RAFFLES ASSOCIATES LP Information

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

Report Date: 06/30/2014

Position Statistics

Total Positions 61
New Positions 6
Increased Positions 10
Decreased Positions 17
Positions with Activity 27
Sold Out Positions 8
Total Mkt Value (in $ millions) 112

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

Sector Weighting

Basic Materials 18.14%
Capital Goods
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical
Energy 12.28%
Financial 39.27%
Healthcare 0.97%
Services 23.38%
Technology 1.03%
Transportation
Utilities

61 Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
APOLLO RESIDENTIAL MTG INC COM -386 Sold Out 0
CYS INVTS INC COM -371 Sold Out 0
FIFTH STREET FINANCE CORP COM -230 Sold Out 0
FULL CIRCLE CAP CORP COM -96 Sold Out 0
JPMORGAN CHASE & CO WT EXP 102818 -603 Sold Out 0
SANTANDER CONSUMER USA HDG INC COM -2,582 Sold Out 0
TWO HBRS INVT CORP COM -484 Sold Out 0
U S GLOBAL INVS INC CL A -100 Sold Out 0
VICON INDS INC COM 131 New 63,196
ALEXCO RESOURCE CORP COM 169 New 251,914
SONDE RES CORP COM NEW 253 New 1,804,597
MACKINAC FINL CORP COM 339 New 30,000
NEVSUN RES LTD COM 361 New 100,000
AIRCASTLE LTD COM 495 New 30,254
STAAR SURGICAL CO COM PAR $0.01 532 532 New 50,000
ALBANY MOLECULAR RESH INC COM 552 New 25,000
CONSOL ENERGY INC COM 568 New 15,000
U S ENERGY CORP WYO COM 659 -84 (11.26) 206,470
MAGNUM HUNTER RES CORP DEL COM 696 New 125,000
BARCLAYS BANK PLC ETN DJUBSCOFFE38 735 735 New 20,000