RAFFLES ASSOCIATES LP Information

ONE PENN PLAZA, NEW YORK, New York, 10119, (212) 760-2322

Report Date: 09/30/2014

Position Statistics

Total Positions 67
New Positions 12
Increased Positions 17
Decreased Positions 11
Positions with Activity 28
Sold Out Positions 2
Total Mkt Value (in $ millions) 104

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

Sector Weighting

Basic Materials 12.87%
Capital Goods
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical
Energy 8.05%
Financial 45.31%
Healthcare 0.56%
Services 24.88%
Technology 1.03%
Transportation
Utilities

67 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ALEXCO RESOURCE CORP COM 125 New 251,914
UNITED BANCORP INC OHIO COM 120 120 New 15,000
MOUNTAIN PROV DIAMONDS INC COM NEW 106 -5,176 (98) 25,000
U S GLOBAL INVS INC CL A 104 104 New 36,118
SONDE RES CORP COM NPV 5 New 1,804,597
ALLY FINL INC COM -2,844 Sold Out 0
VICON INDS INC COM -104 Sold Out 0


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