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 |
|---|---|---|---|---|---|---|
| Abbott Laboratories | 002824100 | COM | 50,000 | $17,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 860,000 | $17,000 | thousands by filing date | call |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $17,000 | thousands by filing date | put |
| CULP INC | 230215105 | CMN | 901 | $17,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 28,802 | $17,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 601 | $17,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 606 | $17,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,059 | $17,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 2,210 | $17,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 2,500 | $17,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 8,100 | $17,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 1,000 | $17,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 3,225 | $17,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 91,900 | $16,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,738 | $16,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,468 | $16,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 900 | $16,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,671 | $16,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 5,000 | $16,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 503 | $16,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,200 | $16,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 8,200 | $16,000 | thousands by filing date | |
| PVF CAPITAL CORP | 693654105 | COM | 3,804 | $16,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 7,000 | $16,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 1,529 | $16,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 5,000 | $16,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 125,000 | $15,000 | thousands by filing date | call |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 359 | $15,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 22,245 | $15,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 5,000 | $15,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 550 | $15,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 842 | $15,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,471 | $15,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 556 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 542 | $15,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 310 | $15,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 4,000 | $15,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 14,000 | $15,000 | thousands by filing date | principal |
| DOVER MOTORSPORTS INC | 260174107 | COM | 6,261 | $15,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 535 | $15,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 8,447 | $15,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 7,733 | $15,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 2,747 | $15,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R109 | SEL LC VAL ETF | 400 | $15,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 3,700 | $14,000 | thousands by filing date | put |
| iShares Silver Trust | 46428Q109 | COM | 50,100 | $14,000 | thousands by filing date | put |
| FIRST INTERNET BANCORP | 320557101 | COM | 538 | $14,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 1,100 | $14,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 754 | $14,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $14,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 3,600 | $14,000 | thousands by filing date | call |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 201 | $14,000 | thousands by filing date | |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 1,500 | $14,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 1,050 | $14,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 1,743 | $14,000 | thousands by filing date | |
| NUVEEN CA MUN MKT OPPORTUNT | 67062U107 | COM | 1,000 | $14,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055AE7 | NOTE | 11,000 | $14,000 | thousands by filing date | principal |
| DWS STRATEGIC INCOME TR | 23338N104 | SHS | 1,001 | $14,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,171 | $14,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 219 | $14,000 | thousands by filing date | |
| QUATERRA RES INC | 747952109 | COM | 90,182 | $14,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 6,000 | $14,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 317 | $14,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 2,200 | $13,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 4,800 | $13,000 | thousands by filing date | put |
| COCA COLA CONS INC | 191098102 | COM | 201 | $13,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 656 | $13,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 500 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 201 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 1,302 | $13,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 3,840 | $13,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 3,074 | $13,000 | thousands by filing date | |
| NAM TAI ELECTRS INC | 629865205 | COM PAR $0.02 | 1,701 | $13,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 913 | $13,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 6,746 | $13,000 | thousands by filing date | |
| VALLEY FINL CORP VA | 919629105 | COM | 1,260 | $13,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 33,000 | $12,000 | thousands by filing date | put |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 444 | $12,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 70,200 | $12,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 1,228 | $12,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 5,000 | $12,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 700 | $12,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 520 | $12,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,601 | $12,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 615 | $12,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 1,430 | $12,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 1,200 | $12,000 | thousands by filing date | |
| MOVE INC | 62458M207 | COM NEW | 705 | $12,000 | thousands by filing date | |
| DOUBLE EAGLE PETE CO | 258570209 | COM PAR $0.10 | 4,131 | $12,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $12,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 207 | $12,000 | thousands by filing date | |
| RICK'S CABARET INTL INC | 765641303 | COM | 1,000 | $12,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 602 | $12,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 700 | $12,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 3,576 | $12,000 | thousands by filing date | |
| IVANHOE ENERGY INC | 465790301 | COM NEW | 14,827 | $12,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 51,700 | $11,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 40,000 | $11,000 | thousands by filing date | put |
| Procter & Gamble Co | 742718109 | COM | 35,900 | $11,000 | thousands by filing date | put |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 312 | $11,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 299 | $11,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 2,175 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 150 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 331 | $11,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 8,853 | $11,000 | thousands by filing date | |
| GIVEN IMAGING LTD | M52020100 | ORD | 568 | $11,000 | thousands by filing date | |
| DYNAMICS RESEARCH CORP | 268057106 | COM | 1,400 | $11,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 1,002 | $11,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 10,000 | $11,000 | thousands by filing date | principal |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 4,540 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 241 | $11,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 35,600 | $10,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 4,500 | $10,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,500 | $10,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 601 | $10,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 5,960 | $10,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 677 | $10,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 501 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 200 | $10,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 857 | $10,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,201 | $10,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 8,000 | $10,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 1,503 | $10,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,241 | $10,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 1,461 | $10,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 129 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 10,000 | $10,000 | thousands by filing date | principal |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 4,701 | $10,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 8,000 | $10,000 | thousands by filing date | |
| EASTERN INSURANCE HOLDINGS | 276534104 | COM | 400 | $10,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D845 | ETN IDX-LKD 20 | 500 | $10,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643507 | ADR PRF SER A | 801 | $10,000 | thousands by filing date | |
| ZUOAN FASHION LTD | 98982X103 | SPONSORED ADR | 5,000 | $10,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 400 | $10,000 | thousands by filing date | |
| NEWELL RUBBERMAID INC | 651229AH9 | NOTE 5.500% 3/1 | 3,000 | $10,000 | thousands by filing date | principal |
| IKONICS CORP | 45172K102 | COM | 520 | $10,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 950 | $10,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 9,600 | $9,000 | thousands by filing date | put |
| WESCO INTL INC COM | 95082P105 | Stock | 2,500 | $9,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 4,555 | $9,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 338 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 100 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 148 | $9,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,500 | $9,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,300 | $9,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 500 | $9,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 2,488 | $9,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 911 | $9,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 28,000 | $9,000 | thousands by filing date | put |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 18 | $9,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 2,700 | $9,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 1,000 | $9,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 4,573 | $9,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 345 | $9,000 | thousands by filing date | |
| GENCORP INC | 368682100 | COM | 545 | $9,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 754 | $9,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 809 | $9,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 750 | $9,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 28,200 | $9,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 2,314 | $9,000 | thousands by filing date | |
| GREENWAY MED TECHNOLOGIES IN | 39679B103 | COM | 435 | $9,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 5,000 | $9,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 2,000 | $9,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP/THE | 320771108 | COM | 11,354 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 151 | $9,000 | thousands by filing date | |
| POWERSHARES LUX | 73935X633 | LX NANOTCH PTF | 1,334 | $9,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 600 | $9,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 7,500 | $9,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 1,200 | $9,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 3,015 | $9,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 5,800 | $8,000 | thousands by filing date | put |
| Home Depot, Inc | 437076102 | COM | 153,800 | $8,000 | thousands by filing date | call |
| Starbucks Corporation | 855244109 | COM | 19,600 | $8,000 | thousands by filing date | put |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,000 | $8,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 200 | $8,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 325 | $8,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,334 | $8,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 185 | $8,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 554 | $8,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 200 | $8,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 501 | $8,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 375 | $8,000 | thousands by filing date | |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 41 | $8,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 46,000 | $8,000 | thousands by filing date | put |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 5,000 | $8,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 500 | $8,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 1,000 | $8,000 | thousands by filing date | |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 1,312 | $8,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 3,155 | $8,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 501 | $8,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 453 | $8,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 505 | $8,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 1,456 | $8,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 6,100 | $7,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 9,800 | $7,000 | thousands by filing date | put |
| Johnson & Johnson | 478160104 | COM | 2,500 | $7,000 | thousands by filing date | put |
| McDonalds Corporation | 580135101 | COM | 8,300 | $7,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 3,600 | $7,000 | thousands by filing date | put |
| CARBONITE INC | 141337105 | COM | 490 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 101 | $7,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $7,000 | thousands by filing date | |
| 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 | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 2,138 | $7,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 337 | $7,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 758 | $7,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 17,000 | $7,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 5,600 | $7,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 1,500 | $7,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 1,200 | $7,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 199 | $7,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 298 | $7,000 | thousands by filing date | |
| STERLING BANCORP N Y | 859158107 | COM | 489 | $7,000 | thousands by filing date | |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 6,000 | $7,000 | thousands by filing date | principal |
| Galena Biopharma Inc | 363256108 | COM | 3,165 | $7,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 331 | $7,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 3,507 | $7,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 400 | $7,000 | thousands by filing date | |
| DENALI FD INC | 24823A102 | COM | 370 | $7,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 1,899 | $7,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 500 | $7,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 540 | $7,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 1,000 | $7,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 200 | $7,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 759 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 300 | $7,000 | thousands by filing date | |
| SPORT CHALET INC | 849163308 | CLB | 5,075 | $7,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 2,564 | $7,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 504 | $7,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 205 | $7,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 279 | $7,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 500 | $7,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 16,900 | $6,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 7,200 | $6,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 41,400 | $6,000 | thousands by filing date | put |
| AMERESCO INC | 02361E108 | CL A | 542 | $6,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 270 | $6,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 498 | $6,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 1,000 | $6,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,201 | $6,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 450 | $6,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 329 | $6,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,604 | $6,000 | thousands by filing date | |
| ASIAINFO-LINKAGE INC | 04518A104 | COM | 500 | $6,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 306 | $6,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 609 | $6,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 501 | $6,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 1,000 | $6,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 834 | $6,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 800 | $6,000 | thousands by filing date | |
| CORNERSTONE THERAPEUTICS INC | 21924P103 | COM | 620 | $6,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 244 | $6,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 2,500 | $6,000 | thousands by filing date | |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 293 | $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 | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 115 | $6,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 3,000 | $6,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 104 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 146 | $6,000 | thousands by filing date | |
| NRG YIELD INC | 62942X108 | CL C | 185 | $6,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,900 | $5,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 3,600 | $5,000 | thousands by filing date | put |
| Danaher Corporation | 235851102 | COM | 600 | $5,000 | thousands by filing date | call |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 1,000 | $5,000 | thousands by filing date | put |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 240 | $5,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 620 | $5,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 322 | $5,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 100,000 | $5,000 | thousands by filing date | put |
| CALIX INC | 13100M509 | COM | 396 | $5,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 1,001 | $5,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 400 | $5,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 98 | $5,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 360 | $5,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 201 | $5,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 347 | $5,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 201 | $5,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 568 | $5,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 422 | $5,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 2,385 | $5,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 600 | $5,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 604 | $5,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 18 | $5,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 600 | $5,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 8,000 | $5,000 | thousands by filing date | call |
| SILVER WHEATON CORP | 828336107 | COM | 3,500 | $5,000 | thousands by filing date | put |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 223 | $5,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 101 | $5,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 205 | $5,000 | thousands by filing date | |
| DYAX CORP | 26746E103 | COM | 720 | $5,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 670 | $5,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 101 | $5,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,321 | $5,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 885 | $5,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 401 | $5,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 2,000 | $5,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 2,000 | $5,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $5,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $5,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 109 | $5,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 566 | $5,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 903 | $5,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 300 | $5,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 2,000 | $5,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 6,000 | $5,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 3,301 | $5,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,250 | $5,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 3,000 | $5,000 | thousands by filing date | principal |
| ESSEX RENT CORP COM | 297187106 | Common | 1,505 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 300 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E507 | CHINA ENRG ETF | 335 | $5,000 | thousands by filing date | |
| ELEMENTS LKD TO S&P CMDTY TR | 4042EP602 | CMN | 854 | $5,000 | thousands by filing date | |
| UNITED RENTALS INC | 911363AL3 | NOTE 4.000% | 1,000 | $5,000 | thousands by filing date | principal |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 380 | $5,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 127 | $5,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 3,100 | $4,000 | thousands by filing date | put |
| ZALECORPNEW | 988858106 | COM | 233 | $4,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 99 | $4,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 3,698 | $4,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 230 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 100 | $4,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 131 | $4,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 92 | $4,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 601 | $4,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 400 | $4,000 | thousands by filing date | put |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 1,400 | $4,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 2,100 | $4,000 | thousands by filing date | put |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 750 | $4,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 400 | $4,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 165 | $4,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 541 | $4,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 1,500 | $4,000 | thousands by filing date | call |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 1,300 | $4,000 | thousands by filing date | |
| FIRSTBANK CORPORATION | 33761G104 | COMMON STOCK | 203 | $4,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 300 | $4,000 | thousands by filing date | put |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 6,300 | $4,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 500 | $4,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 700 | $4,000 | thousands by filing date | put |
| YAMANA GOLD INC | 98462Y100 | COM | 4,000 | $4,000 | thousands by filing date | put |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 2,450 | $4,000 | thousands by filing date | |
| PARAMETRIC SOUND CORP | 699172201 | COM NEW | 320 | $4,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 1,746 | $4,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 300 | $4,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 2,045 | $4,000 | thousands by filing date | |
| ALCOA INC | 013817AT8 | NOTE 5.250% 3/1 | 3,000 | $4,000 | thousands by filing date | principal |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 312 | $4,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 400 | $4,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 5,001 | $4,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 2,250 | $4,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 728 | $4,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 155 | $4,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 3,345 | $4,000 | thousands by filing date | |
| ESB FINANCIAL CORP | 26884F102 | COM | 301 | $4,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 150 | $4,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 200 | $4,000 | thousands by filing date | |
| HOME FEDERAL BANCORP INC/ID | 43710G105 | COM | 300 | $4,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 234 | $4,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 1,000 | $4,000 | thousands by filing date | |
| COMSTOCK HOLDING COMPANIES | 205684103 | CL A | 2,000 | $4,000 | thousands by filing date | |
| PROSHARES ULTRA SILVER | 74347W841 | COM | 201 | $4,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 1,300 | $4,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 126 | $4,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 2,823 | $4,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 675 | $4,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 357 | $4,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 187 | $4,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 101 | $4,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,550 | $4,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 521 | $4,000 | thousands by filing date | |
| ALTO PALERMO S A | 02151P107 | SPONSORED ADR | 200 | $4,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 413 | $4,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 3,600 | $3,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 500 | $3,000 | thousands by filing date | put |
| PepsiCo,Inc. | 713448108 | COM | 3,600 | $3,000 | thousands by filing date | put |
| BOYDGAMINGCORP | 103304101 | STOK | 36,900 | $3,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,000 | $3,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 7,000 | $3,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 66 | $3,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 661 | $3,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 501 | $3,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 270 | $3,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $3,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 87 | $3,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 800 | $3,000 | thousands by filing date | put |
| Enzo Biochem Inc | 294100102 | Common Stock | 1,511 | $3,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 200 | $3,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 334 | $3,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,000 | $3,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 295 | $3,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 350 | $3,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 57,900 | $3,000 | thousands by filing date | call |
| ON SEMICONDUCTOR CORP | 682189AG0 | NOTE 2.625%12/1 | 3,000 | $3,000 | thousands by filing date | principal |
| EXFO INC | 302046107 | SUB VTG SHS | 627 | $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 | 15,000 | $3,000 | thousands by filing date | principal |
| DOMINION RES INC VA NEW | 25746U703 | UNIT 04/01/2013 | 49 | $3,000 | thousands by filing date | |
| CRIMSON EXPLORATION INC | 22662K207 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 69 | $3,000 | thousands by filing date | |
| COLDWATER CREEK INC | 193068202 | COM | 1,645 | $3,000 | thousands by filing date | |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 3,000 | $3,000 | thousands by filing date | principal |
| FRONTLINE LTD | G3682E127 | COM | 1,409 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 1,501 | $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 | |
| FX ENERGY INC | 302695101 | COM | 1,000 | $3,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 1,000 | $3,000 | thousands by filing date | |
| VENTRUS BIOSCIENCES INC | 922822101 | COM | 1,000 | $3,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 106 | $3,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 200 | $3,000 | thousands by filing date | |
| VERENIUM CORP | 92340P209 | COM | 767 | $3,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 1,000 | $3,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 560 | $3,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 1,000 | $3,000 | thousands by filing date | principal |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 301 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 100 | $3,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 100 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 100 | $3,000 | thousands by filing date | |
| POWERSHARES DYN MAGNIQUANT | 73935X468 | COM | 99 | $3,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 100 | $3,000 | thousands by filing date | |
| ISHARES TR | 464289198 | MSCI EMG MATS | 200 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC IPTH NAT GAS | 06740P239 | COM | 99 | $3,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526203 | PFD CONV SER A | 334 | $3,000 | thousands by filing date | |
| VILLAGE BK & TR FINANCIAL CO | 92705T101 | COM | 1,989 | $3,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525202 | PFD CV SER A | 231 | $3,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 3,000 | $3,000 | thousands by filing date | principal |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 552 | $3,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526401 | COM NEW ADDED | 463 | $3,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 10,000 | $2,000 | thousands by filing date | put |
| Pfizer Inc. | 717081103 | COM | 600 | $2,000 | thousands by filing date | put |
| VGT | 92204A702 | SHS | 1,400 | $2,000 | thousands by filing date | put |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 3,800 | $2,000 | thousands by filing date | put |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 31,700 | $2,000 | thousands by filing date | put |
| TEXTRON INC COM | 883203101 | Stock | 2,800 | $2,000 | thousands by filing date | call |
| CDW CORP COM | 12514G108 | Stock | 92 | $2,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 300 | $2,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 3,100 | $2,000 | thousands by filing date | put |
| CHATHAM LODGING TR | 16208T102 | COM | 100 | $2,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 301 | $2,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 101 | $2,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 763 | $2,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 50,000 | $2,000 | thousands by filing date | put |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 2,200 | $2,000 | thousands by filing date | put |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 110 | $2,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 949 | $2,000 | thousands by filing date | |
| SL INDS INC | 784413106 | COMMON STOCK | 101 | $2,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 171 | $2,000 | thousands by filing date | |
| SEACOAST BKG CORP FL | 811707306 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 700 | $2,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 400 | $2,000 | thousands by filing date | put |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 792 | $2,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 501 | $2,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 2,000 | $2,000 | thousands by filing date | principal |
| Nextera Energy, Inc. | 65339F887 | PFD | 31 | $2,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 300 | $2,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 800 | $2,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 1,000 | $2,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 91 | $2,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 3,000 | $2,000 | thousands by filing date | |
| THERAGENICS CORP | 883375107 | COM | 1,000 | $2,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 250 | $2,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 700 | $2,000 | thousands by filing date | put |
| RIVERBED TECHNOLOGY INC | 768573107 | COM | 500 | $2,000 | thousands by filing date | put |
| MAST THERAPEUTICS INC | 576314108 | COM | 5,000 | $2,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 185 | $2,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 10,396 | $2,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 1,355 | $2,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 1,000 | $2,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 574 | $2,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 1,500 | $2,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 100 | $2,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 605 | $2,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 4,021 | $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 | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 1,500 | $2,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 2,150 | $2,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 89 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X567 | ULTSHT CHINA 25 | 132 | $2,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 601 | $2,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 2,038 | $2,000 | thousands by filing date | |
| AVIS BUDGET GROUP | 053774AB1 | NOTE 3.500%10/0 | 1,000 | $2,000 | thousands by filing date | principal |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 2,000 | $2,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 80 | $2,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 267 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288232 | S&P NUCIDX ETF | 54 | $2,000 | thousands by filing date | |
| COUNTRY STYLE COOKING REST ADR | 22238M109 | ADR-EMG MKT | 233 | $2,000 | thousands by filing date | |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 29,740 | $2,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P170 | INV JAP GOV BD | 102 | $2,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 700 | $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 | |
| DYNASIL CORP AMER | 268102100 | COM | 2,500 | $2,000 | 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 |