
18692
0
0
DHT Holdings Inc
CMN
Y2065G121
123
17148
SH
DFND
17148
0
0
Digirad Corp
CMN
253827109
40
11241
SH
DFND
11241
0
0
Discovery Laboratories Inc
CMN
254668403
56
31545
SH
DFND
31545
0
0
Dollar Tree Inc
CMN
256746108
481
8838
SH
DFND
3200
0
5638
DryShips Inc
CMN
Y2109Q101
89
27500
SH
DFND
27500
0
0
Durect Corp
CMN
266605104
22
12150
SH
DFND
12150
0
0
Dyax Corp
CMN
26746E103
138
14416
SH
DFND
14416
0
0
Dynavax Technologies Corp
CMN
268158102
64
40200
SH
DFND
40200
0
0
Eagle Bulk Shipping Inc
CMN
Y2187A119
123
39748
SH
DFND
39748
0
0
Eagle Rock Energy Partners LP
Ltd Part
26985R104
85
17100
SH
DFND
17100
0
0
EarthLink Holdings Corp
CMN
27033X101
245
65902
SH
DFND
65902
0
0
eBay Inc
CMN
278642103
312
6240
SH
DFND
1900
0
4340
Emmis Communications Corp
CMN
291525103
188
62812
SH
DFND
62812
0
0
Endeavour International Corp
CMN
29259G200
23
16778
SH
DFND
16778
0
0
Endeavour Silver Corp
CMN
29258Y103
56
10200
SH
DFND
10200
0
0
Enerplus Corp
CMN
292766102
438
17400
SH
DFND
17400
0
0
ENGlobal Corp
CMN
293306106
118
37800
SH
DFND
37800
0
0
EnteroMedics Inc
CMN
29365M208
108
69469
SH
DFND
69469
0
0
Equal Energy Ltd
CMN
29390Q109
113
20900
SH
DFND
20900
0
0
Ever-Glory International Group Inc
CMN
299766204
75
12398
SH
DFND
12398
0
0
Exelon Corp
CMN
30161N101
225
6155
SH
DFND
6100
0
55
F5 Networks Inc
CMN
315616102
214
1918
SH
DFND
300
0
1618
FAB Universal Corp
CMN
302771100
40
13005
SH
DFND
13005
0
0
FedEx Corp
CMN
31428X106
212
1400
SH
DFND
1200
0
200
First Acceptance Corp
CMN
318457108
102
41646
SH
DFND
41646
0
0
First Busey Corp
CMN
319383105
67
11521
SH
DFND
11521
0
0
Five Star Quality Care Inc
CMN
33832D106
101
20080
SH
DFND
20080
0
0
Fonar Corp
CMN
344437405
221
18113
SH
DFND
18113
0
0
Forest Oil Corp
CMN
346091705
106
46500
SH
DFND
46500
0
0
Fortress Investment Group LLC
Ltd Part
34958B106
187
25200
SH
DFND
25200
0
0
Fortuna Silver Mines Inc
CMN
349915108
78
14160
SH
DFND
14160
0
0
Frontier Communications Corp
CMN
35906A108
136
23300
SH
DFND
23300
0
0
Frontline Ltd/Bermuda
CMN
G3682E127
75
25637
SH
DFND
25637
0
0
Garmin Ltd
CMN
H2906T109
591
9700
SH
SOLE
0
0
9700
Gas Natural Inc
CMN
367204104
105
10002
SH
DFND
10002
0
0
General Steel Holdings Inc
CMN
370853103
14
14500
SH
DFND
14500
0
0
Gentex Corp/MI
CMN
371901109
276
9500
SH
DFND
9500
0
0
GenVec Inc
CMN
37246C307
46
17719
SH
DFND
17719
0
0
Geron Corp
CMN
374163103
60
18581
SH
DFND
18581
0
0
GFI Group Inc
CMN
361652209
65
19493
SH
DFND
19493
0
0
GigOptix Inc
CMN
37517Y103
33
24200
SH
DFND
24200
0
0
Gladstone Capital Corp
CMN
376535100
131
12976
SH
DFND
12976
0
0
Gladstone Investment Corp
CMN
376546107
81
10921
SH
DFND
10921
0
0
Global Cash Access Holdings Inc
CMN
378967103
339
38100
SH
DFND
38100
0
0
Global Sources Ltd
CMN
G39300101
95
11451
SH
DFND
11451
0
0
Globalscape Inc
CMN
37940G109
48
19398
SH
DFND
19398
0
0
Globalstar Inc
CMN
378973408
67
15700
SH
DFND
15700
0
0
Gold Resource Corp
CMN
38068T105
74
14693
SH
DFND
14693
0
0
Goldfield Corp/The
CMN
381370105
23
13565
SH
DFND
13565
0
0
Goodyear Tire & Rubber Co/The
CMN
382550101
206
7400
SH
DFND
4900
0
2500
Google Inc
CMN
38259P508
351
600
SH
SOLE
0
0
600
Gramercy Property Trust Inc
REIT
38489R100
66
10945
SH
DFND
10945
0
0
Gran Tierra Energy Inc
CMN
38500T101
160
19700
SH
DFND
19700
0
0
GreenHunter Resources Inc
CMN
39530A104
93
46657
SH
DFND
46657
0
0
GSI Group Inc
CMN
36191C205
150
11790
SH
DFND
11790
0
0
Guanwei Recycling Corp
CMN
400685202
25
17679
SH
DFND
17679
0
0
Gulf Resources Inc
CMN
40251W309
166
77791
SH
DFND
77791
0
0
Hackett Group Inc/The
CMN
404609109
130
21834
SH
DFND
21834
0
0
Harris & Harris Group Inc
CMN
413833104
46
14346
SH
DFND
14346
0
0
Harvard Bioscience Inc
CMN
416906105
109
23974
SH
DFND
23974
0
0
Hawaiian Holdings Inc
CMN
419879101
162
11847
SH
DFND
11847
0
0
Herbalife Ltd
CMN
G4412G101
265
4100
SH
DFND
4100
0
0
Hercules Technology Growth Capital Inc
CMN
427096508
166
10300
SH
DFND
10300
0
0
Higher One Holdings Inc
CMN
42983D104
105
27584
SH
DFND
27584
0
0
Hooker Furniture Corp
CMN
439038100
229
14191
SH
DFND
14191
0
0
Hutchinson Technology Inc
CMN
448407106
38
15250
SH
DFND
15250
0
0
Icad Inc
CMN
44934S206
142
22085
SH
DFND
22085
0
0
IHS Inc
CMN
451734107
217
1600
SH
DFND
1600
0
0
Illumina Inc
CMN
452327109
375
2100
SH
SOLE
0
0
2100
Imation Corp
CMN
45245A107
187
54328
SH
DFND
54328
0
0
Information Services Group Inc
CMN
45675Y104
78
16315
SH
DFND
16315
0
0
InfuSystems Holdings Inc
CMN
45685K102
42
15274
SH
DFND
15274
0
0
Ingles Markets Inc
CMN
457030104
203
7695
SH
DFND
7695
0
0
Inovio Pharmaceuticals Inc
CMN
45773H201
163
14950
SH
DFND
14950
0
0
Intervest Bancshares Corp
CMN
460927106
84
10803
SH
DFND
10803
0
0
iPass Inc
CMN
46261V108
30
25312
SH
DFND
25312
0
0
iShares 1-3 Year Credit Bond ETF
ETP
464288646
2704
25600
SH
SOLE
0
0
25600
iShares 20+ Year Treasury Bond ETF
ETP
464287432
3519
31000
SH
SOLE
0
0
31000
iShares 7-10 Year Treasury Bond ETF
ETP
464287440
1212
11700
SH
SOLE
0
0
11700
iShares Core S&P 500 ETF
ETP
464287200
768
3900
SH
SOLE
0
0
3900
iShares Core S&P Mid-Cap ETF
ETP
464287507
787
5500
SH
SOLE
0
0
5500
iShares Core S&P Small-Cap ETF
ETP
464287804
527
4700
SH
SOLE
0
0
4700
iShares Core U.S. Aggregate Bond ETF
ETP
464287226
1345
12300
SH
SOLE
0
0
12300
iShares iBoxx $ High Yield Corporate Bond ETF
ETP
464288513
2227
23400
SH
SOLE
0
0
23400
iShares iBoxx $ Investment Grade Corporate Bond ETF
ETP
464287242
3627
30400
SH
SOLE
0
0
30400
iShares Intermediate Credit Bond ETF
ETP
464288638
4154
37700
SH
SOLE
0
0
37700
iShares JP Morgan USD Emerging Markets Bond ETF
ETP
464288281
3686
32000
SH
SOLE
0
0
32000
iShares MBS ETF
ETP
464288588
1829
16900
SH
SOLE
0
0
16900
iShares MSCI Brazil Capped ETF
ETP
464286400
702
14700
SH
SOLE
0
0
14700
iShares National AMT-Free Muni Bond ETF
ETP
464288414
1576
14500
SH
SOLE
0
0
14500
iShares Russell 2000 ETF
ETP
464287655
1343
11300
SH
SOLE
0
0
11300
iShares TIPS Bond ETF
ETP
464287176
4453
38600
SH
SOLE
0
0
38600
Jinpan International Ltd
CMN
G5138L100
115
16998
SH
DFND
16998
0
0
Journal Communications Inc
CMN
481130102
145
16385
SH
DFND
16385
0
0
KCAP Financial Inc
CMN
48668E101
88
10313
SH
DFND
10313
0
0
Keurig Green Mountain Inc
CMN
49271M100
349
2800
SH
SOLE
0
0
2800
Kinross Gold Corp
CMN
496902404
46
11200
SH
DFND
11200
0
0
Kroger Co/The
CMN
501044101
452
9142
SH
DFND
7100
0
2042
Lee Enterprises Inc/IA
CMN
523768109
219
49277
SH
DFND
49277
0
0
Local Corp
CMN
53954W104
115
55606
SH
DFND
55606
0
0
Logitech International SA
CMN
H50430232
225
17370
SH
DFND
17370
0
0
Lorillard Inc
CMN
544147101
343
5632
SH
DFND
400
0
5232
LS Starrett Co/The
CMN
855668109
182
11837
SH
DFND
11837
0
0
Magellan Petroleum Corp
CMN
559091301
43
19718
SH
DFND
19718
0
0
Magna International Inc
CMN
559222401
216
2000
SH
DFND
2000
0
0
Maiden Holdings Ltd
CMN
G5753U112
183
15115
SH
DFND
15115
0
0
Market Vectors Semiconductor ETF
ETP
57060U233
906
18300
SH
SOLE
0
0
18300
Martha Stewart Living Omnimedia Inc
CMN
573083102
83
17676
SH
DFND
17676
0
0
Marvell Technology Group Ltd
CMN
G5876H105
185
12900
SH
DFND
12900
0
0
Mattson Technology Inc
CMN
577223100
25
11371
SH
DFND
11371
0
0
Maxim Integrated Products Inc
CMN
57772K101
636
18800
SH
DFND
3100
0
15700
MaxLinear Inc
CMN
57776J100
139
13777
SH
DFND
13777
0
0
MBIA Inc
CMN
55262C100
155
14000
SH
DFND
14000
0
0
MBT Financial Corp
CMN
578877102
81
14883
SH
DFND
14883
0
0
McClatchy Co/The
CMN
579489105
93
16816
SH
DFND
16816
0
0
Mercury Systems Inc
CMN
589378108
219
19348
SH
DFND
19348
0
0
Merge Healthcare Inc
CMN
589499102
127
55795
SH
DFND
55795
0
0
Meritor Inc
CMN
59001K100
199
15233
SH
DFND
15233
0
0
Merus Labs International Inc
CMN
59047R101
24
10800
SH
DFND
10800
0
0
Metalico Inc
CMN
591176102
19
15191
SH
DFND
15191
0
0
Methes Energies International Ltd
CMN
591517107
24
12400
SH
DFND
12400
0
0
Methode Electronics Inc
CMN
591520200
237
6200
SH
DFND
6200
0
0
MetLife Inc
CMN
59156R108
217
3900
SH
DFND
2000
0
1900
MFA Financial Inc
REIT
55272X102
94
11400
SH
DFND
11400
0
0
Micron Technology Inc
CMN
595112103
656
19900
SH
DFND
8900
0
11000
Microsoft Corp
CMN
594918104
565
13549
SH
SOLE
0
0
13549
Mines Management Inc
CMN
603432105
19
17400
SH
DFND
17400
0
0
ModusLink Global Solutions Inc
CMN
60786L107
47
12524
SH
DFND
12524
0
0
Nam Tai Property Inc
CMN
G63907102
99
13067
SH
DFND
13067
0
0
Nautilus Inc
CMN
63910B102
117
10570
SH
DFND
10570
0
0
Navios Maritime Holdings Inc
CMN
Y62159101
197
19500
SH
DFND
19500
0
0
NCI Inc
CMN
62886K104
133
14944
SH
DFND
14944
0
0
NeoGenomics Inc
CMN
64049M209
50
14913
SH
DFND
14913
0
0
NeoStem Inc
CMN
640650404
97
14894
SH
DFND
14894
0
0
Net 1 UEPS Technologies Inc
CMN
64107N206
212
18637
SH
DFND
18637
0
0
NetApp Inc
CMN
64110D104
453
12400
SH
SOLE
0
0
12400
Netlist Inc
CMN
64118P109
69
53443
SH
DFND
53443
0
0
NetSol Technologies Inc
CMN
64115A402
42
10725
SH
DFND
10725
0
0
Nevsun Resources Ltd
CMN
64156L101
255
68100
SH
DFND
68100
0
0
New Concept Energy Inc
CMN
643611106
39
11787
SH
DFND
11787
0
0
New York & Co Inc
CMN
649295102
104
28126
SH
DFND
28126
0
0
Newcastle Investment Corp
REIT
65105M108
88
18300
SH
DFND
18300
0
0
Noranda Aluminum Holding Corp
CMN
65542W107
94
26740
SH
DFND
26740
0
0
Nordion Inc
CMN
65563C105
190
15100
SH
DFND
15100
0
0
Novavax Inc
CMN
670002104
64
13851
SH
DFND
13851
0
0
Och-Ziff Capital Management Group LLC
Ltd Part
67551U105
201
14500
SH
DFND
14500
0
0
Oculus Innovative Sciences Inc
CMN
67575P207
54
17424
SH
DFND
17424
0
0
Odyssey Marine Exploration Inc
CMN
676118102
73
43322
SH
DFND
43322
0
0
Omega Protein Corp
CMN
68210P107
138
10076
SH
DFND
10076
0
0
ON Semiconductor Corp
CMN
682189105
234
25600
SH
DFND
25600
0
0
Oncothyreon Inc
CMN
682324108
62
19018
SH
DFND
19018
0
0
OneBeacon Insurance Group Ltd
CMN
G67742109
293
18857
SH
DFND
18857
0
0
OraSure Technologies Inc
CMN
68554V108
90
10400
SH
DFND
10400
0
0
Orient Paper Inc
CMN
68619F205
34
15816
SH
DFND
15816
0
0
Outerwall Inc
CMN
690070107
231
3900
SH
DFND
3900
0
0
Pacific Biosciences of California Inc
CMN
69404D108
123
19866
SH
DFND
19866
0
0
Palatin Technologies Inc
CMN
696077403
72
70544
SH
DFND
70544
0
0
Pantry Inc/The
CMN
698657103
185
11431
SH
DFND
11431
0
0
Parker Drilling Co
CMN
701081101
68
10458
SH
DFND
10458
0
0
PC-Tel Inc
CMN
69325Q105
159
19612
SH
DFND
19612
0
0
PDL BioPharma Inc
CMN
69329Y104
215
22200
SH
DFND
22200
0
0
Pendrell Corp
CMN
70686R104
26
14644
SH
DFND
14644
0
0
Pengrowth Energy Corp
CMN
70706P104
360
50100
SH
DFND
50100
0
0
Penn West Petroleum Ltd
CMN
707887105
405
41500
SH
DFND
41500
0
0
PennantPark Investment Corp
CMN
708062104
130
11343
SH
DFND
11343
0
0
Pericom Semiconductor Corp
CMN
713831105
199
22051
SH
DFND
22051
0
0
Perion Network Ltd
CMN
M78673106
169
16700
SH
DFND
16700
0
0
PetroQuest Energy Inc
CMN
716748108
131
17397
SH
DFND
17397
0
0
Pfizer Inc
CMN
717081103
349
11768
SH
DFND
3700
0
8068
PharmAthene Inc
CMN
71714G102
71
49468
SH
DFND
49468
0
0
Philip Morris International Inc
CMN
718172109
744
8823
SH
SOLE
0
0
8823
Pixelworks Inc
CMN
72581M305
84
11100
SH
DFND
11100
0
0
Planar Systems Inc
CMN
726900103
50
20447
SH
DFND
20447
0
0
Planet Payment Inc
CMN
U72603118
69
24416
SH
DFND
24416
0
0
PLX Technology Inc
CMN
693417107
66
10142
SH
DFND
10142
0
0
Polymet Mining Corp
CMN
731916102
25
23200
SH
DFND
23200
0
0
PowerShares Emerging Markets Sovereign Debt Portfolio
ETP
73936T573
1088
37300
SH
SOLE
0
0
37300
Powershares QQQ Trust Series 1
ETP
73935A104
1399
14900
SH
SOLE
0
0
14900
Pozen Inc
CMN
73941U102
162
19416
SH
DFND
19416
0
0
ProShares Short S&P500
ETP
74347R503
1005
43000
SH
SOLE
0
0
43000
ProShares Ultra Dow30
ETP
74347R305
776
6500
SH
SOLE
0
0
6500
ProShares Ultra S&P500
ETP
74347R107
810
7000
SH
SOLE
0
0
7000
ProShares UltraShort Dow30
ETP
74348A590
931
36400
SH
SOLE
0
0
36400
ProShares UltraShort S&P500
ETP
74347B300
913
35900
SH
SOLE
0
0
35900
Prudential Financial Inc
CMN
744320102
213
2400
SH
DFND
2100
0
300
QUALCOMM Inc
CMN
747525103
343
4325
SH
DFND
1200
0
3125
Quantum Corp
CMN
747906204
78
63567
SH
DFND
63567
0
0
Quicksilver Resources Inc
CMN
74837R104
124
46500
SH
DFND
46500
0
0
Radiant Logistics Inc
CMN
75025X100
33
11006
SH
DFND
11006
0
0
Radio One Inc
CMN
75040P405
192
38933
SH
DFND
38933
0
0
RadNet Inc
CMN
750491102
96
14498
SH
DFND
14498
0
0
Republic Airways Holdings Inc
CMN
760276105
181
16685
SH
DFND
16685
0
0
Resolute Energy Corp
CMN
76116A108
155
17986
SH
DFND
17986
0
0
Resource Capital Corp
REIT
76120W302
56
10026
SH
DFND
10026
0
0
RF Industries Ltd
CMN
749552105
63
10507
SH
DFND
10507
0
0
RF Micro Devices Inc
CMN
749941100
129
13500
SH
DFND
13500
0
0
Rio Alto Mining Ltd
CMN
76689T104
100
43209
SH
DFND
43209
0
0
RR Donnelley & Sons Co
CMN
257867101
323
19065
SH
DFND
19065
0
0
Safe Bulkers Inc
CMN
Y7388L103
152
15600
SH
DFND
15600
0
0
SanDisk Corp
CMN
80004C101
313
3000
SH
DFND
400
0
2600
Sciclone Pharmaceuticals Inc
CMN
80862K104
107
20376
SH
DFND
20376
0
0
Seabridge Gold Inc
CMN
811916105
129
13700
SH
DFND
13700
0
0
ShoreTel Inc
CMN
825211105
73
11223
SH
DFND
11223
0
0
SIGA Technologies Inc
CMN
826917106
189
66973
SH
DFND
66973
0
0
Sigmatron International Inc
CMN
82661L101
138
11440
SH
DFND
11440
0
0
Silicon Image Inc
CMN
82705T102
139
27590
SH
DFND
27590
0
0
Silvercorp Metals Inc
CMN
82835P103
36
17205
SH
DFND
17205
0
0
Skystar Bio-Pharmaceutical Co
CMN
830884300
127
17293
SH
DFND
17293
0
0
Smart Technologies Inc
CMN
83172R108
40
14033
SH
DFND
14033
0
0
SMTC Corp
CMN
832682207
55
30269
SH
DFND
30269
0
0
Sonus Networks Inc
CMN
835916107
77
21400
SH
DFND
21400
0
0
SORL Auto Parts Inc
CMN
78461U101
77
25743
SH
DFND
25743
0
0
SPDR Barclays High Yield Bond ETF
ETP
78464A417
1244
29800
SH
SOLE
0
0
29800
SPDR Dow Jones Industrial Average ETF Trust
ETP
78467X109
1091
6500
SH
SOLE
0
0
6500
SPDR Gold Shares
ETP
78463V107
794
6200
SH
SOLE
0
0
6200
SPDR S&P 500 ETF Trust
ETP
78462F103
1236
6314
SH
DFND
2314
0
4000
SPDR S&P Dividend ETF
ETP
78464A763
942
12300
SH
SOLE
0
0
12300
SPDR S&P MidCap 400 ETF Trust
ETP
78467Y107
965
3705
SH
SOLE
0
0
3705
Star Gas Partners LP
Ltd Part
85512C105
135
21739
SH
DFND
21739
0
0
Steel Dynamics Inc
CMN
858119100
217
12100
SH
DFND
12100
0
0
Sturm Ruger & Co Inc
CMN
864159108
201
3400
SH
DFND
3400
0
0
Summer Infant Inc
CMN
865646103
91
31694
SH
DFND
31694
0
0
Superconductor Technologies Inc
CMN
867931404
144
49905
SH
DFND
49905
0
0
support.com Inc
CMN
86858W101
32
11975
SH
DFND
11975
0
0
Sutor Technology Group Ltd
CMN
869362103
23
23205
SH
DFND
23205
0
0
Symmetry Medical Inc
CMN
871546206
160
18044
SH
DFND
18044
0
0
Synta Pharmaceuticals Corp
CMN
87162T206
103
25100
SH
DFND
25100
0
0
Synthesis Energy Systems Inc
CMN
871628103
58
30600
SH
DFND
30600
0
0
Synutra International Inc
CMN
87164C102
79
11822
SH
DFND
11822
0
0
Taseko Mines Ltd
CMN
876511106
161
64662
SH
DFND
64662
0
0
TeleCommunication Systems Inc
CMN
87929J103
107
32623
SH
DFND
32623
0
0
TGC Industries Inc
CMN
872417308
63
11468
SH
DFND
11468
0
0
TheStreet Inc
CMN
88368Q103
104
43337
SH
DFND
43337
0
0
Thompson Creek Metals Co Inc
CMN
884768102
103
34800
SH
DFND
34800
0
0
Threshold Pharmaceuticals Inc
CMN
885807206
86
21600
SH
DFND
21600
0
0
Timmins Gold Corp
CMN
88741P103
113
63100
SH
DFND
63100
0
0
Tower Semiconductor Ltd
CMN
M87915274
197
21692
SH
DFND
21692
0
0
Travelers Cos Inc/The
CMN
89417E109
435
4621
SH
DFND
900
0
3721
Triple-S Management Corp
CMN
896749108
211
11779
SH
DFND
11779
0
0
Tsakos Energy Navigation Ltd
CMN
G9108L108
231
34578
SH
DFND
34578
0
0
Turquoise Hill Resources Ltd
CMN
900435108
48
14230
SH
DFND
14230
0
0
Ultrapetrol Bahamas Ltd
CMN
P94398107
68
22869
SH
DFND
22869
0
0
Unilife Corp
CMN
90478E103
73
24700
SH
DFND
24700
0
0
Union Pacific Corp
CMN
907818108
221
2220
SH
DFND
1100
0
1120
United Insurance Holdings Corp
CMN
910710102
210
12173
SH
DFND
12173
0
0
United Therapeutics Corp
CMN
91307C102
221
2500
SH
DFND
2400
0
100
UnitedHealth Group Inc
CMN
91324P102
476
5825
SH
DFND
1900
0
3925
Uranium Energy Corp
CMN
916896103
44
27800
SH
DFND
27800
0
0
US Auto Parts Network Inc
CMN
90343C100
66
18165
SH
DFND
18165
0
0
US Energy Corp Wyoming
CMN
911805109
82
19044
SH
DFND
19044
0
0
USA Technologies Inc
CMN
90328S500
44
20941
SH
DFND
20941
0
0
USEC Inc
CMN
90333E207
50
16431
SH
DFND
16431
0
0
Utilities Select Sector SPDR Fund
ETP
81369Y886
376
8500
SH
SOLE
0
0
8500
Vanguard Dividend Appreciation ETF
ETP
921908844
2915
37400
SH
SOLE
0
0
37400
Vanguard Intermediate-Term Bond ETF
ETP
921937819
907
10700
SH
SOLE
0
0
10700
Vanguard Intermediate-Term Corporate Bond ETF
ETP
92206C870
3038
35100
SH
SOLE
0
0
35100
Vanguard Long-Term Corporate Bond ETF
ETP
92206C813
912
10100
SH
SOLE
0
0
10100
Vanguard Short-Term Bond ETF
ETP
921937827
3077
38300
SH
SOLE
0
0
38300
Vanguard Short-Term Corporate Bond ETF
ETP
92206C409
2934
36500
SH
SOLE
0
0
36500
Vanguard Total Bond Market ETF
ETP
921937835
4273
52000
SH
SOLE
0
0
52000
Vantage Drilling Co
CMN
G93205113
115
59700
SH
DFND
59700
0
0
Venaxis Inc
CMN
92262A107
92
41139
SH
DFND
41139
0
0
Vical Inc
CMN
925602104
28
22802
SH
DFND
22802
0
0
Viewtran Group Inc
CMN
G9363W104
21
10529
SH
DFND
10529
0
0
Visa Inc
CMN
92826C839
929
4409
SH
DFND
500
0
3909
Vonage Holdings Corp
CMN
92886T201
99
26400
SH
DFND
26400
0
0
Walt Disney Co/The
CMN
254687106
317
3700
SH
SOLE
0
0
3700
Wave Systems Corp
CMN
943526400
16
11375
SH
DFND
11375
0
0
Western Digital Corp
CMN
958102105
323
3500
SH
SOLE
0
0
3500
Wi-Lan Inc
CMN
928972108
270
85200
SH
DFND
85200
0
0
Willdan Group Inc
CMN
96924N100
116
13400
SH
DFND
13400
0
0
Wireless Telecom Group Inc
CMN
976524108
57
21370
SH
DFND
21370
0
0
Xerium Technologies Inc
CMN
98416J118
169
12129
SH
DFND
12129
0
0
Xilinx Inc
CMN
983919101
560
11843
SH
DFND
2000
0
9843
Yongye International Inc
CMN
98607B106
139
19860
SH
DFND
19860
0
0
ZAGG Inc
CMN
98884U108
87
15960
SH
DFND
15960
0
0
ZIOPHARM Oncology Inc
CMN
98973P101
76
18890
SH
DFND
18890
0
0
Zix Corp
CMN
98974P100
35
10196
SH
DFND
10196
0
0