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
Compliance Officer
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