13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-13, with 6,172 holding rows worth $210,341,511,000.
- Accession
- 0000072971-13-000598
- Filer
- CIK 72971
- Filed
- 2013-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A combination report, 18,344 entries on the cover page, a total value of $210,341,511,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $210,341,511,000 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 Management, LLC028-11406
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney LLC
- 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 MANAGEMENT, LLC028-06003
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
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 |
|---|---|---|---|---|---|---|
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 29,001 | $91,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 6,786 | $90,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 21,014 | $89,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 5,835 | $89,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 6,825 | $89,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 8,624 | $89,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 4,758 | $89,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 8,400 | $88,000 | thousands by filing date | put |
| RAMBUS INC DEL COM | 750917106 | Stock | 9,352 | $88,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 1,248 | $88,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 10,230 | $88,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 634 | $88,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,687 | $88,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 7,200 | $87,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A318 | NUVN S&P VRDO MN | 2,901 | $87,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 3,000 | $86,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 1,194 | $86,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 5,958 | $86,000 | thousands by filing date | |
| S.Y. BANCORP INC | 785060104 | COM | 3,037 | $86,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 1,412 | $85,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 16,500 | $85,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 4,664 | $85,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 3,178 | $85,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 2,575 | $85,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 5,700 | $85,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 60,502 | $84,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 11,256 | $84,000 | thousands by filing date | |
| DELL INC | 24702R101 | COM | 10,000 | $83,000 | thousands by filing date | put |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 2,311 | $83,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 11,377 | $83,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 4,769 | $82,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 13,168 | $81,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 6,001 | $81,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 216,000 | $81,000 | thousands by filing date | call |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 2,989 | $80,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 1,895 | $80,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 76,000 | $80,000 | thousands by filing date | principal |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,923 | $80,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 3,013 | $79,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 3,714 | $79,000 | thousands by filing date | |
| HOME INNS & HOTELS MGMT INC | 43713W107 | SPON ADR | 2,390 | $79,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 5,181 | $79,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 4,201 | $78,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 6,272 | $78,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 15,000 | $77,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 7,586 | $77,000 | thousands by filing date | |
| INVESTORS BANCORP INC | 46146P102 | COM | 3,501 | $77,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 1,616 | $77,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 2,941 | $77,000 | thousands by filing date | |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 11,056 | $77,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 1,982 | $77,000 | thousands by filing date | |
| ELECSYS CORP | 28473M100 | COM | 9,600 | $77,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 30,000 | $76,000 | thousands by filing date | call |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 5,850 | $76,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 5,667 | $76,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 38,500 | $76,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 478 | $76,000 | thousands by filing date | |
| FIRST AMERICAN MN MUN INC II | 31849P104 | CMN | 5,501 | $76,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 250,000 | $75,000 | thousands by filing date | put |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,641 | $75,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 2,060 | $75,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 2,001 | $74,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 8,167 | $74,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 31,000 | $74,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 55,300 | $74,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 4,716 | $74,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 4,191 | $74,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 1,904 | $74,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 68,300 | $73,000 | thousands by filing date | call |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 2,346 | $73,000 | thousands by filing date | |
| Nuveen Cal Performance | 67062Q106 | COM | 5,457 | $73,000 | thousands by filing date | |
| ISHARES NYSE COMPOSITE INDEX | 464287143 | COM | 832 | $73,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 110,392 | $73,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 2,652 | $72,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 5,501 | $72,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 10,000 | $72,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 950 | $72,000 | thousands by filing date | |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 906,113 | $72,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 348,800 | $72,000 | thousands by filing date | put |
| SAKS INC | 79377W108 | COM | 4,514 | $72,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 2,883 | $71,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 5,698 | $71,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 1,932 | $70,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 11,290 | $70,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 1,162 | $70,000 | thousands by filing date | |
| GLOBECOMM SYSTEMS INC | 37956X103 | COM | 5,000 | $70,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 19,500 | $69,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 1,332 | $69,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,456 | $69,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 1,886 | $69,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 8,507 | $69,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 4,807 | $69,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 3,000 | $69,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 190,000 | $68,000 | thousands by filing date | call |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 6,001 | $68,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 1,875 | $68,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 1,011 | $67,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 4,137 | $67,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 1,301 | $67,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 5,290 | $67,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 2,000 | $66,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 4,787 | $66,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST | 49803T102 | COMMON STOCK | 11,057 | $66,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 2,530 | $66,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AK9 | DEBT | 41,000 | $66,000 | thousands by filing date | principal |
| GENERAL MTRS CO | 37045V134 | WAR | 16,500 | $66,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 700 | $65,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 1,251 | $65,000 | thousands by filing date | |
| BLACKROCK | 09250E107 | EXCHANGE TRADED | 31,471 | $65,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 14,931 | $64,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 1,100 | $64,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 5,700 | $64,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 4,953 | $64,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 7,080 | $64,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 4,545 | $63,000 | thousands by filing date | |
| BERKSHIRE BANCORP INC | 084597202 | COMMON STOCK | 7,889 | $63,000 | thousands by filing date | |
| PROGRESSIVE WASTE SOLUTIONS | 74339G101 | COM | 2,455 | $63,000 | thousands by filing date | |
| IPC THE HOSPITALIST CO | 44984A105 | COM | 1,248 | $63,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 80,100 | $62,000 | thousands by filing date | put |
| TIFFANY & CO NEW | 886547108 | COM | 30,000 | $62,000 | thousands by filing date | put |
| ASTA FUNDING INC | 046220109 | COM | 7,001 | $62,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 4,590 | $62,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 7,353 | $61,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 3,735 | $61,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 4,397 | $61,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 1,906 | $61,000 | thousands by filing date | |
| MERIDIAN INTERSTAT BANCORP I | 58964Q104 | COM | 2,780 | $61,000 | thousands by filing date | |
| TELLABS INC | 879664100 | COM | 27,172 | $61,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 5,512 | $61,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 13,477 | $60,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,925 | $60,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 6,525 | $60,000 | thousands by filing date | |
| NUVEEN MASSACHUSETTS | 67072F108 | COM | 4,810 | $60,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 1,700 | $60,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 83,000 | $59,000 | thousands by filing date | put |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,201 | $59,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 6,800 | $59,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 3,869 | $59,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 5,146 | $59,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 4,403 | $58,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 4,000 | $58,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 3,464 | $56,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 55,000 | $56,000 | thousands by filing date | principal |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 4,268 | $56,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 6,529 | $56,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 2,115 | $56,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 3,425 | $55,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,429 | $55,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 100,000 | $55,000 | thousands by filing date | call |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,383 | $55,000 | thousands by filing date | |
| PMC COMMERCIAL TRUST | 693434102 | SH B | 6,212 | $55,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 15,001 | $55,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 702 | $55,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 67,100 | $54,000 | thousands by filing date | put |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 4,604 | $54,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 75,100 | $54,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 600 | $53,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 6,098 | $53,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 2,100 | $53,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 11,500 | $53,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 473 | $52,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 3,631 | $52,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES | 007903AL1 | CORPORATE OBLIG | 51,000 | $52,000 | thousands by filing date | principal |
| EXTERRAN HLDGS INC 4.250 | 30225XAA1 | NOTE 4.250% 6/1 | 42,000 | $52,000 | thousands by filing date | principal |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,549 | $52,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 3,902 | $52,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 2,151 | $52,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 1,667 | $51,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 12,841 | $51,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892507 | CV 8% CUM PFD-D | 2,001 | $51,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 2,133 | $51,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 50,000 | $50,000 | thousands by filing date | put |
| BEACON FINANCIAL CORP. | 084680107 | COM | 2,028 | $50,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 1,848 | $50,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAB6 | DBCV 2.750% 8/1 | 44,000 | $50,000 | thousands by filing date | principal |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 3,712 | $50,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 11,015 | $50,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 12,646 | $50,000 | thousands by filing date | |
| MANNKIND CORP | 56400PAA0 | NOTE 3.750%12/1 | 50,000 | $50,000 | thousands by filing date | principal |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 1,550 | $49,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,474 | $49,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 15,251 | $49,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 16,481 | $49,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 14,153 | $48,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 52,000 | $48,000 | thousands by filing date | principal |
| MESA LABS INC COM | 59064R109 | Stock | 700 | $47,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 1,675 | $47,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 2,500 | $47,000 | thousands by filing date | |
| ROVI CORP | 779376AB8 | CORPORATE OBLIG | 46,000 | $47,000 | thousands by filing date | principal |
| COMMONWEALTH REIT | 203233606 | CV PFD-E 7.25% | 2,066 | $47,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 1,680 | $47,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 3,488 | $47,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 60,000 | $46,000 | thousands by filing date | put |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 3,850 | $46,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 641 | $46,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 8,718 | $46,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 35,000 | $46,000 | thousands by filing date | put |
| MELA SCIENCES INC | 55277R100 | COM | 62,903 | $46,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 3,458 | $46,000 | thousands by filing date | |
| DAWSON GEOPHYSICAL CO | 239359102 | COM | 1,408 | $46,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 16,470 | $46,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 100,200 | $45,000 | thousands by filing date | put |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 10,719 | $45,000 | thousands by filing date | |
| LINDE PLC F | 532771102 | COM | 2,201 | $45,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 100,000 | $45,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 979 | $45,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 2,778 | $45,000 | thousands by filing date | |
| PYRAMID OIL CO | 747215101 | COM | 10,830 | $45,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 150,000 | $44,000 | thousands by filing date | call |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 1,400 | $44,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 3,238 | $44,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 20,000 | $44,000 | thousands by filing date | put |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 14,428 | $44,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E481 | GLB X CDA PFD | 3,365 | $44,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 3,893 | $44,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 3,200 | $43,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,200 | $43,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 3,449 | $43,000 | thousands by filing date | |
| PETROLOGISTICS LP UNIT LTD PARTNERSHIP INT | 71672U101 | COM | 3,645 | $43,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 16,002 | $43,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 3,421 | $43,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 3,063 | $43,000 | thousands by filing date | |
| CUSHING ROYALTY | 23164R104 | COM SH BEN INT | 2,501 | $43,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 4,384 | $42,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 1,900 | $42,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 15,400 | $42,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 6,000 | $42,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 1,301 | $42,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 22,000 | $42,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 992 | $42,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 11,153 | $41,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 2,308 | $41,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 13,701 | $41,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 1,986 | $41,000 | thousands by filing date | |
| HELIOS ADVANTAGE INCOME FD I | 42327W206 | COM NEW | 4,736 | $41,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 1,655 | $40,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 200,000 | $40,000 | thousands by filing date | put |
| ARTHROCARE CORP | 043136100 | COM | 1,111 | $40,000 | thousands by filing date | |
| SUPERTEX INC | 868532102 | COM | 1,600 | $40,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 5,524 | $40,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 45,000 | $40,000 | thousands by filing date | principal |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 1,607 | $40,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 3,200 | $39,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 1,757 | $39,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 2,000 | $39,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 16,600 | $39,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 3,185 | $39,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 10,156 | $39,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 3,360 | $39,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 100,000 | $38,000 | thousands by filing date | call |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 610,800 | $38,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 992 | $38,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U530 | LAT AM SML CAP | 1,894 | $38,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 2,801 | $38,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 1,900 | $38,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 775 | $37,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370105 | CL A | 2,851 | $37,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 814 | $37,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 1,274 | $37,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 39,000 | $37,000 | thousands by filing date | principal |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 2,001 | $37,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 7,435 | $37,000 | thousands by filing date | |
| AMER MUN INCOME PORT INC | 027649102 | COM | 2,601 | $37,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 7,270 | $36,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,402 | $36,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,000 | $36,000 | thousands by filing date | |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 91,000 | $36,000 | thousands by filing date | call |
| COMSTOCK MNG INC | 205750102 | COM | 20,000 | $36,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 4,600 | $36,000 | thousands by filing date | |
| PIMCO BUILD | 72201R825 | BLD AMER BD FD | 721 | $36,000 | thousands by filing date | |
| TUCOWS INC | 898697107 | COM | 14,856 | $36,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 3,106 | $35,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 4,080 | $35,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 619 | $35,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 1,950 | $35,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 16,701 | $35,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 8,000 | $35,000 | thousands by filing date | principal |
| Trunkbow Intl Holdings | 89818A102 | COM | 30,642 | $35,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 2,501 | $35,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 7,200 | $34,000 | thousands by filing date | put |
| WINNEBAGO INDS INC | 974637100 | COM | 1,306 | $34,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 5,514 | $34,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 12,703 | $34,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 6,568 | $34,000 | thousands by filing date | |
| HELIOS HIGH YIELD FD | 42328Q109 | COM | 3,401 | $34,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 1,104 | $34,000 | thousands by filing date | |
| SUTRON CORP | 869380105 | COM | 6,866 | $34,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 220 | $33,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 1,059 | $33,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 2,201 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 408 | $33,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 1,531 | $33,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 2,439 | $33,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 1,428 | $33,000 | thousands by filing date | |
| UNITED FINANCIAL BANCORP INC | 91030T109 | COM | 2,026 | $33,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 16,300 | $33,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES-CL B | 345550305 | COMMON | 1,753 | $33,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 5,632 | $33,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG | 03938LAK0 | NOTE 5.000% 5/1 | 32,000 | $33,000 | thousands by filing date | principal |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 2,372 | $33,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 1,533 | $33,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 52,800 | $32,000 | thousands by filing date | put |
| GREIF INC | 397624206 | CL B | 596 | $32,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 4,501 | $32,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 7,475 | $32,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 70,243 | $32,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 791 | $32,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 58,000 | $32,000 | thousands by filing date | put |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 1,109 | $32,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 950 | $32,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 700 | $32,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 2,003 | $32,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 6,000 | $32,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 737 | $32,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 2,516 | $32,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 6,961 | $32,000 | thousands by filing date | |
| STELLARONE CORP | 85856G100 | COMMON STOCK | 1,404 | $32,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 5,050 | $32,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 3,202 | $32,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 3,000 | $32,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,481 | $32,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 1,292 | $32,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 7,062 | $32,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 49,000 | $31,000 | thousands by filing date | put |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 2,219 | $31,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 796 | $31,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 5,616 | $31,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 12,508 | $31,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 3,553 | $31,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 2,390 | $31,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,201 | $31,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 846 | $31,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 2,121 | $31,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 14,400 | $30,000 | thousands by filing date | put |
| AMERICAN PUB ED INC | 02913V103 | COM | 802 | $30,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 1,100 | $30,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,000 | $30,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 4,895 | $30,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 2,585 | $30,000 | thousands by filing date | |
| GENTIUM S P A | 37250B104 | SPONSORED ADR | 1,100 | $30,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 16,680 | $30,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 1,643 | $30,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 500 | $30,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 25,148 | $30,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 1,500 | $30,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 24,400 | $29,000 | thousands by filing date | put |
| OMEROS CORP | 682143102 | COM | 3,001 | $29,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 678 | $29,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 5,000 | $29,000 | thousands by filing date | |
| FAB UNVL CORP COM | 302771100 | COM | 3,876 | $29,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 600 | $29,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 9,900 | $29,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 3,200 | $29,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 7,546 | $29,000 | thousands by filing date | |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 3,000 | $29,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,600 | $29,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,600 | $29,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 900 | $29,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,000 | $29,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 561 | $28,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 497 | $28,000 | thousands by filing date | |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 3,071 | $28,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 540 | $28,000 | thousands by filing date | |
| WHITEWAVE FOODS CO | 966244204 | COM CL B | 1,400 | $28,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 1,004 | $28,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 2,191 | $28,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 35,000 | $28,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 2,258 | $28,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 802 | $28,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 5,650 | $28,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 1,300 | $27,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 2,351 | $27,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 11,001 | $27,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,944 | $27,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 2,008 | $27,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 2,661 | $27,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 970 | $27,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 10,000 | $27,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 4,579 | $27,000 | thousands by filing date | |
| ISHARES INC | 464286566 | MSCI EMKT EUR | 1,043 | $27,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 3,800 | $27,000 | thousands by filing date | |
| NB & T FINL GROUP INC | 62874M104 | COM | 1,228 | $27,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,377 | $26,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 1,083 | $26,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 2,300 | $26,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 3,000 | $26,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 2,268 | $26,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 62 | $26,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 6,572 | $26,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 11,231 | $26,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 2,101 | $26,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 10,840 | $26,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 4,803 | $26,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,429 | $25,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,225 | $25,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 2,250 | $25,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 1,253 | $25,000 | thousands by filing date | |
| CAMELOT INFORMATION SYS INC | 13322V105 | ADS RP ORD SHS | 12,900 | $25,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 3,333 | $25,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 30,800 | $25,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23338T101 | COM | 2,001 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,000 | $25,000 | thousands by filing date | |
| INTERMOUNTAIN COMMUNITY BANCOR NEW | 45881M308 | COM | 1,663 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 730 | $25,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 1,401 | $24,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 819 | $24,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 80,000 | $24,000 | thousands by filing date | put |
| China Yuchai Intl Ltd | G21082105 | COM | 1,012 | $24,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 4,000 | $24,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,121 | $24,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 15,880 | $24,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 11,407 | $24,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 100,000 | $23,000 | thousands by filing date | put |
| MACYS INC COM | 55616P104 | Stock | 50,000 | $23,000 | thousands by filing date | call |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 1,262 | $23,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 1,219 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 800 | $23,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,300 | $23,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 10,000 | $23,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 5,850 | $23,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 2,300 | $23,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 805 | $22,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,708 | $22,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 2,140 | $22,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 481 | $22,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 596 | $22,000 | thousands by filing date | |
| SIMS LTD SPON ADR EA | 829160100 | Common Stock | 2,433 | $22,000 | thousands by filing date | |
| HARBINGER GROUP INC | 41146A106 | COM | 2,114 | $22,000 | thousands by filing date | |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 1,186 | $22,000 | thousands by filing date | |
| DOLAN CO/THE | 25659P402 | COM | 9,562 | $22,000 | thousands by filing date | |
| INTERVEST BANCSHARES CORP-A | 460927106 | COM | 2,753 | $22,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 12,386 | $22,000 | thousands by filing date | |
| METROCORP BANCSHARES INC | 591650106 | COM | 1,625 | $22,000 | thousands by filing date | |
| TRAVELZOO INC | 89421Q106 | COM | 838 | $22,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 960 | $22,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 883 | $22,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U381 | GERMANY SM CAP | 800 | $22,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 12,700 | $21,000 | thousands by filing date | put |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 500 | $21,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 40,000 | $21,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2,120 | $21,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,750 | $21,000 | thousands by filing date | |
| LINEAR TECH INC | 535678AC0 | CORPORATE OBLIG | 20,000 | $21,000 | thousands by filing date | principal |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 1,951 | $21,000 | thousands by filing date | |
| LAKES GAMING INC COM | 51206P109 | COM | 5,082 | $21,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 4,000 | $21,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 2,012 | $21,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 5,000 | $21,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 550 | $20,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 56,000 | $20,000 | thousands by filing date | call |
| ARBOR REALTY TRUST INC | 038923108 | COM | 2,902 | $20,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 11,400 | $20,000 | thousands by filing date | call |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,846 | $20,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 2,601 | $20,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 25,700 | $20,000 | thousands by filing date | put |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 20,000 | $20,000 | thousands by filing date | principal |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 2,920 | $20,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 10,001 | $20,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 1,000 | $20,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 4,800 | $20,000 | thousands by filing date | |
| MOLYCORP INC $0.055 PFD | 608753208 | PREFERRED | 1,001 | $20,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,000 | $20,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 40,500 | $19,000 | thousands by filing date | put |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 3,100 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 550 | $19,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 745 | $19,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 200 | $19,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,001 | $19,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,501 | $19,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 782 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 540 | $19,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 1,170 | $19,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 3,812 | $19,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 10,466 | $19,000 | thousands by filing date | |
| FLOW INTL CORP | 343468104 | COM | 4,596 | $19,000 | thousands by filing date | |
| GASTAR EXPL LTD | 367299203 | COM NEW | 5,000 | $19,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,500 | $19,000 | thousands by filing date | |
| RF MICRO DEVICES INC | 749941AJ9 | NOTE | 19,000 | $19,000 | thousands by filing date | principal |
| SUNTECH PWR HLDGS CO LTD | 86800C104 | ADR | 10,931 | $19,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,500 | $19,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 443 | $19,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 11,600 | $18,000 | thousands by filing date | put |
| GENERAL MTRS CO COM | 37045V100 | Stock | 35,500 | $18,000 | thousands by filing date | call |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 2,033 | $18,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,281 | $18,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,450 | $18,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 100,000 | $18,000 | thousands by filing date | put |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 3,914 | $18,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 2,540 | $18,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 21,500 | $18,000 | thousands by filing date | call |
| COLEMAN CABLE INC | 193459302 | COM | 875 | $18,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 14,781 | $18,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 1,450 | $18,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 750 | $18,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 19,335 | $18,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 40,001 | $18,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 2,502 | $18,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 8,961 | $18,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 1,367 | $18,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895101 | CLB | 2,041 | $18,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-13-000598 | this filing | 2013-11-13 | acceptance time not in the bulk data set |