RAFFLES ASSOCIATES LP Information

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

Report Date: 03/31/2014

Position Statistics

Total Positions 57
New Positions 7
Increased Positions 11
Decreased Positions 12
Positions with Activity 23
Sold Out Positions 3
Total Mkt Value (in $ millions) 109

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

Sector Weighting

Basic Materials 14.57%
Capital Goods
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical
Energy 18.58%
Financial 34.85%
Healthcare 0.48%
Services 25.37%
Technology 1.28%
Transportation
Utilities

57 Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
AMERICAN CAPITAL AGENCY CORP COM -805 Sold Out 0
CYAN INC COM -893 Sold Out 0
SILVER WHEATON CORP COM -1,990 Sold Out 0
U S GLOBAL INVS INC CL A 107 12 12.48 28,119
FULL CIRCLE CAP CORP COM 116 New 15,000
MOUNTAIN PROV DIAMONDS INC COM NEW 119 New 25,000
VICON INDS INC COM 165 New 63,196
FIFTH STREET FINANCE CORP COM 253 New 25,000
ALEXCO RESOURCE CORP COM 330 -151 (31.34) 251,914
NEVSUN RES LTD COM 381 New 100,000
CYS INVTS INC COM 394 -481 (55) 45,000
MACKINAC FINL CORP COM 404 404 New 30,000
APOLLO RESIDENTIAL MTG INC COM 416 416 New 25,000
TWO HBRS INVT CORP COM 521 521 New 50,000
ALBANY MOLECULAR RESH INC COM 526 New 25,000
AIRCASTLE LTD COM 532 New 30,254
JPMORGAN CHASE & CO WT EXP 102818 557 557 New 30,000
SONDE RES CORP COM NEW 642 227 54.65 1,804,597
CONSOL ENERGY INC COM 652 652 New 15,000
CHEVIOT FINL CORP NEW COM 863 New 70,000


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