13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-06, with 6,311 holding rows worth $230,455,583,000.
- Accession
- 0000072971-14-000273
- Filer
- CIK 72971
- Filed
- 2014-02-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A combination report, 18,585 entries on the cover page, a total value of $230,455,583,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $230,455,583,000 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 |
|---|---|---|---|---|---|---|
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 7,600 | $112,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 8,104 | $111,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K833 | MTL SHRT ETN38 | 7,317 | $111,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 25,902 | $110,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 3,166 | $109,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,891 | $109,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 7,166 | $109,000 | thousands by filing date | |
| REVENUESHARES ADR | 761396605 | ADR FD | 2,784 | $109,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 2,719 | $108,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 4,206 | $108,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 948 | $108,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 1,572 | $108,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 13,185 | $108,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,127 | $107,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 10,754 | $107,000 | thousands by filing date | |
| STANDARD REGISTER CO | 853887206 | COM | 15,580 | $107,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 3,749 | $106,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 10,310 | $106,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 5,248 | $105,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 1,975 | $105,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 105,000 | $104,000 | thousands by filing date | principal |
| WI-LAN INC | 928972108 | COM | 31,000 | $104,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 3,400 | $103,000 | thousands by filing date | |
| TW TELECOM INC | 87311L104 | COM | 3,404 | $103,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 3,781 | $103,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 1,954 | $102,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 4,301 | $102,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 4,678 | $102,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 11,435 | $102,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 10,239 | $102,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 4,615 | $100,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 8,452 | $99,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 3,729 | $98,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 1,800 | $97,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 5,801 | $97,000 | thousands by filing date | |
| S.Y. BANCORP INC | 785060104 | COM | 3,037 | $97,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 5,335 | $97,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 52,601 | $97,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 45,026 | $96,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AC0 | NOTE 5.000% 6/1 | 94,000 | $96,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M662 | GUGG ENH CRE BN | 1,957 | $96,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 11,867 | $95,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 76,800 | $95,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 19,848 | $94,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 1,854 | $94,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 1,058 | $93,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 9,154 | $93,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 2,356 | $93,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 109,000 | $93,000 | thousands by filing date | principal |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 1,355 | $93,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 50,095 | $91,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 3,665 | $91,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 34,500 | $91,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 737 | $91,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 84,000 | $90,000 | thousands by filing date | put |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 5,000 | $90,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 12,284 | $90,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 81,000 | $90,000 | thousands by filing date | principal |
| INTERSECTIONS INC | 460981301 | COM | 11,465 | $90,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 15,000 | $89,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 4,344 | $89,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 1,195 | $88,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 5,148 | $88,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 6,933 | $88,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 6,787 | $88,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 34,700 | $87,000 | thousands by filing date | put |
| QUALYS INC COM | 74758T303 | Stock | 3,765 | $87,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 2,504 | $87,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 12,377 | $87,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A318 | NUVN S&P VRDO MN | 2,901 | $87,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 1,815 | $87,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 3,000 | $86,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 1,921 | $86,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 40,975 | $86,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 16,966 | $86,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 7,055 | $85,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 10,450 | $85,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 19,741 | $85,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 7,000 | $85,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 62,454 | $85,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 7,051 | $85,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 3,245 | $85,000 | thousands by filing date | |
| PIMCO BUILD | 72201R825 | BLD AMER BD FD | 1,820 | $85,000 | thousands by filing date | |
| IPC THE HOSPITALIST CO | 44984A105 | COM | 1,436 | $84,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 4,772 | $84,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 4,312 | $83,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 4,824 | $83,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 5,701 | $83,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 20,000 | $82,000 | thousands by filing date | put |
| NUMEREX CORP -CL A | 67053A102 | CL A | 6,300 | $82,000 | thousands by filing date | |
| NUVEEN PA DIV ADVANTAGE MUN | 67070E103 | COM | 6,757 | $82,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,456 | $81,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 40,801 | $81,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 8,635 | $81,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 1,125 | $81,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 2,450 | $81,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 2,001 | $80,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 5,255 | $80,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,923 | $80,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 1,759 | $79,000 | thousands by filing date | |
| ISHARES NYSE COMPOSITE INDEX | 464287143 | COM | 830 | $79,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 5,546 | $78,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 6,469 | $77,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 11,063 | $77,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 937 | $77,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 58,000 | $77,000 | thousands by filing date | principal |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,599 | $76,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 4,894 | $76,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 6,002 | $76,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 7,523 | $76,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 50,500 | $76,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 7,330 | $76,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 65,200 | $75,000 | thousands by filing date | put |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 4,824 | $75,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 3,496 | $75,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 3,000 | $75,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 17,444 | $74,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 10,575 | $74,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 1,332 | $74,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 3,089 | $74,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 8,592 | $74,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 16,259 | $74,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 1,231 | $74,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 3,504 | $74,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 12,036 | $73,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 17,976 | $73,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 25,517 | $73,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 5,255 | $73,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 23,430 | $73,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 1,840 | $73,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 1,221 | $72,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 2,301 | $72,000 | thousands by filing date | |
| HOME INNS & HOTELS MGMT INC | 43713W107 | SPON ADR | 1,651 | $72,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 6,670 | $72,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 4,104 | $72,000 | thousands by filing date | |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 11,055 | $72,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 25,000 | $71,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 1,102 | $71,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 574 | $71,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 5,163 | $71,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 10,000 | $71,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 38,501 | $71,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,144 | $70,000 | thousands by filing date | |
| FIRST AMERICAN MN MUN INC II | 31849P104 | CMN | 5,401 | $70,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 5,302 | $70,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 1,300 | $69,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 5,684 | $69,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 3,550 | $69,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 3,413 | $69,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 3,177 | $69,000 | thousands by filing date | |
| BARNES GROUP INC | 067806AD1 | BOND | 50,000 | $69,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 3,826 | $69,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 1,663 | $68,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 5,550 | $68,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 2,935 | $68,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 5,007 | $68,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 2,795 | $68,000 | thousands by filing date | |
| MERIDIAN INTERSTAT BANCORP I | 58964Q104 | COM | 3,006 | $68,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 4,983 | $68,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 652 | $67,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 5,782 | $67,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 2,463 | $67,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 1,504 | $67,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 10,229 | $67,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 5,457 | $67,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 3,268 | $67,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 5,002 | $67,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 403 | $66,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 600 | $66,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 3,251 | $66,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 4,519 | $66,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 4,030 | $66,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 7,992 | $66,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,751 | $65,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 64,000 | $65,000 | thousands by filing date | principal |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 1,667 | $65,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 1,604 | $64,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,703 | $64,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 1,525 | $64,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 6,400 | $62,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 1,579 | $62,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 6,139 | $62,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 18,931 | $62,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 5,351 | $62,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 90,600 | $61,000 | thousands by filing date | put |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 8,697 | $61,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 3,219 | $61,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 3,200 | $61,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 110,392 | $61,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 1,649 | $60,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 13,057 | $60,000 | thousands by filing date | |
| DIGITAL GENERATION INC | 25400B108 | COM | 4,703 | $60,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 4,126 | $60,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 5,796 | $60,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 1,946 | $60,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 13,378 | $59,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 4,054 | $59,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 4,544 | $59,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 1,228 | $59,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 20,062 | $59,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 7,001 | $59,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 23,674 | $59,000 | thousands by filing date | |
| FISHER ENHANCED BIG CAP GROWTH ETN(FBG) | 90267L508 | ETF | 1,278 | $58,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 2,001 | $57,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,300 | $57,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,464 | $57,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 3,713 | $57,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 31,096 | $57,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 2,749 | $56,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 1,305 | $56,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 14,800 | $56,000 | thousands by filing date | put |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 15,001 | $56,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 91,700 | $55,000 | thousands by filing date | put |
| MESA LABS INC COM | 59064R109 | Stock | 700 | $55,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 2,201 | $55,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 82,700 | $55,000 | thousands by filing date | put |
| ANACOR PHARMACEUTICALS INC | 032420101 | COM | 3,300 | $55,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 702 | $55,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 7,867 | $55,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 570 | $54,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 116,900 | $54,000 | thousands by filing date | put |
| PACKAGING CORP AMER COM | 695156109 | Stock | 18,400 | $54,000 | thousands by filing date | put |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 2,813 | $54,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 1,450 | $54,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 4,113 | $54,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 5,967 | $54,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,235 | $54,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 2,100 | $54,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 1,277 | $54,000 | thousands by filing date | |
| RECEPTOS, INC. | 756207106 | COMMON STOCK | 1,830 | $53,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 3,750 | $53,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 1,693 | $53,000 | thousands by filing date | |
| MINDRAY MEDICAL INTL LTD | 602675100 | SPON ADR | 1,466 | $53,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 10,000 | $53,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 46,100 | $52,000 | thousands by filing date | put |
| HNI CORP COM | 404251100 | Stock | 1,331 | $52,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 8,428 | $52,000 | thousands by filing date | |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 825,313 | $52,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,554 | $52,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 1,742 | $52,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 3,000 | $51,000 | thousands by filing date | |
| MEDIA GENERAL INC | 584404107 | COMMON STOCK | 2,269 | $51,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 16,251 | $51,000 | thousands by filing date | |
| INVESTORS BANCORP INC | 46146P102 | COM | 2,009 | $51,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,300 | $51,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 2,227 | $51,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 3,701 | $51,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 3,200 | $50,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 1,900 | $50,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892507 | CV 8% CUM PFD-D | 2,001 | $50,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 2,092 | $50,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 15,017 | $50,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 3,300 | $50,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 18,100 | $50,000 | thousands by filing date | |
| PMC COMMERCIAL TRUST | 693434102 | SH B | 5,869 | $50,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 2,134 | $50,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 7,673 | $49,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST | 49803T102 | COMMON STOCK | 7,492 | $49,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 21,576 | $49,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 2,800 | $49,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 13,455 | $49,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 2,034 | $48,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 1,847 | $48,000 | thousands by filing date | |
| LAKES GAMING INC COM | 51206P109 | COM | 12,000 | $48,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 13,701 | $48,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 2,303 | $48,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 3,828 | $47,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 19,800 | $47,000 | thousands by filing date | put |
| PREFORMED LINE PRODS CO | 740444104 | COM | 640 | $47,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 15,401 | $47,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 7,500 | $47,000 | thousands by filing date | |
| ROVI CORP | 779376AB8 | CORPORATE OBLIG | 46,000 | $47,000 | thousands by filing date | principal |
| POTBELLY CORP | 73754Y100 | COM | 1,950 | $47,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 2,394 | $47,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 2,558 | $47,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 1,669 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 360 | $46,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 19,899 | $46,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 30,800 | $46,000 | thousands by filing date | |
| NUVEEN CA MUN MKT OPPORTUNT | 67062U107 | COM | 3,342 | $46,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 10,000 | $46,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 47,000 | $46,000 | thousands by filing date | principal |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 12,282 | $45,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 2,270 | $45,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 1,625 | $45,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 2,801 | $45,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 4,203 | $45,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233606 | CV PFD-E 7.25% | 2,059 | $45,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 3,489 | $45,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 55,400 | $44,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 3,226 | $44,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 1,838 | $44,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 150,000 | $43,000 | thousands by filing date | put |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 1,654 | $43,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 12,704 | $43,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 3,421 | $43,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 74,600 | $43,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 3,893 | $43,000 | thousands by filing date | |
| HELIOS ADVANTAGE INCOME FD I | 42327W206 | COM NEW | 4,736 | $43,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 992 | $43,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 3,000 | $42,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 1,680 | $42,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 20,000 | $42,000 | thousands by filing date | put |
| VANGUARD MALVERN FDS | 922020805 | SHS | 825 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 408 | $41,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 3,501 | $41,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 672 | $41,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 659 | $41,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 7,052 | $41,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 10,156 | $41,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 3,361 | $41,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E481 | GLB X CDA PFD | 3,365 | $41,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 2,075 | $41,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 2,771 | $41,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 30,500 | $40,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 11,153 | $40,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 4,080 | $40,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 62,603 | $40,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 1,051 | $40,000 | thousands by filing date | |
| NUVEEN MASSACHUSETTS | 67072F108 | COM | 3,361 | $40,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 7,270 | $39,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 2,472 | $39,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 3,491 | $39,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 2,800 | $39,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 6,712 | $38,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 19,000 | $38,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 601 | $38,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 879 | $38,000 | thousands by filing date | |
| DYNAMICS RESEARCH CORP | 268057106 | COM | 3,290 | $38,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 1,052 | $38,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 2,316 | $38,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,001 | $37,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 828 | $37,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 39,000 | $37,000 | thousands by filing date | principal |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 973 | $37,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 19,500 | $36,000 | thousands by filing date | call |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 44,900 | $36,000 | thousands by filing date | call |
| CONSOL ENERGY INC | 20854P109 | COM | 40,000 | $36,000 | thousands by filing date | put |
| ARCHER DANIELS MIDLAND CO | 039483AW2 | NOTE 0.875% 2/1 | 34,000 | $36,000 | thousands by filing date | principal |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 11,931 | $36,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 1,063 | $35,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 13,600 | $35,000 | thousands by filing date | |
| PHH CORP | 693320AN3 | CORPORATE OBLIG | 33,000 | $35,000 | thousands by filing date | principal |
| GULF IS FABRICATION INC | 402307102 | COM | 1,511 | $35,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 4,450 | $35,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 1,966 | $35,000 | thousands by filing date | |
| COMPUWARE CORP | 205638109 | COM | 3,193 | $35,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 1,534 | $35,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 5,000 | $35,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 2,800 | $35,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 50,000 | $34,000 | thousands by filing date | call |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 1,399 | $34,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 757 | $34,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 738 | $34,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 98,716 | $34,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 3,553 | $34,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 1,428 | $34,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 11,600 | $34,000 | thousands by filing date | |
| GASTAR EXPL LTD | 367299203 | COM NEW | 5,000 | $34,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,201 | $34,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 5,631 | $34,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,350 | $34,000 | thousands by filing date | |
| AMER MUN INCOME PORT INC | 027649102 | COM | 2,600 | $34,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 975 | $34,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 717 | $33,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 1,000 | $33,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 1,601 | $33,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES-CL B | 345550305 | COMMON | 1,753 | $33,000 | thousands by filing date | |
| HELIOS HIGH YIELD FD | 42328Q109 | COM | 3,401 | $33,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 6,000 | $32,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,145 | $32,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 3,106 | $32,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG | 03938LAK0 | NOTE 5.000% 5/1 | 32,000 | $32,000 | thousands by filing date | principal |
| ENZYMOTEC LTD | M4059L101 | SHS | 1,190 | $32,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 125,800 | $31,000 | thousands by filing date | call |
| MEDTRONIC INC | 585055106 | COM | 385,200 | $31,000 | thousands by filing date | put |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 2,003 | $31,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 2,517 | $31,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 50,000 | $31,000 | thousands by filing date | call |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 30,000 | $31,000 | thousands by filing date | principal |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,482 | $31,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 1,292 | $31,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,600 | $31,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 401 | $30,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 1,400 | $30,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 2,640 | $30,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 600 | $30,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 437 | $30,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 3,916 | $30,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 3,333 | $30,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 2,372 | $30,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 738 | $30,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 761 | $30,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 30,000 | $30,000 | thousands by filing date | principal |
| META PLATFORMS INC CL A | 30303M102 | COM | 86,000 | $29,000 | thousands by filing date | put |
| VGT | 92204A702 | SHS | 43,300 | $29,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 29,700 | $29,000 | thousands by filing date | put |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 800 | $29,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 2,586 | $29,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 10,000 | $29,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 730 | $29,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,000 | $28,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,549 | $28,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 5,000 | $28,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 6,000 | $28,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 400 | $28,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 4,001 | $28,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 30,000 | $28,000 | thousands by filing date | put |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 5,617 | $28,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 8,456 | $28,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,410 | $28,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 6,300 | $28,000 | thousands by filing date | |
| ARRIS GROUP INC | 04270V106 | COM | 190,400 | $28,000 | thousands by filing date | put |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 23,000 | $28,000 | thousands by filing date | principal |
| CU BANCORP | 126534106 | COM | 1,600 | $28,000 | thousands by filing date | |
| PROSHRE ULT DJ-UBS CRUDE OIL | 74347W650 | CMN | 875 | $28,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 5,650 | $28,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 2,800 | $28,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 6,687 | $28,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 776 | $27,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 474 | $27,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,225 | $27,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 591 | $27,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 11,824 | $27,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 874 | $27,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 10,553 | $27,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,300 | $27,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 6,100 | $27,000 | thousands by filing date | call |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 5,050 | $27,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 2,401 | $27,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 23,100 | $27,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,000 | $27,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 7,905 | $27,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 7,546 | $27,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 16,300 | $27,000 | thousands by filing date | |
| ISHARES INC | 464286566 | MSCI EMKT EUR | 1,043 | $27,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 35,000 | $27,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 3,800 | $27,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 1,400 | $27,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 16,300 | $26,000 | thousands by filing date | put |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 1,262 | $26,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 2,752 | $26,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 2,000 | $26,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 446 | $26,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 399 | $26,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 2,489 | $26,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 2,149 | $26,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 25,000 | $26,000 | thousands by filing date | principal |
| EVANS BANCORP INC | 29911Q208 | COM | 1,253 | $26,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,121 | $26,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 930 | $26,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 800 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U530 | LAT AM SML CAP | 1,365 | $26,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,501 | $26,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 801 | $26,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 569 | $25,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 2,001 | $25,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 5,850 | $25,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 1,511 | $25,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23338T101 | COM | 2,002 | $25,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,002 | $25,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 2,401 | $25,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 4,579 | $25,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 4,562 | $25,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 4,803 | $25,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,084 | $24,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 3,600 | $24,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 1,219 | $24,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 1,350 | $24,000 | thousands by filing date | |
| ASM INTERNATIONAL NV | N07045102 | Common Stock | 727 | $24,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 2,295 | $24,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 7,571 | $24,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 1,193 | $24,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 750 | $24,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 5,224 | $24,000 | thousands by filing date | |
| METROCORP BANCSHARES INC | 591650106 | COM | 1,625 | $24,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 1,384 | $24,000 | thousands by filing date | |
| NB & T FINL GROUP INC | 62874M104 | COM | 1,228 | $24,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 883 | $24,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U381 | GERMANY SM CAP | 800 | $24,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 5,002 | $24,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 465 | $23,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 202 | $23,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,501 | $23,000 | thousands by filing date | |
| COLEMAN CABLE INC | 193459302 | COM | 875 | $23,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 1,197 | $23,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 10,802 | $23,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 4,001 | $23,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 1,790 | $23,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 2,013 | $23,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 1,208 | $23,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 7,000 | $23,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 5,000 | $23,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 30,000 | $22,000 | thousands by filing date | call |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 20,000 | $22,000 | thousands by filing date | principal |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 971 | $22,000 | thousands by filing date | |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 1,186 | $22,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,123 | $22,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 2,715 | $22,000 | thousands by filing date | |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 3,000 | $22,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-14-000273 | this filing | 2014-02-06 | acceptance time not in the bulk data set |