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 |
|---|---|---|---|---|---|---|
| DWS STRATEGIC INCOME TR | 23338N104 | SHS | 1,702 | $22,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 4,572 | $22,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 8,447 | $22,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 2,001 | $22,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 2,034 | $21,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 801 | $21,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,334 | $21,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,000 | $21,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 2,601 | $21,000 | thousands by filing date | |
| INTERVEST BANCSHARES CORP-A | 460927106 | COM | 2,753 | $21,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 4,560 | $21,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 32,213 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 750 | $21,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,800 | $20,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 2,319 | $20,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,700 | $20,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 1,442 | $20,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $20,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 11,800 | $20,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 211 | $20,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R205 | INTL HI YLD BD | 734 | $20,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 2,890 | $20,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 20,000 | $20,000 | thousands by filing date | principal |
| L N B BANCORP INC | 502100100 | COM | 2,029 | $20,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 15,596 | $20,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,000 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 443 | $20,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 15,000 | $20,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 2,800 | $19,000 | thousands by filing date | call |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 1,901 | $19,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 1,600 | $19,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | 36869MAA3 | NOTE 5.000% 8/1 | 38,000 | $19,000 | thousands by filing date | principal |
| OI S.A. | 670851203 | SPN ADR REP PFD | 11,677 | $19,000 | thousands by filing date | |
| ProShares UltraShort Russell 2000 ETF | 74348A202 | Com | 1,591 | $19,000 | thousands by filing date | |
| RF MICRO DEVICES INC | 749941AJ9 | NOTE | 19,000 | $19,000 | thousands by filing date | principal |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 1,462 | $19,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895101 | CLB | 2,041 | $19,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,501 | $19,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 10,000 | $18,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 13,500 | $18,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 5,000 | $18,000 | thousands by filing date | put |
| RADNET INC | 750491102 | COM | 10,501 | $18,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 900 | $18,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $18,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,355 | $18,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 650 | $18,000 | thousands by filing date | |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 2,000 | $18,000 | thousands by filing date | |
| SL INDS INC | 784413106 | COMMON STOCK | 636 | $18,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 503 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 540 | $18,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 19 | $18,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 4,631 | $18,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 2,296 | $18,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 14,300 | $18,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 6,850 | $18,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 8,870 | $18,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 11,226 | $18,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 1,201 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 450 | $17,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 392 | $17,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2,120 | $17,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 800 | $17,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 512 | $17,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,451 | $17,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 4,272 | $17,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 1,013 | $17,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,171 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 520 | $17,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 17,000 | $17,000 | thousands by filing date | principal |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 2,234 | $16,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,300 | $16,000 | thousands by filing date | put |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 22,715 | $16,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,468 | $16,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,471 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 201 | $16,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 44,000 | $16,000 | thousands by filing date | call |
| IPASS INC | 46261V108 | COM | 10,001 | $16,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 6,261 | $16,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 15,000 | $16,000 | thousands by filing date | principal |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 664 | $16,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 1,530 | $16,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 3,225 | $16,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R109 | SEL LC VAL ETF | 400 | $16,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 3,145 | $16,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 39,500 | $15,000 | thousands by filing date | put |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 321 | $15,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,039 | $15,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 5,000 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 201 | $15,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 525 | $15,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 4,325 | $15,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 2,054 | $15,000 | thousands by filing date | |
| PARAMETRIC SOUND CORP | 699172201 | COM NEW | 1,065 | $15,000 | thousands by filing date | |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 45,000 | $15,000 | thousands by filing date | principal |
| HARBINGER GROUP INC | 41146A106 | COM | 1,277 | $15,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 5,600 | $15,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055AE7 | NOTE | 11,000 | $15,000 | thousands by filing date | principal |
| KIOR INC - CL A | 497217109 | CL A | 8,800 | $15,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 700 | $15,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 1,354 | $15,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 5,157 | $15,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 4,500 | $15,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 6,000 | $15,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 2,748 | $15,000 | thousands by filing date | |
| MONTAGE TECHNOLOGY GROUP LTD | G6209T105 | SHS | 950 | $15,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 15,500 | $14,000 | thousands by filing date | put |
| CONAGRA FOODS INC | 205887102 | COM | 450,000 | $14,000 | thousands by filing date | put |
| MODINE MFG CO COM | 607828100 | Stock | 1,072 | $14,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 601 | $14,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 501 | $14,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 1,001 | $14,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 754 | $14,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 36,174 | $14,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 1,751 | $14,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 91,000 | $14,000 | thousands by filing date | put |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 1,034 | $14,000 | thousands by filing date | |
| STELLARONE CORP | 85856G100 | COMMON STOCK | 587 | $14,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 450 | $14,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 2,879 | $14,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 8,200 | $14,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 1,750 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 500 | $14,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 311 | $13,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 7,100 | $13,000 | thousands by filing date | put |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 838 | $13,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 501 | $13,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 20,000 | $13,000 | thousands by filing date | put |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,601 | $13,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 25,302 | $13,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,249 | $13,000 | thousands by filing date | |
| ALTERA CORP | 021441100 | COM | 53,700 | $13,000 | thousands by filing date | call |
| REVLON INC | 761525609 | OPT | 523 | $13,000 | thousands by filing date | |
| Nextera Energy, Inc. | 65339F887 | PFD | 231 | $13,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 1,200 | $13,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 1,350 | $13,000 | thousands by filing date | |
| GENCORP INC | 368682100 | COM | 735 | $13,000 | thousands by filing date | |
| SYMMETRY MEDICAL INC | 871546206 | COM | 1,275 | $13,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 2,500 | $13,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 787 | $13,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 101 | $13,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 1,057 | $13,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 332 | $13,000 | thousands by filing date | |
| VALLEY FINL CORP VA | 919629105 | COM | 1,260 | $13,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 83,000 | $12,000 | thousands by filing date | put |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 444 | $12,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,228 | $12,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 538 | $12,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,001 | $12,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 300 | $12,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 810 | $12,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 500 | $12,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 2,240 | $12,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 800 | $12,000 | thousands by filing date | |
| PERRIGO CO PLC F | 714290103 | COM | 77 | $12,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 1,250 | $12,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 1,461 | $12,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 2,489 | $12,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,757 | $12,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 1,170 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 406 | $12,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 206 | $12,000 | thousands by filing date | |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 1,312 | $12,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 1,874 | $12,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 6,000 | $12,000 | thousands by filing date | |
| NEWELL RUBBERMAID INC | 651229AH9 | NOTE 5.500% 3/1 | 3,000 | $12,000 | thousands by filing date | principal |
| Vanguard Real Estate | 922908553 | SHS | 11,600 | $11,000 | thousands by filing date | put |
| VWO | 922042858 | SHS | 20,000 | $11,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 5,055 | $11,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 1,004 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 150 | $11,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 677 | $11,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 601 | $11,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 427 | $11,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 765 | $11,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 175 | $11,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,300 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 331 | $11,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 3,559 | $11,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 3,700 | $11,000 | thousands by filing date | call |
| MECHEL OAO | 583840103 | SPONSORED ADR | 4,113 | $11,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 1,430 | $11,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 1,502 | $11,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 540 | $11,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 10,000 | $11,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D845 | ETN IDX-LKD 20 | 500 | $11,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643507 | ADR PRF SER A | 802 | $11,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,201 | $11,000 | thousands by filing date | |
| MAVENIR SYS INC | 577675101 | COM | 1,000 | $11,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 1,451 | $11,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 6,400 | $10,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 7,900 | $10,000 | thousands by filing date | put |
| SIMULATIONS PLUS INC | 829214105 | COM | 2,001 | $10,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 5,700 | $10,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 200 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 148 | $10,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 751 | $10,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 857 | $10,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 700 | $10,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 600 | $10,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 384 | $10,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 83,700 | $10,000 | thousands by filing date | put |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,141 | $10,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 800 | $10,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 335 | $10,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 3,001 | $10,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 335 | $10,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 2,000 | $10,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 1,550 | $10,000 | thousands by filing date | |
| EASTERN INSURANCE HOLDINGS | 276534104 | COM | 400 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 151 | $10,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 600 | $10,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 600 | $9,000 | thousands by filing date | call |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,415 | $9,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 336 | $9,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 4,500 | $9,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 620 | $9,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 401 | $9,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 301 | $9,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 902 | $9,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 185 | $9,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 606 | $9,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 376 | $9,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 200 | $9,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 569,800 | $9,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 8,000 | $9,000 | thousands by filing date | principal |
| DOUBLE EAGLE PETE CO | 258570209 | COM PAR $0.10 | 4,131 | $9,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 349,300 | $9,000 | thousands by filing date | put |
| LRAD CORP | 50213V109 | COM | 4,650 | $9,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 3,006 | $9,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 2,000 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 300 | $9,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 2,551 | $9,000 | thousands by filing date | |
| POWERSHARES LUX | 73935X633 | LX NANOTCH PTF | 1,211 | $9,000 | thousands by filing date | |
| QUATERRA RES INC | 747952109 | COM | 97,848 | $9,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 400 | $9,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 304 | $9,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 4,500 | $8,000 | thousands by filing date | put |
| PepsiCo,Inc. | 713448108 | COM | 33,600 | $8,000 | thousands by filing date | put |
| Schwab US TIPS ETF | 808524870 | SHS | 156 | $8,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 39,500 | $8,000 | thousands by filing date | call |
| WESTERN UN CO COM | 959802109 | Stock | 12,100 | $8,000 | thousands by filing date | put |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,500 | $8,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 1,000 | $8,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 200 | $8,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,250 | $8,000 | thousands by filing date | |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 35 | $8,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 2,050 | $8,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 329 | $8,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 1,627 | $8,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 1,333 | $8,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 8,853 | $8,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 303 | $8,000 | thousands by filing date | |
| GIVEN IMAGING LTD | M52020100 | ORD | 268 | $8,000 | thousands by filing date | |
| VENTRUS BIOSCIENCES INC | 922822101 | COM | 2,000 | $8,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 173 | $8,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 4,701 | $8,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 505 | $8,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 735 | $8,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 6,746 | $8,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 706 | $8,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 1,456 | $8,000 | thousands by filing date | |
| ZUOAN FASHION LTD | 98982X103 | SPONSORED ADR | 5,000 | $8,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 400 | $8,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,302 | $8,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,134 | $8,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 91,100 | $7,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 8,800 | $7,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 800 | $7,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 362,300 | $7,000 | thousands by filing date | put |
| STAMPS COM INC | 852857200 | COM NEW | 165 | $7,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 193 | $7,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 3,500 | $7,000 | thousands by filing date | call |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 1,000 | $7,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 2,000 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 101 | $7,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 366 | $7,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 450 | $7,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 337 | $7,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 3,000 | $7,000 | thousands by filing date | put |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 5,000 | $7,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 17,000 | $7,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 1,000 | $7,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 1,075 | $7,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 298 | $7,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 1,000 | $7,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 4,266 | $7,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 497 | $7,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 1,010 | $7,000 | thousands by filing date | |
| DENALI FD INC | 24823A102 | COM | 370 | $7,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 100 | $7,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 1,250 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 115 | $7,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 718 | $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 | |
| IKONICS CORP | 45172K102 | COM | 520 | $7,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 1,501 | $7,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 500 | $7,000 | thousands by filing date | |
| KOFAX LTD | G5307C105 | COM USD | 885 | $7,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 60,000 | $6,000 | thousands by filing date | call |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,000 | $6,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 150,000 | $6,000 | thousands by filing date | put |
| YUM BRANDS INC COM | 988498101 | Stock | 10,000 | $6,000 | thousands by filing date | put |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 615 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 2,900 | $6,000 | thousands by filing date | put |
| CODEXIS INC | 192005106 | COM | 4,110 | $6,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 13,300 | $6,000 | thousands by filing date | put |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 529 | $6,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 99 | $6,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 252 | $6,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 270 | $6,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 361 | $6,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,201 | $6,000 | thousands by filing date | |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 601 | $6,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 1,695 | $6,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 338 | $6,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 1,500 | $6,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 221 | $6,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 2,138 | $6,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 2,000 | $6,000 | thousands by filing date | put |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 100 | $6,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 4,063 | $6,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 307 | $6,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 330 | $6,000 | thousands by filing date | |
| FLOW INTL CORP | 343468104 | COM | 1,500 | $6,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 6,500 | $6,000 | thousands by filing date | |
| RICK'S CABARET INTL INC | 765641303 | COM | 500 | $6,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 482 | $6,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 800 | $6,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 566 | $6,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 243 | $6,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 1,350 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347X567 | ULTSHT CHINA 25 | 365 | $6,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 3,000 | $6,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 1,000 | $6,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 200 | $6,000 | thousands by filing date | |
| CSR PLC | 12640Y205 | SPONSORED ADR | 139 | $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 | |
| RITE AID CORP | 767754BU7 | CNV | 3,000 | $6,000 | thousands by filing date | principal |
| SPORT CHALET INC | 849163308 | CLB | 5,075 | $6,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,550 | $6,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 2,564 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 336 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 146 | $6,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 3,900 | $5,000 | thousands by filing date | put |
| CME Group Inc. Class A | 12572Q105 | COM | 30,000 | $5,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 8,900 | $5,000 | thousands by filing date | put |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 2,100 | $5,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,431 | $5,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 267 | $5,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 10,000 | $5,000 | thousands by filing date | put |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 3,500 | $5,000 | thousands by filing date | put |
| ADDUS HOMECARE CORP | 006739106 | COM | 235 | $5,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 16,700 | $5,000 | thousands by filing date | put |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 900 | $5,000 | thousands by filing date | put |
| AMERESCO INC | 02361E108 | CL A | 542 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 101 | $5,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 1,001 | $5,000 | thousands by filing date | |
| UNIVERSAL FST PRODS INC | 913543104 | COM | 99 | $5,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 601 | $5,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 201 | $5,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 1,400 | $5,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 750 | $5,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $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 | 421 | $5,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $5,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 135 | $5,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 600 | $5,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 541 | $5,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 1,119 | $5,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 2,290 | $5,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 600 | $5,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 51,500 | $5,000 | thousands by filing date | put |
| POINTS INTL LTD | 730843208 | COM NEW | 205 | $5,000 | thousands by filing date | |
| DOLAN CO/THE | 25659P402 | COM | 7,390 | $5,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,322 | $5,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 312 | $5,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 9,850 | $5,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 20,100 | $5,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 729 | $5,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 3,910 | $5,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 300 | $5,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 151 | $5,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 834 | $5,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $5,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 1,000 | $5,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 903 | $5,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 1,300 | $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 | 3,801 | $5,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 3,000 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 300 | $5,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 188 | $5,000 | thousands by filing date | |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 5,000 | $5,000 | thousands by filing date | principal |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 127 | $5,000 | thousands by filing date | |
| IVANHOE ENERGY INC | 465790301 | COM NEW | 8,332 | $5,000 | thousands by filing date | |
| CIS ACQUISITION LTD | G21490506 | UNIT 99/99/9999 | 500 | $5,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RPJ4 | 0% 01/24/20 | 5,000 | $5,000 | thousands by filing date | principal |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 552 | $5,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 264 | $5,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 264 | $5,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 120 | $5,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 11,500 | $4,000 | thousands by filing date | put |
| Starbucks Corporation | 855244109 | COM | 20,100 | $4,000 | thousands by filing date | put |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 750 | $4,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 86,300 | $4,000 | thousands by filing date | put |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 25,000 | $4,000 | thousands by filing date | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 900 | $4,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 501 | $4,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 515 | $4,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 2,200 | $4,000 | thousands by filing date | put |
| CALIX INC | 13100M509 | COM | 396 | $4,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 301 | $4,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 86 | $4,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 2,400 | $4,000 | thousands by filing date | put |
| FAB UNVL CORP COM | 302771100 | COM | 3,788 | $4,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 283 | $4,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 42,500 | $4,000 | thousands by filing date | put |
| PACTERA TECHNOLOGY INTERNATIONAL | 695255109 | COMMON STOCK-FO | 500 | $4,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 295 | $4,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 151 | $4,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 6,000 | $4,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 501 | $4,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 4,200 | $4,000 | thousands by filing date | call |
| BARCLAYS BK PLC | 06739H263 | FUND | 74 | $4,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 2,450 | $4,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 200 | $4,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 4,600 | $4,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 200 | $4,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 200 | $4,000 | thousands by filing date | |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 600 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 1,501 | $4,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 1,000 | $4,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M589 | GUGG CRP BD 2013 | 198 | $4,000 | thousands by filing date | |
| ESB FINANCIAL CORP | 26884F102 | COM | 300 | $4,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 107 | $4,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 269 | $4,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 2,500 | $4,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 234 | $4,000 | thousands by filing date | |
| COMSTOCK HOLDING COMPANIES | 205684103 | CL A | 2,000 | $4,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 2,150 | $4,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,250 | $4,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 3,123 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A301 | ULTRASHORT EUROP | 235 | $4,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 356 | $4,000 | thousands by filing date | |
| POWERSHARES DYN MAGNIQUANT | 73935X468 | COM | 100 | $4,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 925 | $4,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 2,000 | $4,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 185 | $4,000 | thousands by filing date | |
| ALTO PALERMO S A | 02151P107 | SPONSORED ADR | 200 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 100 | $4,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 336 | $4,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 200 | $4,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 200 | $4,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 1,000 | $4,000 | thousands by filing date | |
| SUNGY MOBILE LTD | 86737M100 | ADR | 200 | $4,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 50,800 | $3,000 | thousands by filing date | put |
| AbbVie,Inc. | 00287Y109 | COM | 51,700 | $3,000 | thousands by filing date | put |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 1,000 | $3,000 | thousands by filing date | put |
| KLA CORP | 482480100 | COM | 100,000 | $3,000 | thousands by filing date | put |
| Pfizer Inc. | 717081103 | COM | 1,600 | $3,000 | thousands by filing date | put |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 1,000 | $3,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 1,600 | $3,000 | thousands by filing date | put |
| Waste Management, Inc. | 94106L109 | COM | 6,100 | $3,000 | thousands by filing date | put |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 1,000 | $3,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,000 | $3,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 2,230 | $3,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 4,100 | $3,000 | thousands by filing date | put |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 501 | $3,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 5,800 | $3,000 | thousands by filing date | put |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 161 | $3,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 700 | $3,000 | thousands by filing date | put |
| 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 | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 75 | $3,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 200 | $3,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 165 | $3,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 334 | $3,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 4,000 | $3,000 | thousands by filing date | put |
| ISTAR INC | 45031U101 | COMMON STOCK | 2,500 | $3,000 | thousands by filing date | put |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 982 | $3,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,000 | $3,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 1,700 | $3,000 | thousands by filing date | put |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 102 | $3,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 500 | $3,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 1,500 | $3,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 1,001 | $3,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 1,048 | $3,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 2,045 | $3,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 3,000 | $3,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 10,396 | $3,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 5,001 | $3,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 2,250 | $3,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 2,000 | $3,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 1,000 | $3,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 200 | $3,000 | 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 |