13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-13, with 6,098 holding rows worth $193,277,784,000.
- Accession
- 0000072971-13-000507
- Filer
- CIK 72971
- Filed
- 2013-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A combination report, 18,773 entries on the cover page, a total value of $193,277,784,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $193,277,784,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerCINQUE PARTNERS LLC028-15192
- included managerPEREGRINE CAPITAL MANAGEMENT INC /MN/028-01523
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney LLC
- included managerWells Fargo Funds Management, LLC028-11406
- included managerNelson Capital Management, LLC028-10450
- included managerMETROPOLITAN WEST CAPITAL MANAGEMENT LLC /CA028-05723
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO ADVISORS, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| PROLOR BIOTECH INC | 74344F106 | COM | 2,000 | $13,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 4,540 | $13,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 1,973 | $13,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 436 | $13,000 | thousands by filing date | |
| VALLEY FINL CORP VA | 919629105 | COM | 1,260 | $13,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,001 | $13,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 3,300 | $12,000 | thousands by filing date | put |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 284 | $12,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 30,000 | $12,000 | thousands by filing date | call |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 27,200 | $12,000 | thousands by filing date | put |
| SKYWEST INC COM | 830879102 | Stock | 904 | $12,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 444 | $12,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 22,701 | $12,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 200 | $12,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 1,000 | $12,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,000 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 201 | $12,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 8,000 | $12,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 6,649 | $12,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 6,365 | $12,000 | thousands by filing date | |
| GREEN MTN COFFEE ROASTERS IN | 393122106 | COM | 2,000 | $12,000 | thousands by filing date | put |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 1,200 | $12,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 323 | $12,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 523 | $12,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 1,006 | $12,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP/THE | 320771108 | COM | 9,852 | $12,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 10,000 | $12,000 | thousands by filing date | principal |
| ELEMENTS LKD TO S&P CMDTY TR | 4042EP602 | CMN | 1,913 | $12,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 4,000 | $12,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 5,000 | $12,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 299 | $11,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 313 | $11,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 538 | $11,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 229 | $11,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 501 | $11,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 401 | $11,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 656 | $11,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 500 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 201 | $11,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,358 | $11,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,601 | $11,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 501 | $11,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,148 | $11,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 7,700 | $11,000 | thousands by filing date | call |
| INCONTACT INC | 45336E109 | COM | 1,339 | $11,000 | thousands by filing date | |
| EXCEL TR INC | 30068C109 | COM | 836 | $11,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 559 | $11,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 5,165 | $11,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 941 | $11,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 10,000 | $11,000 | thousands by filing date | principal |
| SUFFOLK BANCORP | 864739107 | COM | 700 | $11,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 6,878 | $11,000 | thousands by filing date | |
| SUNTECH PWR HLDGS CO LTD | 86800C104 | ADR | 10,731 | $11,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 1,001 | $11,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 219 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 241 | $11,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 401 | $10,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,091 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 150 | $10,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 225 | $10,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 856 | $10,000 | thousands by filing date | |
| VOLTERRA SEMICONDUCTOR CORP | 928708106 | COM | 700 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 411 | $10,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | principal |
| SIERRA WIRELESS INC | 826516106 | COM | 770 | $10,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664707 | PFD SER K | 400 | $10,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 1,200 | $10,000 | thousands by filing date | |
| OPTIMER PHARMACEUTICALS INC | 68401H104 | COM | 700 | $10,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 500 | $10,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 9,325 | $10,000 | thousands by filing date | |
| COLDWATER CREEK INC | 193068202 | COM | 3,881 | $10,000 | thousands by filing date | |
| SALIX PHARMACEUTICAL 1.500 | 795435AE6 | NOTE 1.500% 3/ | 8,000 | $10,000 | thousands by filing date | principal |
| INTL FCSTONE INC | 46116V105 | COM | 602 | $10,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 2,674 | $10,000 | thousands by filing date | |
| KEATING CAPITAL INC | 48722R106 | COM | 1,500 | $10,000 | thousands by filing date | |
| LAPORTE BANCORP INC MD | 516651106 | COM | 1,000 | $10,000 | thousands by filing date | |
| POWERSHARES LUX | 73935X633 | LX NANOTCH PTF | 1,381 | $10,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D845 | ETN IDX-LKD 20 | 500 | $10,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 600 | $10,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 370 | $10,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 900 | $9,000 | thousands by filing date | put |
| McDonalds Corporation | 580135101 | COM | 8,300 | $9,000 | thousands by filing date | put |
| DAKTRONICS INC | 234264109 | COM | 901 | $9,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 485 | $9,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 3,836 | $9,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 256 | $9,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,800 | $9,000 | thousands by filing date | put |
| REIS INC | 75936P105 | COM | 501 | $9,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 376 | $9,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 1,142 | $9,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 609 | $9,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 411 | $9,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 1,001 | $9,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 60,700 | $9,000 | thousands by filing date | put |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 1,000 | $9,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 325 | $9,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 1,461 | $9,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $9,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 25,000 | $9,000 | thousands by filing date | call |
| ERA GROUP INC | 26885G109 | COM | 345 | $9,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 5,380 | $9,000 | thousands by filing date | |
| USEC INC | 90333E108 | COM | 1,209 | $9,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 4,100 | $9,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 8,853 | $9,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 3,500 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U431 | LATAM AGGR BD | 396 | $9,000 | thousands by filing date | |
| NEWELL RUBBERMAID INC | 651229AH9 | NOTE 5.500% 3/1 | 3,000 | $9,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 264 | $9,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 1,100 | $8,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 4,500 | $8,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 4,555 | $8,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 25,700 | $8,000 | thousands by filing date | put |
| AMERICAN PUB ED INC | 02913V103 | COM | 202 | $8,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 201 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 101 | $8,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 2,832 | $8,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 400 | $8,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 500 | $8,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 185 | $8,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,001 | $8,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 466 | $8,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 650 | $8,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 1,001 | $8,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 8,000 | $8,000 | thousands by filing date | principal |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 2,129 | $8,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 2,600 | $8,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,241 | $8,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 660 | $8,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 2,745 | $8,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 4,722 | $8,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 2,500 | $8,000 | thousands by filing date | |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 1,312 | $8,000 | thousands by filing date | |
| GIVEN IMAGING LTD | M52020100 | ORD | 568 | $8,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 501 | $8,000 | thousands by filing date | |
| DYNAMICS RESEARCH CORP | 268057106 | COM | 1,400 | $8,000 | thousands by filing date | |
| EASTERN INSURANCE HOLDINGS | 276534104 | COM | 400 | $8,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 150 | $8,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 540 | $8,000 | thousands by filing date | |
| Lihua International Inc. | 532352101 | COM | 1,573 | $8,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 7,414 | $8,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 6,746 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 384 | $8,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 1,456 | $8,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 1,200 | $8,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 520 | $8,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 33,800 | $7,000 | thousands by filing date | put |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,500 | $7,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 491 | $7,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 750 | $7,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 1,751 | $7,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 325 | $7,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 421 | $7,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 207 | $7,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,500 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 200 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 101 | $7,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 25,000 | $7,000 | thousands by filing date | put |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 3,734 | $7,000 | thousands by filing date | |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 601 | $7,000 | thousands by filing date | |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 36 | $7,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 537 | $7,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 1,500 | $7,000 | thousands by filing date | put |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 1,701 | $7,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 17,160 | $7,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 357 | $7,000 | thousands by filing date | |
| RESEARCH IN MOTION LTD | 760975102 | COM | 4,600 | $7,000 | thousands by filing date | put |
| SPARTAN MTRS INC | 846819100 | COM | 1,200 | $7,000 | thousands by filing date | |
| ANGLOGOLD ASHANTI HLDGS FIN | 03512Q206 | MAND BD CV 13 | 400 | $7,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 3,659 | $7,000 | thousands by filing date | |
| CEL-SCI CORP | 150837409 | COM NEW | 32,255 | $7,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 3,155 | $7,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 2,000 | $7,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 1,000 | $7,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 500 | $7,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 217 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 437 | $7,000 | thousands by filing date | |
| GABELLI HLTHCARE & WELLNESS | 36246K129 | RIGHT 07/17/2013 | 46,149 | $7,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 325 | $7,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 3,000 | $7,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 2,564 | $7,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 32,000 | $6,000 | thousands by filing date | put |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 580 | $6,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 5,100 | $6,000 | thousands by filing date | put |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 355 | $6,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 18,800 | $6,000 | thousands by filing date | put |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 270 | $6,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 1,000 | $6,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 2,001 | $6,000 | thousands by filing date | |
| WINDSTREAM CORP | 97381W104 | COM | 5,600 | $6,000 | thousands by filing date | put |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 523 | $6,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 2,138 | $6,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,050 | $6,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 66 | $6,000 | thousands by filing date | |
| ASIAINFO-LINKAGE INC | 04518A104 | COM | 500 | $6,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 304 | $6,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 454 | $6,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 2,000 | $6,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 3,810 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $6,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| COSI INC | 22122P200 | COM | 2,500 | $6,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 1,603 | $6,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 4,501 | $6,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,250 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 251 | $6,000 | thousands by filing date | |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 140 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 300 | $6,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 1,700 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 115 | $6,000 | thousands by filing date | |
| SPORT CHALET INC | 849163308 | CLB | 5,075 | $6,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,550 | $6,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 504 | $6,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 3,600 | $5,000 | thousands by filing date | put |
| NETAPP INC COM | 64110D104 | Stock | 25,000 | $5,000 | thousands by filing date | call |
| MIMEDX GROUP INC | 602496101 | COM | 700 | $5,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 99 | $5,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 201 | $5,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,201 | $5,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $5,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC | 538034AB5 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,604 | $5,000 | thousands by filing date | |
| ENCORE ENERGY CORP F | 97717W174 | COM | 250 | $5,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 480 | $5,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 101 | $5,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AG0 | NOTE 2.625%12/1 | 5,000 | $5,000 | thousands by filing date | principal |
| PARAMETRIC SOUND CORP | 699172201 | COM NEW | 320 | $5,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 4,600 | $5,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 3,500 | $5,000 | thousands by filing date | put |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 300 | $5,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,321 | $5,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 330 | $5,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 451 | $5,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 800 | $5,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 566 | $5,000 | thousands by filing date | |
| CORNERSTONE THERAPEUTICS INC | 21924P103 | COM | 620 | $5,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 244 | $5,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 2,140 | $5,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355AH1 | NOTE 3.125% 3/1 | 16,000 | $5,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 1,000 | $5,000 | thousands by filing date | |
| POWERSHARES DYN MAGNIQUANT | 73935X468 | COM | 168 | $5,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 520 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 64 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 146 | $5,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 6,200 | $4,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 75,900 | $4,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 1,000 | $4,000 | thousands by filing date | put |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 2,700 | $4,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,000 | $4,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 73 | $4,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 552 | $4,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 783 | $4,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 392 | $4,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 396 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 100 | $4,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 400 | $4,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 601 | $4,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 150 | $4,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 201 | $4,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $4,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 568 | $4,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 2,255 | $4,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 190 | $4,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,000 | $4,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 370 | $4,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 300 | $4,000 | thousands by filing date | put |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 600 | $4,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 6,300 | $4,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 1,319 | $4,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 205 | $4,000 | thousands by filing date | |
| LONE PINE RES INC | 54222A106 | COM | 13,216 | $4,000 | thousands by filing date | |
| MAXYGEN INC | 577776107 | COM | 1,625 | $4,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 670 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 1,501 | $4,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 160 | $4,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 728 | $4,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 3,545 | $4,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 2,000 | $4,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AK9 | DEBT | 3,000 | $4,000 | thousands by filing date | principal |
| ZAZA ENERGY CORP | 98919T100 | COM | 3,750 | $4,000 | thousands by filing date | |
| ESB FINANCIAL CORP | 26884F102 | COM | 300 | $4,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $4,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 150 | $4,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 116 | $4,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 1,000 | $4,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 6,000 | $4,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 356 | $4,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 187 | $4,000 | thousands by filing date | |
| DB-X FUNDS | 233052406 | XTRAK 2040TGT DT | 163 | $4,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 3,000 | $4,000 | thousands by filing date | principal |
| UNITED RENTALS INC | 911363AL3 | NOTE 4.000% | 1,000 | $4,000 | thousands by filing date | principal |
| VRINGO INC | 92911N112 | W EXP 06/21/201 | 3,400 | $4,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,500 | $3,000 | thousands by filing date | put |
| Danaher Corporation | 235851102 | COM | 600 | $3,000 | thousands by filing date | call |
| iShares Russell Midcap ETF | 464287499 | SHS | 1,300 | $3,000 | thousands by filing date | put |
| Pfizer Inc. | 717081103 | COM | 900 | $3,000 | thousands by filing date | put |
| UnitedHealth Group Inc | 91324P102 | COM | 30,000 | $3,000 | thousands by filing date | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 1,602 | $3,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 238 | $3,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 4,500 | $3,000 | thousands by filing date | put |
| NOVA LTD COM | M7516K103 | Stock | 365 | $3,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 2,800 | $3,000 | thousands by filing date | call |
| BEST BUY INC COM | 086516101 | Stock | 4,700 | $3,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 2,229 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 1,300 | $3,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 134 | $3,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 1,025 | $3,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 480 | $3,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 26 | $3,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 201 | $3,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 50,500 | $3,000 | thousands by filing date | put |
| INNODATA INC | 457642205 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $3,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 1,400 | $3,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 401 | $3,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 750 | $3,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 1,812 | $3,000 | thousands by filing date | |
| SL INDS INC | 784413106 | COMMON STOCK | 101 | $3,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 334 | $3,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 228 | $3,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 300 | $3,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 1,500 | $3,000 | thousands by filing date | call |
| FIRSTBANK CORPORATION | 33761G104 | COMMON STOCK | 203 | $3,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 3,000 | $3,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 294 | $3,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 600 | $3,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 300 | $3,000 | thousands by filing date | put |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 1,800 | $3,000 | thousands by filing date | call |
| BANRO CORP | 066800103 | COM | 4,257 | $3,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 627 | $3,000 | thousands by filing date | |
| THERAGENICS CORP | 883375107 | COM | 1,300 | $3,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 500 | $3,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300AD0 | NOTE 0.875%11/1 | 3,000 | $3,000 | thousands by filing date | principal |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 1,500 | $3,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 1,001 | $3,000 | thousands by filing date | |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 16,000 | $3,000 | thousands by filing date | principal |
| CRIMSON EXPLORATION INC | 22662K207 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 157 | $3,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 1,459 | $3,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 2,402 | $3,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 1,100 | $3,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 2,250 | $3,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC | 84860F109 | COM | 191 | $3,000 | thousands by filing date | |
| FNB UNITED CORP | 302519202 | COM | 431 | $3,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 1,000 | $3,000 | thousands by filing date | |
| NEUTRAL TANDEM INC | 64128B108 | COM | 371 | $3,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 1,000 | $3,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 106 | $3,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 605 | $3,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 234 | $3,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 1,500 | $3,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 1,300 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X567 | ULTSHT CHINA 25 | 132 | $3,000 | thousands by filing date | |
| DENALI FD INC | 24823A102 | COM | 170 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 100 | $3,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 100 | $3,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 200 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E507 | CHINA ENRG ETF | 201 | $3,000 | thousands by filing date | |
| STANDARD REGISTER CO | 853887206 | COM | 1,120 | $3,000 | thousands by filing date | |
| VILLAGE BK & TR FINANCIAL CO | 92705T101 | COM | 1,989 | $3,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 600 | $2,000 | thousands by filing date | put |
| Home Depot, Inc | 437076102 | COM | 1,100 | $2,000 | thousands by filing date | put |
| IJH | 464287507 | COM | 11,000 | $2,000 | thousands by filing date | put |
| Johnson & Johnson | 478160104 | COM | 1,300 | $2,000 | thousands by filing date | put |
| JPMorgan Chase & Co | 46625H100 | COM | 700 | $2,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 7,500 | $2,000 | thousands by filing date | call |
| FABRINET SHS | G3323L100 | Stock | 119 | $2,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 200 | $2,000 | thousands by filing date | put |
| LOGITECH INTL S A SHS | H50430232 | Stock | 348 | $2,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 500 | $2,000 | thousands by filing date | put |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 1,300 | $2,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 3,000 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 1,400 | $2,000 | thousands by filing date | put |
| CASELLA WASTE SYS INC | 147448104 | CL A | 467 | $2,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 59 | $2,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 301 | $2,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 763 | $2,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 500 | $2,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 169 | $2,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 110 | $2,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 250 | $2,000 | thousands by filing date | |
| SEACOAST BKG CORP FL | 811707306 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 2,500 | $2,000 | thousands by filing date | put |
| ISTAR INC | 45031U101 | COMMON STOCK | 8,400 | $2,000 | thousands by filing date | call |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 700 | $2,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 8,000 | $2,000 | thousands by filing date | call |
| FORTUNA MNG CORP F | 349915108 | COM | 501 | $2,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 5,000 | $2,000 | thousands by filing date | put |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 158 | $2,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 101 | $2,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 2,000 | $2,000 | thousands by filing date | principal |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 2,000 | $2,000 | thousands by filing date | principal |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 300 | $2,000 | thousands by filing date | put |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 500 | $2,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 800 | $2,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 2,450 | $2,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 1,000 | $2,000 | thousands by filing date | |
| GENESEE & WYO INC | 371559204 | UNIT 10/01/2015 | 15 | $2,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 1,590 | $2,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 250 | $2,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 5,000 | $2,000 | thousands by filing date | |
| STERLING BANCORP N Y | 859158107 | COM | 211 | $2,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 2,000 | $2,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 137 | $2,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 10,396 | $2,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 4,000 | $2,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 1,386 | $2,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 501 | $2,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 1,500 | $2,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 1,995 | $2,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 100 | $2,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 107 | $2,000 | thousands by filing date | |
| VERENIUM CORP | 92340P209 | COM | 767 | $2,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 500 | $2,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 1,000 | $2,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 2,025 | $2,000 | thousands by filing date | |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 1,371 | $2,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 560 | $2,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 2,150 | $2,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 1,014 | $2,000 | thousands by filing date | |
| RECOVERY ENERGY INC | 75626X202 | COM NEW | 1,151 | $2,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 1,000 | $2,000 | thousands by filing date | principal |
| M B T FINANCIAL CORP | 578877102 | Stock | 600 | $2,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 1,101 | $2,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102XAG0 | CNV | 2,000 | $2,000 | thousands by filing date | principal |
| CITIGROUP INC | 172967226 | WARRANT | 2,038 | $2,000 | thousands by filing date | |
| ALLIANCE DATA SYSTEMS CORP | 018581AD0 | NOTE 1.750% 8/0 | 1,000 | $2,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W379 | UL VIXSTFUT ETF | 21 | $2,000 | thousands by filing date | |
| SPROTT RESOURCE LENDING | 85207J100 | CORP COM | 1,819 | $2,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 2,000 | $2,000 | thousands by filing date | principal |
| ISHARES TR | 464288232 | S&P NUCIDX ETF | 60 | $2,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 201 | $2,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| TELIK INC | 87959M208 | COM NEW | 1,290 | $2,000 | thousands by filing date | |
| NTS RLTY HLDGS LTD PARTNERSH | 629422106 | PARTSHIP UNITS | 303 | $2,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 2,500 | $2,000 | thousands by filing date | |
| XRS CORP | 983845108 | COM | 800 | $2,000 | thousands by filing date | |
| PACIFIC BOOKER MINERALS INC | 69403R108 | COM | 525 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 163 | $2,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 70 | $2,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 200 | $2,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525202 | PFD CV SER A | 231 | $2,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 300 | $1,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 400 | $1,000 | thousands by filing date | put |
| VGT | 92204A702 | SHS | 1,000 | $1,000 | thousands by filing date | put |
| BOYDGAMINGCORP | 103304101 | STOK | 35,700 | $1,000 | thousands by filing date | put |
| OMNICOM GROUP INC COM | 681919106 | Stock | 32,500 | $1,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 500 | $1,000 | thousands by filing date | put |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 100 | $1,000 | thousands by filing date | put |
| LENNAR CORP CL A | 526057104 | Stock | 9,000 | $1,000 | thousands by filing date | call |
| MURPHY OIL CORP COM | 626717102 | Stock | 800 | $1,000 | thousands by filing date | put |
| EBAY INC. COM | 278642103 | Stock | 600 | $1,000 | thousands by filing date | put |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 4,600 | $1,000 | thousands by filing date | call |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 400 | $1,000 | thousands by filing date | put |
| VENTAS INC COM | 92276F100 | REIT | 100 | $1,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 437 | $1,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 35 | $1,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 3,000 | $1,000 | thousands by filing date | put |
| MICROVISION INC DEL | 594960304 | COM NEW | 359 | $1,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 5,000 | $1,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 301 | $1,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 41 | $1,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 200 | $1,000 | thousands by filing date | put |
| BROADWIND INC | 11161T207 | CMN | 227 | $1,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 76 | $1,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 307 | $1,000 | thousands by filing date | |
| LUCENT TECHNOLOGIES INC | 549463AH0 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 195 | $1,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 250 | $1,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 500 | $1,000 | thousands by filing date | put |
| LENDINGTREE INC NEW | 894675107 | COM | 85 | $1,000 | thousands by filing date | |
| Alvarion Ltd | M0861T118 | Common / Ordinary Stock | 474 | $1,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 600 | $1,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 101 | $1,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 155 | $1,000 | thousands by filing date | |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 6,200 | $1,000 | thousands by filing date | put |
| SONDE RESOURCES CORP | 835426107 | COM | 1,000 | $1,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 100 | $1,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 52 | $1,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 202 | $1,000 | thousands by filing date | |
| RIVERBED TECHNOLOGY INC | 768573107 | COM | 400 | $1,000 | thousands by filing date | put |
| VOCUS INC | 92858J108 | COM | 49 | $1,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 100 | $1,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 1,600 | $1,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 332 | $1,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 410 | $1,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 43 | $1,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 1,400 | $1,000 | thousands by filing date | put |
| SIGMA DESIGNS INC | 826565103 | COM | 200 | $1,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 200 | $1,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 598 | $1,000 | thousands by filing date | |
| MEDIVATION INC | 58501NAA9 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 304 | $1,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 60 | $1,000 | thousands by filing date | |
| QUANTUM FUEL SYS TECH WORLDW | 74765E208 | COM NEW | 3,125 | $1,000 | thousands by filing date | |
| STRATEGIC DIAGNOSTICS INC | 862700101 | COM | 1,550 | $1,000 | thousands by filing date | |
| NEOSTEM INC | 640650305 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| STEC INC | 784774101 | COM | 174 | $1,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 500 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-13-000507 | this filing | 2013-08-13 | acceptance time not in the bulk data set |