| Sym | Weight | Trade Impact | Company | Class | Shares Change | Activity | Value Change $ | Value $ | * Price $ | Shares | Principal |
|---|
| Name | Title | City, State | Date |
|---|---|---|---|
| Rita DeFloreo | Chief Compliance Officer | Houston, Texas | 1/24/2014 |
| Num | Name | Location | File Number |
|---|---|---|---|
| 1 | NEXT Financial Holdings | Houston, TX | 028-14672 |
| 3 | Placemark Investments, Inc. | Chicago, IL | 028-11107 |
| 4 | Argentus Capital Management, LLC | Dallas, TX | 028-13751 |