0001529426-14-000004.txt : 20141114 0001529426-14-000004.hdr.sgml : 20141114 20141113185155 ACCESSION NUMBER: 0001529426-14-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141113 EFFECTIVENESS DATE: 20141114 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: 141219802 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 09-30-2014 09-30-2014 Rotella Capital Management, Inc.

800 BELLEVUE WAY NE SUITE 200 BELLEVUE WA 98004

13F HOLDINGS REPORT 028-14669 N Sheila Powers 425.213.5747 Sheila Powers Bellevue WA 11-13-2014 0 310 95261 false INFORMATION TABLE 2 SEC_13F_2014_Q3.xml 13F Abraxas Petroleum Corp CMN 003830106 60 11401 SH DFND 11401 0 0 Accenture PLC CMN G1151C101 222 2725 SH DFND 2700 0 25 ACCO Brands Corp CMN 00081T108 129 18640 SH DFND 18640 0 0 Accuride Corp CMN 00439T206 68 18019 SH DFND 18019 0 0 Advantage Oil & Gas Ltd CMN 00765F101 159 31159 SH DFND 31159 0 0 Agenus Inc CMN 00847G705 78 24996 SH DFND 24996 0 0 Air Transport Services Group Inc CMN 00922R105 155 21262 SH DFND 21262 0 0 Aircastle Ltd CMN G0129K104 167 10200 SH DFND 10200 0 0 Alaska Communications Systems Group Inc CMN 01167P101 16 10490 SH DFND 10490 0 0 Alliance One International Inc CMN 018772103 39 19779 SH DFND 19779 0 0 Almaden Minerals Ltd CMN 020283107 37 27368 SH DFND 27368 0 0 Alpha PRO Tech Ltd CMN 020772109 47 14912 SH DFND 14912 0 0 Alphatec Holdings Inc CMN 02081G102 85 49787 SH DFND 49787 0 0 Amarin Corp PLC ADR 023111206 11 10100 SH DFND 10100 0 0 American Woodmark Corp CMN 030506109 280 7600 SH DFND 7600 0 0 AmTrust Financial Services Inc CMN 032359309 208 5232 SH DFND 5232 0 0 Apollo Investment Corp CMN 03761U106 100 12300 SH DFND 12300 0 0 Apricus Biosciences Inc CMN 03832V109 80 53170 SH DFND 53170 0 0 Archer-Daniels-Midland Co CMN 039483102 201 3939 SH DFND 2100 0 1839 Arotech Corp CMN 042682203 80 24528 SH DFND 24528 0 0 Arqule Inc CMN 04269E107 24 21846 SH DFND 21846 0 0 Atlantic Power Corp CMN 04878Q863 39 16300 SH DFND 16300 0 0 AXT Inc CMN 00246W103 84 34518 SH DFND 34518 0 0 B2Gold Corp CMN 11777Q209 26 12900 SH DFND 12900 0 0 Bacterin International Holdings Inc CMN 05644R200 60 13600 SH DFND 13600 0 0 Barnes & Noble Inc CMN 067774109 302 15300 SH DFND 15300 0 0 Bed Bath & Beyond Inc CMN 075896100 204 3100 SH DFND 400 0 2700 Biodel Inc CMN 09064M204 49 29224 SH DFND 29224 0 0 BioTelemetry Inc CMN 090672106 109 16279 SH DFND 16279 0 0 BlueLinx Holdings Inc CMN 09624H109 64 48795 SH DFND 48795 0 0 Bon-Ton Stores Inc/The CMN 09776J101 189 22631 SH DFND 22631 0 0 BorgWarner Inc CMN 099724106 521 9900 SH DFND 100 0 9800 Box Ships Inc CMN Y09675102 33 27273 SH DFND 27273 0 0 BPZ Resources Inc CMN 055639108 65 34158 SH DFND 34158 0 0 Bridgepoint Education Inc CMN 10807M105 142 12700 SH DFND 12700 0 0 Broadcom Corp CMN 111320107 212 5249 SH DFND 3300 0 1949 Cache Inc CMN 127150308 15 17964 SH DFND 17964 0 0 Calavo Growers Inc CMN 128246105 226 5000 SH DFND 5000 0 0 Cardica Inc CMN 14141R101 67 62492 SH DFND 62492 0 0 Casella Waste Systems Inc CMN 147448104 81 21156 SH DFND 21156 0 0 Catalyst Pharmaceutical Partners Inc CMN 14888U101 76 22852 SH DFND 22852 0 0 Catamaran Corp CMN 148887102 370 8768 SH DFND 3768 0 5000 Cel-Sci Corp CMN 150837508 41 44995 SH DFND 44995 0 0 Central Valley Community Bancorp CMN 155685100 132 11469 SH DFND 11469 0 0 Cenveo Inc CMN 15670S105 73 29669 SH DFND 29669 0 0 Ceragon Networks Ltd CMN M22013102 46 19454 SH DFND 19454 0 0 Cerner Corp CMN 156782104 244 4100 SH SOLE 0 0 4100 Charter Communications Inc CMN 16117M305 545 3600 SH SOLE 0 0 3600 China Automotive Systems Inc CMN 16936R105 132 14406 SH DFND 14406 0 0 China Green Agriculture Inc CMN 16943W105 386 195080 SH DFND 195080 0 0 Cincinnati Bell Inc CMN 171871106 45 13300 SH DFND 13300 0 0 Cinedigm Corp CMN 172406100 25 15902 SH DFND 15902 0 0 Cisco Systems Inc CMN 17275R102 297 11780 SH DFND 1800 0 9980 Citrix Systems Inc CMN 177376100 328 4600 SH DFND 300 0 4300 Clean Diesel Technologies Inc CMN 18449C401 50 29235 SH DFND 29235 0 0 Coca-Cola Co/The CMN 191216100 514 12047 SH SOLE 0 0 12047 Comcast Corp CMN 20030N101 242 4500 SH DFND 400 0 4100 Commercial Vehicle Group Inc CMN 202608105 80 12872 SH DFND 12872 0 0 Comstock Mining Inc CMN 205750102 14 11492 SH DFND 11492 0 0 ConAgra Foods Inc CMN 205887102 607 18361 SH DFND 18300 0 61 Consolidated Water Co Ltd CMN G23773107 128 10971 SH DFND 10971 0 0 Consumer Portfolio Services Inc CMN 210502100 86 13410 SH DFND 13410 0 0 Cott Corp CMN 22163N106 151 22036 SH DFND 22036 0 0 Cowen Group Inc CMN 223622101 41 10905 SH DFND 10905 0 0 Curis Inc CMN 231269101 33 23079 SH DFND 23079 0 0 Cyclacel Pharmaceuticals Inc CMN 23254L306 67 21972 SH DFND 21972 0 0 CYS Investments Inc REIT 12673A108 160 19400 SH DFND 19400 0 0 Daktronics Inc CMN 234264109 312 25426 SH DFND 25426 0 0 Danaos Corp CMN Y1968P105 65 12687 SH DFND 12687 0 0 Dendreon Corp CMN 24823Q107 16 10800 SH DFND 10800 0 0 Diana Containerships Inc CMN Y2069P101 153 67911 SH DFND 67911 0 0 Dice Holdings Inc CMN 253017107 125 14901 SH DFND 14901 0 0 Discovery Communications Inc CMN 25470F104 278 7353 SH DFND 400 0 6953 Discovery Laboratories Inc CMN 254668403 44 23661 SH DFND 23661 0 0 Dollar General Corp CMN 256677105 239 3905 SH DFND 2600 0 1305 Dominion Diamond Corp CMN 257287102 444 31200 SH DFND 31200 0 0 DryShips Inc CMN Y2109Q101 61 24800 SH DFND 24800 0 0 DSP Group Inc CMN 23332B106 104 11676 SH DFND 11676 0 0 DSW Inc CMN 23334L102 208 6900 SH DFND 6900 0 0 Dynavax Technologies Corp CMN 268158102 38 26700 SH DFND 26700 0 0 Dynex Capital Inc REIT 26817Q506 100 12369 SH DFND 12369 0 0 EarthLink Holdings Corp CMN 27033X101 158 46344 SH DFND 46344 0 0 eBay Inc CMN 278642103 246 4338 SH SOLE 0 0 4338 Education Management Corp CMN 28140M103 13 11927 SH DFND 11927 0 0 Emerald Oil Inc CMN 29101U209 77 12458 SH DFND 12458 0 0 Emmis Communications Corp CMN 291525103 100 47321 SH DFND 47321 0 0 Emulex Corp CMN 292475209 116 23500 SH DFND 23500 0 0 Endeavour Silver Corp CMN 29258Y103 84 19300 SH DFND 19300 0 0 Energy Select Sector SPDR Fund ETP 81369Y506 353 3900 SH SOLE 0 0 3900 Energy Transfer Partners LP Ltd Part 29273R109 305 4761 SH DFND 4761 0 0 Ennis Inc CMN 293389102 449 34099 SH DFND 34099 0 0 EnteroMedics Inc CMN 29365M208 33 26627 SH DFND 26627 0 0 Enzo Biochem Inc CMN 294100102 61 11858 SH DFND 11858 0 0 Enzon Pharmaceuticals Inc CMN 293904108 57 53152 SH DFND 53152 0 0 Express Scripts Holding Co CMN 30219G108 228 3228 SH DFND 900 0 2328 FalconStor Software Inc CMN 306137100 23 19786 SH DFND 19786 0 0 FedEx Corp CMN 31428X106 567 3512 SH DFND 3200 0 312 FelCor Lodging Trust Inc REIT 31430F101 94 10088 SH DFND 10088 0 0 Fifth Street Finance Corp CMN 31678A103 106 11500 SH DFND 11500 0 0 First Acceptance Corp CMN 318457108 80 32121 SH DFND 32121 0 0 First BanCorp/Puerto Rico CMN 318672706 67 14077 SH DFND 14077 0 0 First Community Bancshares Inc/VA CMN 31983A103 157 10992 SH DFND 10992 0 0 Five Star Quality Care Inc CMN 33832D106 50 13224 SH DFND 13224 0 0 FMC Corp CMN 302491303 1927 33700 SH SOLE 0 0 33700 Fortress Investment Group LLC Ltd Part 34958B106 122 17800 SH DFND 17800 0 0 Fortuna Silver Mines Inc CMN 349915108 152 37560 SH DFND 37560 0 0 Frontline Ltd/Bermuda CMN G3682E127 19 14861 SH DFND 14861 0 0 General Electric Co CMN 369604103 268 10479 SH DFND 1000 0 9479 General Steel Holdings Inc CMN 370853103 46 46704 SH DFND 46704 0 0 Geron Corp CMN 374163103 36 18081 SH DFND 18081 0 0 GigOptix Inc CMN 37517Y103 23 19416 SH DFND 19416 0 0 G-III Apparel Group Ltd CMN 36237H101 207 2500 SH DFND 2500 0 0 Global Cash Access Holdings Inc CMN 378967103 124 18400 SH DFND 18400 0 0 Globalscape Inc CMN 37940G109 40 16569 SH DFND 16569 0 0 Glu Mobile Inc CMN 379890106 79 15200 SH DFND 15200 0 0 Gold Resource Corp CMN 38068T105 68 13293 SH DFND 13293 0 0 Goldman Sachs Group Inc/The CMN 38141G104 773 4211 SH DFND 100 0 4111 Gran Tierra Energy Inc CMN 38500T101 101 18200 SH DFND 18200 0 0 Gulf Resources Inc CMN 40251W309 89 62318 SH DFND 62318 0 0 Hackett Group Inc/The CMN 404609109 107 17874 SH DFND 17874 0 0 Harvard Bioscience Inc CMN 416906105 130 31811 SH DFND 31811 0 0 Health Care Select Sector SPDR Fund ETP 81369Y209 358 5600 SH SOLE 0 0 5600 Hewlett-Packard Co CMN 428236103 201 5657 SH DFND 3400 0 2257 Higher One Holdings Inc CMN 42983D104 71 28724 SH DFND 28724 0 0 Hill International Inc CMN 431466101 67 16862 SH DFND 16862 0 0 Hutchinson Technology Inc CMN 448407106 75 20361 SH DFND 20361 0 0 Imation Corp CMN 45245A107 65 22128 SH DFND 22128 0 0 Infosonics Corp CMN 456784107 31 15700 SH DFND 15700 0 0 InfuSystems Holdings Inc CMN 45685K102 63 20287 SH DFND 20287 0 0 Intel Corp CMN 458140100 949 27257 SH DFND 1600 0 25657 International Rectifier Corp CMN 460254105 298 7600 SH DFND 7600 0 0 Inuvo Inc CMN 46122W204 65 44600 SH DFND 44600 0 0 ION Geophysical Corp CMN 462044108 72 25900 SH DFND 25900 0 0 iShares 20+ Year Treasury Bond ETF ETP 464287432 3604 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 357 1800 SH SOLE 0 0 1800 iShares Core S&P Mid-Cap ETF ETP 464287507 342 2500 SH SOLE 0 0 2500 iShares Core S&P Small-Cap ETF ETP 464287804 490 4700 SH SOLE 0 0 4700 iShares Core U.S. Aggregate Bond ETF ETP 464287226 1342 12300 SH SOLE 0 0 12300 iShares iBoxx $ High Yield Corporate Bond ETF ETP 464288513 368 4000 SH SOLE 0 0 4000 iShares iBoxx $ Investment Grade Corporate Bond ETF ETP 464287242 2080 17600 SH SOLE 0 0 17600 iShares Intermediate Credit Bond ETF ETP 464288638 3050 27900 SH SOLE 0 0 27900 iShares JP Morgan USD Emerging Markets Bond ETF ETP 464288281 1106 9800 SH SOLE 0 0 9800 iShares MBS ETF ETP 464288588 1730 16000 SH SOLE 0 0 16000 iShares National AMT-Free Muni Bond ETF ETP 464288414 1283 11700 SH SOLE 0 0 11700 iShares Russell 2000 ETF ETP 464287655 820 7500 SH SOLE 0 0 7500 iShares TIPS Bond ETF ETP 464287176 2701 24100 SH SOLE 0 0 24100 Isle of Capri Casinos Inc CMN 464592104 87 11658 SH DFND 11658 0 0 ITT Educational Services Inc CMN 45068B109 51 11900 SH DFND 11900 0 0 Jinpan International Ltd CMN G5138L100 91 11565 SH DFND 11565 0 0 Joe's Jeans Inc CMN 47777N101 13 13287 SH DFND 13287 0 0 Johnson & Johnson CMN 478160104 494 4634 SH DFND 115 0 4519 Just Energy Group Inc CMN 48213W101 316 67969 SH DFND 67969 0 0 Kinross Gold Corp CMN 496902404 65 19700 SH DFND 19700 0 0 Kohl's Corp CMN 500255104 201 3300 SH DFND 2400 0 900 Lake Shore Gold Corp CMN 510728108 274 264400 SH DFND 264400 0 0 Lee Enterprises Inc/IA CMN 523768109 142 41996 SH DFND 41996 0 0 Lennar Corp CMN 526057104 676 17400 SH DFND 15400 0 2000 Lexicon Pharmaceuticals Inc CMN 528872104 19 13600 SH DFND 13600 0 0 Lifevantage Corp CMN 53222K106 20 17217 SH DFND 17217 0 0 LiveDeal Inc CMN 538144304 51 17200 SH DFND 17200 0 0 Local Corp CMN 53954W104 133 66304 SH DFND 66304 0 0 Logitech International SA CMN H50430232 539 41742 SH DFND 41742 0 0 Lululemon Athletica Inc CMN 550021109 525 12500 SH DFND 12500 0 0 Magellan Petroleum Corp CMN 559091301 63 29711 SH DFND 29711 0 0 Magic Software Enterprises Ltd CMN 559166103 74 10742 SH DFND 10742 0 0 Maiden Holdings Ltd CMN G5753U112 180 16231 SH DFND 16231 0 0 Market Vectors Semiconductor ETF ETP 57060U233 363 7100 SH SOLE 0 0 7100 Martha Stewart Living Omnimedia Inc CMN 573083102 81 22433 SH DFND 22433 0 0 Mattel Inc CMN 577081102 1799 58700 SH SOLE 0 0 58700 MBT Financial Corp CMN 578877102 53 11133 SH DFND 11133 0 0 McClatchy Co/The CMN 579489105 149 44316 SH DFND 44316 0 0 Medallion Financial Corp CMN 583928106 157 13463 SH DFND 13463 0 0 Merck & Co Inc CMN 58933Y105 601 10134 SH DFND 200 0 9934 Merge Healthcare Inc CMN 589499102 230 104340 SH DFND 104340 0 0 Meritor Inc CMN 59001K100 150 13833 SH DFND 13833 0 0 Merus Labs International Inc CMN 59047R101 80 53600 SH DFND 53600 0 0 Metalico Inc CMN 591176102 30 27342 SH DFND 27342 0 0 Methode Electronics Inc CMN 591520200 431 11700 SH DFND 11700 0 0 Microsoft Corp CMN 594918104 391 8443 SH SOLE 0 0 8443 Monster Beverage Corp CMN 611740101 367 4000 SH SOLE 0 0 4000 National Oilwell Varco Inc CMN 637071101 634 8326 SH DFND 700 0 7626 NCI Inc CMN 62886K104 150 15744 SH DFND 15744 0 0 NeoStem Inc CMN 640650404 62 11278 SH DFND 11278 0 0 Net 1 UEPS Technologies Inc CMN 64107N206 167 13837 SH DFND 13837 0 0 NetSol Technologies Inc CMN 64115A402 56 15264 SH DFND 15264 0 0 Nevsun Resources Ltd CMN 64156L101 230 63500 SH DFND 63500 0 0 New Concept Energy Inc CMN 643611106 22 14259 SH DFND 14259 0 0 Newtek Business Services Inc CMN 652526104 56 20401 SH DFND 20401 0 0 Noranda Aluminum Holding Corp CMN 65542W107 74 16340 SH DFND 16340 0 0 Nordic American Tankers Ltd CMN G65773106 92 11600 SH DFND 11600 0 0 Norfolk Southern Corp CMN 655844108 201 1800 SH DFND 500 0 1300 NXP Semiconductor NV CMN N6596X109 260 3800 SH DFND 1200 0 2600 Odyssey Marine Exploration Inc CMN 676118102 28 30322 SH DFND 30322 0 0 ON Semiconductor Corp CMN 682189105 166 18600 SH DFND 18600 0 0 Orient Paper Inc CMN 68619F205 31 22416 SH DFND 22416 0 0 OXiGENE Inc CMN 691828404 27 12713 SH DFND 12713 0 0 Pacific Ethanol Inc CMN 69423U305 215 15400 SH DFND 15400 0 0 Palatin Technologies Inc CMN 696077403 27 29151 SH DFND 29151 0 0 Pall Corp CMN 696429307 226 2700 SH DFND 2700 0 0 Paragon Shipping Inc CMN 69913R408 42 10471 SH DFND 10471 0 0 Parker Drilling Co CMN 701081101 139 28220 SH DFND 28220 0 0 Paychex Inc CMN 704326107 528 11945 SH DFND 11900 0 45 PC-Tel Inc CMN 69325Q105 81 10712 SH DFND 10712 0 0 PDL BioPharma Inc CMN 69329Y104 125 16700 SH DFND 16700 0 0 Penn National Gaming Inc CMN 707569109 120 10700 SH DFND 10700 0 0 Penn West Petroleum Ltd CMN 707887105 290 42800 SH DFND 42800 0 0 Peregrine Pharmaceuticals Inc CMN 713661304 28 20769 SH DFND 20769 0 0 Perion Network Ltd CMN M78673106 58 10400 SH DFND 10400 0 0 Pfizer Inc CMN 717081103 318 10767 SH DFND 2500 0 8267 PharmAthene Inc CMN 71714G102 41 23368 SH DFND 23368 0 0 Photronics Inc CMN 719405102 104 12860 SH DFND 12860 0 0 Planar Systems Inc CMN 726900103 55 14547 SH DFND 14547 0 0 Planet Payment Inc CMN U72603118 93 47689 SH DFND 47689 0 0 Polymet Mining Corp CMN 731916102 24 22100 SH DFND 22100 0 0 PowerShares Emerging Markets Sovereign Debt Portfolio ETP 73936T573 1900 66800 SH SOLE 0 0 66800 Powershares QQQ Trust Series 1 ETP 73935A104 1018 10300 SH SOLE 0 0 10300 Pozen Inc CMN 73941U102 145 19816 SH DFND 19816 0 0 Premier Financial Bancorp Inc CMN 74050M105 149 10173 SH DFND 10173 0 0 Priceline Group Inc/The CMN 741503403 232 200 SH SOLE 0 0 200 ProShares Ultra Dow30 ETP 74347R305 775 6300 SH SOLE 0 0 6300 Pulse Electronics Corp CMN 74586W205 23 17220 SH DFND 17220 0 0 Quantum Corp CMN 747906204 70 60467 SH DFND 60467 0 0 Quicksilver Resources Inc CMN 74837R104 16 25900 SH DFND 25900 0 0 Radiant Logistics Inc CMN 75025X100 67 18204 SH DFND 18204 0 0 RadioShack Corp CMN 750438103 35 35800 SH DFND 35800 0 0 Regeneron Pharmaceuticals Inc CMN 75886F107 397 1100 SH SOLE 0 0 1100 Rentech Inc CMN 760112102 22 12900 SH DFND 12900 0 0 REX American Resources Corp CMN 761624105 286 3919 SH DFND 3919 0 0 Richmont Mines Inc CMN 76547T106 89 43900 SH DFND 43900 0 0 Rio Alto Mining Ltd CMN 76689T104 259 108109 SH DFND 108109 0 0 Royal Bancshares of Pennsylvania Inc CMN 780081105 28 17700 SH DFND 17700 0 0 SanDisk Corp CMN 80004C101 225 2300 SH DFND 500 0 1800 Scholastic Corp CMN 807066105 620 19191 SH DFND 19191 0 0 Sciclone Pharmaceuticals Inc CMN 80862K104 138 20060 SH DFND 20060 0 0 Sequenom Inc CMN 817337405 58 19480 SH DFND 19480 0 0 Shiloh Industries Inc CMN 824543102 270 15876 SH DFND 15876 0 0 Ship Finance International Ltd CMN G81075106 193 11400 SH DFND 11400 0 0 Sigma Designs Inc CMN 826565103 45 10528 SH DFND 10528 0 0 Signet Jewelers Ltd CMN G81276100 296 2600 SH DFND 2600 0 0 Silver Standard Resources Inc CMN 82823L106 87 14300 SH DFND 14300 0 0 Silvercorp Metals Inc CMN 82835P103 17 10805 SH DFND 10805 0 0 Sirius XM Holdings Inc CMN 82968B103 68 19500 SH DFND 19500 0 0 Skystar Bio-Pharmaceutical Co CMN 830884300 140 33393 SH DFND 33393 0 0 SLM Corp CMN 78442P106 87 10200 SH DFND 10200 0 0 Smart Technologies Inc CMN 83172R108 40 24173 SH DFND 24173 0 0 Smith Micro Software Inc CMN 832154108 13 15100 SH DFND 15100 0 0 SMTC Corp CMN 832682207 45 24069 SH DFND 24069 0 0 SORL Auto Parts Inc CMN 78461U101 45 10343 SH DFND 10343 0 0 Spartan Motors Inc CMN 846819100 96 20547 SH DFND 20547 0 0 SPDR Barclays High Yield Bond ETF ETP 78464A417 365 9100 SH SOLE 0 0 9100 SPDR Dow Jones Industrial Average ETF Trust ETP 78467X109 1106 6500 SH SOLE 0 0 6500 SPDR S&P 500 ETF Trust ETP 78462F103 4573 23214 SH DFND 21414 0 1800 SPDR S&P Dividend ETF ETP 78464A763 922 12300 SH SOLE 0 0 12300 SPDR S&P MidCap 400 ETF Trust ETP 78467Y107 1298 5205 SH SOLE 0 0 5205 Star Gas Partners LP Ltd Part 85512C105 199 34832 SH DFND 34832 0 0 Steel Dynamics Inc CMN 858119100 409 18100 SH DFND 2400 0 15700 StemCells Inc CMN 85857R204 18 14515 SH DFND 14515 0 0 STR Holdings Inc CMN 78478V100 51 34938 SH DFND 34938 0 0 Summer Infant Inc CMN 865646103 51 14494 SH DFND 14494 0 0 Superconductor Technologies Inc CMN 867931404 105 37492 SH DFND 37492 0 0 support.com Inc CMN 86858W101 37 17175 SH DFND 17175 0 0 Supreme Industries Inc CMN 868607102 161 20650 SH DFND 20650 0 0 Symmetry Medical Inc CMN 871546206 141 13950 SH DFND 13950 0 0 Synergetics USA Inc CMN 87160G107 68 19811 SH DFND 19811 0 0 Taseko Mines Ltd CMN 876511106 119 69813 SH DFND 69813 0 0 Teekay Tankers Ltd CMN Y8565N102 137 36641 SH DFND 36641 0 0 TeleCommunication Systems Inc CMN 87929J103 188 67481 SH DFND 67481 0 0 Tesla Motors Inc CMN 88160R101 340 1400 SH SOLE 0 0 1400 TGC Industries Inc CMN 872417308 126 32675 SH DFND 32675 0 0 TheStreet Inc CMN 88368Q103 78 34645 SH DFND 34645 0 0 Thompson Creek Metals Co Inc CMN 884768102 94 42600 SH DFND 42600 0 0 THT Heat Transfer Technology Inc CMN 886031103 32 22000 SH DFND 22000 0 0 Timmins Gold Corp CMN 88741P103 120 95400 SH DFND 95400 0 0 TOP Ships Inc CMN Y8897Y149 20 10000 SH DFND 10000 0 0 Tower Semiconductor Ltd CMN M87915274 148 14592 SH DFND 14592 0 0 Transcept Pharmaceuticals Inc CMN 89354M106 40 19552 SH DFND 19552 0 0 TransGlobe Energy Corp CMN 893662106 178 29252 SH DFND 29252 0 0 Tsakos Energy Navigation Ltd CMN G9108L108 149 23378 SH DFND 23378 0 0 Ultrapetrol Bahamas Ltd CMN P94398107 36 11537 SH DFND 11537 0 0 Unilife Corp CMN 90478E103 28 12300 SH DFND 12300 0 0 United Insurance Holdings Corp CMN 910710102 168 11173 SH DFND 11173 0 0 United Online Inc CMN 911268209 130 11868 SH DFND 11868 0 0 United States Steel Corp CMN 912909108 486 12400 SH DFND 3900 0 8500 United Technologies Corp CMN 913017109 319 3019 SH DFND 600 0 2419 Unwired Planet Inc CMN 91531F103 67 36138 SH DFND 36138 0 0 US Auto Parts Network Inc CMN 90343C100 79 27866 SH DFND 27866 0 0 US Energy Corp Wyoming CMN 911805109 108 33835 SH DFND 33835 0 0 USA Technologies Inc CMN 90328S500 21 11785 SH DFND 11785 0 0 UTi Worldwide Inc CMN G87210103 293 27600 SH DFND 27600 0 0 Vanguard Dividend Appreciation ETF ETP 921908844 1440 18700 SH SOLE 0 0 18700 Vanguard Intermediate-Term Bond ETF ETP 921937819 902 10700 SH SOLE 0 0 10700 Vanguard Intermediate-Term Corporate Bond ETF ETP 92206C870 2187 25500 SH SOLE 0 0 25500 Vanguard Long-Term Corporate Bond ETF ETP 92206C813 904 10100 SH SOLE 0 0 10100 Vanguard Short-Term Bond ETF ETP 921937827 2682 33500 SH SOLE 0 0 33500 Vanguard Short-Term Corporate Bond ETF ETP 92206C409 2915 36500 SH SOLE 0 0 36500 Vanguard Total Bond Market ETF ETP 921937835 5235 63900 SH SOLE 0 0 63900 Vantage Drilling Co CMN G93205113 43 34000 SH DFND 34000 0 0 Venaxis Inc CMN 92262A107 74 44697 SH DFND 44697 0 0 Verisk Analytics Inc CMN 92345Y106 280 4600 SH SOLE 0 0 4600 Vical Inc CMN 925602104 29 25622 SH DFND 25622 0 0 VirnetX Holding Corp CMN 92823T108 92 15400 SH DFND 15400 0 0 Western Digital Corp CMN 958102105 272 2800 SH DFND 1000 0 1800 Whole Foods Market Inc CMN 966837106 375 9853 SH SOLE 0 0 9853 Wi-Lan Inc CMN 928972108 372 103200 SH DFND 103200 0 0 Wireless Telecom Group Inc CMN 976524108 61 25325 SH DFND 25325 0 0 XenoPort Inc CMN 98411C100 124 23119 SH DFND 23119 0 0 XOMA Corp CMN 98419J107 60 14257 SH DFND 14257 0 0 ZAGG Inc CMN 98884U108 148 26460 SH DFND 26460 0 0 ZIOPHARM Oncology Inc CMN 98973P101 29 11090 SH DFND 11090 0 0