DEUTSCHE BANK AG\ Information

TAUNUSANLAGE 12 D-60325, FRANKFURT AM MAIN GE, , 00000, (212) 250-1540

Report Date: 12/31/2013

Position Statistics

Total Positions 5,207
New Positions 300
Increased Positions 1,550
Decreased Positions 3,510
Positions with Activity 5,060
Sold Out Positions 367
Total Mkt Value (in $ millions) 139,666

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 4.01%
Capital Goods 3.88%
Conglomerates 0.22%
Consumer Cyclical 2.48%
Consumer/Non-Cyclical 5.72%
Energy 8.45%
Financial 22.39%
Healthcare 9.47%
Services 18.68%
Technology 15.06%
Transportation 1.92%
Utilities 6.8%

5,207 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
SUPERNUS PHARMACEUTICALS INC COM 64 -429 (87.12) 7,688
ABERDEEN ASIA PACIFIC INCOM FD COM 63 -63 (50) 10,278
SSGA ACTIVE ETF TR BLKSTN GSOSRLN 63 -63 (50) 1,270
INDEXIQ ETF TR US RL EST SMCP 63 -63 (50) 2,500
ROI ACQUISITION CORP II WT EXP 091718 63 63 New 210,600
TRANSITION THERAPEUTICS INC COM NEW 63 46 275.33 11,260
TEARLAB CORP COM 63 -111 (63.87) 13,566
PENNANTPARK FLOATING RATE CAP COM 63 -212 (77.15) 4,513
KOFAX LTD COM USD 63 63 New 8,079
FIRST TR ISE GLOBL COPPR INDEX COM 63 -121 (66.02) 2,800
CALIFORNIA FIRST NTNL BANCORP COM 62 -40 (38.85) 4,145
PANHANDLE OIL AND GAS INC CL A 62 -312 (83.35) 1,382
AMERESCO INC CL A 62 -133 (68.06) 9,170
OXFORD LANE CAP CORP COM 62 12 23.33 3,700
GUARANTY BANCORP DEL COM NEW 62 -175 (73.89) 4,637
CHANNELADVISOR CORP COM 62 -252 (80.34) 2,021
CORENERGY INFRASTRUCTURE TR IN COM 61 -449 (87.96) 8,853
BOINGO WIRELESS INC COM 61 -275 (81.78) 9,300
VERASTEM INC COM 60 -177 (74.6) 6,788
IRELAND BK SPNSRD ADR NEW 60 -834 (93.25) 3,500