Compliance Officer

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 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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 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