13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-12, with 6,378 holding rows worth $235,217,439,000.
- Accession
- 0000072971-14-000443
- Filer
- CIK 72971
- Filed
- 2014-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 19,899 entries on the cover page, a total value of $235,217,439,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $235,217,439,000 with VALUE read as thousands by filing date, 13F file number 028-00165. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- reports for this filerCINQUE PARTNERS LLC028-15192
- included managerPEREGRINE CAPITAL MANAGEMENT INC /MN/028-01523
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney LLC
- included managerWells Fargo Funds Management, LLC028-11406
- included managerNelson Capital Management, LLC028-10450
- included managerMETROPOLITAN WEST CAPITAL MANAGEMENT LLC /CA028-05723
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO ADVISORS, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- included managerGOLDEN CAPITAL 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 |
|---|---|---|---|---|---|---|
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 39,000 | $40,000 | thousands by filing date | principal |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,607 | $40,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 15,200 | $40,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 5,639 | $40,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 38,151 | $40,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 4,197 | $40,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 1,278 | $40,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,001 | $40,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 1,300 | $40,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 90,900 | $39,000 | thousands by filing date | put |
| CUSHING RENAISSANCE FD | 231647108 | COM | 1,501 | $39,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 5,811 | $39,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 3,401 | $39,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 19,920 | $39,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 52,000 | $39,000 | thousands by filing date | put |
| MELA SCIENCES INC | 55277R100 | COM | 62,603 | $39,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 42,000 | $39,000 | thousands by filing date | principal |
| ERBA DIAGNOSTICS | 29490B101 | COM | 15,060 | $39,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 67,300 | $38,000 | thousands by filing date | put |
| TELETECH HOLDINGS INC | 879939106 | COM | 1,549 | $38,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 28,902 | $38,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 14,200 | $38,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 3,113 | $37,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 1,882 | $37,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 1,454 | $37,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 2,501 | $37,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 1,478 | $37,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,765 | $37,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 2,387 | $37,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 10,000 | $37,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 839 | $37,000 | thousands by filing date | |
| AMER MUN INCOME PORT INC | 027649102 | COM | 2,601 | $37,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 1,534 | $37,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 2,450 | $37,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 8,363 | $36,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 16,917 | $36,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 5,100 | $36,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,300 | $35,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 410 | $35,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 2,425 | $35,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 3,106 | $35,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 8,456 | $35,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 19,301 | $35,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 975 | $35,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 45,000 | $34,000 | thousands by filing date | call |
| PLEXUS CORP COM | 729132100 | Stock | 100,000 | $34,000 | thousands by filing date | put |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,402 | $34,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,801 | $34,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,144 | $34,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 7,185 | $34,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 3,300 | $34,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,481 | $34,000 | thousands by filing date | |
| PMC COMMERCIAL TRUST | 693434102 | SH B | 7,385 | $34,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,350 | $34,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 929 | $33,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 11,501 | $33,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 738 | $33,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 715 | $33,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 491 | $33,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 69 | $33,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 17,100 | $33,000 | thousands by filing date | put |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 1,387 | $33,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 3,223 | $33,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES-CL B | 345550305 | COMMON | 1,753 | $33,000 | thousands by filing date | |
| NUVEEN MASSACHUSETTS | 67072F108 | COM | 2,690 | $33,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 1,609 | $33,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 4,803 | $33,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 956 | $32,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 5,101 | $32,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 2,516 | $32,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 2,149 | $32,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 415 | $32,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 66,538 | $32,000 | thousands by filing date | |
| ETFS WHITE METALS BASKET TR | 26923B104 | PHY WM BSK SHS | 800 | $32,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 35,000 | $32,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 4,572 | $32,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,600 | $32,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 6,704 | $32,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 1,547 | $31,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 756 | $31,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 1,400 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 535 | $31,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 2,365 | $31,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 3,553 | $31,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 500 | $31,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 1,265 | $31,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 3,226 | $31,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 394,800 | $30,000 | thousands by filing date | call |
| Starbucks Corporation | 855244109 | COM | 17,100 | $30,000 | thousands by filing date | put |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 2,282 | $30,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 76,700 | $30,000 | thousands by filing date | put |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 2,003 | $30,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 2,570 | $30,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 5,967 | $30,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 50,000 | $30,000 | thousands by filing date | call |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 4,915 | $30,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 7,200 | $30,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,758 | $30,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 23,100 | $30,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 7,547 | $30,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG | 03938LAK0 | NOTE 5.000% 5/1 | 30,000 | $30,000 | thousands by filing date | principal |
| ENVIVIO INC | 29413T106 | COM | 9,800 | $30,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 5,650 | $30,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 5,927 | $30,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 6,100 | $30,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 800 | $30,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 728 | $29,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 44,400 | $29,000 | thousands by filing date | call |
| AMERICAN PUB ED INC | 02913V103 | COM | 816 | $29,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 475 | $29,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 728 | $29,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,757 | $29,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 1,365 | $29,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 600 | $29,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 94,834 | $29,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 2,896 | $29,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 1,253 | $29,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,121 | $29,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,600 | $29,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 800 | $29,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 730 | $29,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 2,596 | $29,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,000 | $28,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 808 | $28,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,225 | $28,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,247 | $28,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 6,000 | $28,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 1,331 | $28,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 5,618 | $28,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 3,161 | $28,000 | thousands by filing date | |
| MASTEC INC | 576323AM1 | NOTE 4.250%12/1 | 10,000 | $28,000 | thousands by filing date | principal |
| NUVEEN CA MUN MKT OPPORTUNT | 67062U107 | COM | 2,001 | $28,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 23,000 | $28,000 | thousands by filing date | principal |
| REEDS INC COM | 758338107 | Stock | 5,000 | $28,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 3,201 | $28,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 15,196 | $28,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 2,000 | $28,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 1,501 | $27,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 11,153 | $27,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 52,048 | $27,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 1,400 | $27,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 25,000 | $27,000 | thousands by filing date | principal |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 2,101 | $27,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 1,000 | $27,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 793 | $27,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,001 | $27,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 2,890 | $27,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 883 | $27,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 52,600 | $26,000 | thousands by filing date | put |
| SIGMATRON INTL INC | 82661L101 | COM | 2,200 | $26,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23338T101 | COM | 2,001 | $26,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 3,800 | $26,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 655 | $26,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 800 | $26,000 | thousands by filing date | |
| HELIOS ADVANTAGE INCOME FD I | 42327W206 | COM NEW | 2,788 | $26,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 5,768 | $25,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 2,800 | $25,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,001 | $25,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 30,800 | $25,000 | thousands by filing date | put |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 827 | $25,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 2,471 | $25,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 1,101 | $25,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 1,882 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 1,106 | $25,000 | thousands by filing date | |
| ISHARES TR | 464288190 | FTSE CHINA ETF | 545 | $25,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U381 | GERMANY SM CAP | 800 | $25,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 3,486 | $25,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 25,100 | $24,000 | thousands by filing date | put |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 619 | $24,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 408 | $24,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,429 | $24,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 35,000 | $24,000 | thousands by filing date | call |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,300 | $24,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 1,050 | $24,000 | thousands by filing date | |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 3,000 | $24,000 | thousands by filing date | |
| ISHARES INC | 464286566 | MSCI EMKT EUR | 1,043 | $24,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 8,447 | $24,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 2,002 | $24,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,534 | $23,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 10,600 | $23,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,711 | $23,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 201 | $23,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,954 | $23,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 21 | $23,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 13,000 | $23,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 1,242 | $23,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 4,001 | $23,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 7,000 | $23,000 | thousands by filing date | |
| NB & T FINL GROUP INC | 62874M104 | COM | 1,228 | $23,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 48,700 | $22,000 | thousands by filing date | put |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 3,400 | $22,000 | thousands by filing date | put |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 2,136 | $22,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 1,365 | $22,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 386 | $22,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,000 | $22,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 905 | $22,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $22,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 2,250 | $22,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 700 | $22,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 3,001 | $22,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 4,251 | $22,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 10,376 | $22,000 | thousands by filing date | |
| DWS STRATEGIC INCOME TR | 23338N104 | SHS | 1,701 | $22,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 1,180 | $22,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 22,020 | $21,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 426 | $21,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 794 | $21,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 260 | $21,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,001 | $21,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,701 | $21,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 1,831 | $21,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 996 | $21,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,150 | $21,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 6,500 | $21,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 11,102 | $21,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 2,013 | $21,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 1,501 | $21,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 532 | $21,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 2,800 | $21,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 1,865 | $21,000 | thousands by filing date | |
| UBS AG JERSEY BRANCH | 902664408 | LNK WELLS FRGO | 601 | $21,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 1,000 | $21,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 15,200 | $20,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 43,200 | $20,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 60,000 | $20,000 | thousands by filing date | call |
| POWELL INDS INC | 739128106 | COM | 306 | $20,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 415 | $20,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 1,000 | $20,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 1,000 | $20,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 366 | $20,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 20,000 | $20,000 | thousands by filing date | principal |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 1,195 | $20,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 2,604 | $20,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 3,333 | $20,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 15,000 | $20,000 | thousands by filing date | principal |
| INTERVEST BANCSHARES CORP-A | 460927106 | COM | 2,753 | $20,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 220 | $20,000 | thousands by filing date | |
| RF MICRO DEVICES INC | 749941AJ9 | NOTE | 19,000 | $20,000 | thousands by filing date | principal |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 4,899 | $20,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 1,000 | $20,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 7,025 | $20,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 8,000 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 443 | $20,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,800 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 540 | $19,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 2,200 | $19,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 14,221 | $19,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 50,000 | $18,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 533 | $18,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,000 | $18,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 1,000 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 201 | $18,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 8,000 | $18,000 | thousands by filing date | put |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,451 | $18,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 650 | $18,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AH2 | BOND | 20,000 | $18,000 | thousands by filing date | principal |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 15,000 | $18,000 | thousands by filing date | principal |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 646 | $18,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,021 | $18,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 5,000 | $18,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 713 | $17,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 137,800 | $17,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 430 | $17,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 1,355 | $17,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,750 | $17,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 503 | $17,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 1,800 | $17,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 2,251 | $17,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 10,001 | $17,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 787 | $17,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 1,000 | $17,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,172 | $17,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 2,282 | $17,000 | thousands by filing date | |
| CAROLINA TR BK LINCOLNTON NC | 144200102 | COM | 4,000 | $17,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 1,529 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 520 | $17,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 3,225 | $17,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R109 | SEL LC VAL ETF | 400 | $17,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 800 | $17,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 17,900 | $16,000 | thousands by filing date | put |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,281 | $16,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,468 | $16,000 | thousands by filing date | |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 2,000 | $16,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 15,000 | $16,000 | thousands by filing date | principal |
| REVLON INC | 761525609 | OPT | 628 | $16,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 1,200 | $16,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 1,986 | $16,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 8,200 | $16,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,000 | $16,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 6,261 | $16,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 700 | $16,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643507 | ADR PRF SER A | 899 | $16,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 38,400 | $15,000 | thousands by filing date | put |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 298 | $15,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 320 | $15,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 838 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 201 | $15,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,234 | $15,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 503 | $15,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 1,555 | $15,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 1,350 | $15,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 11,336 | $15,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 4,579 | $15,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 540 | $15,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 426 | $15,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 2,206 | $15,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 16,000 | $15,000 | thousands by filing date | principal |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 454 | $15,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 16,100 | $14,000 | thousands by filing date | put |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $14,000 | thousands by filing date | put |
| MONROE CAPITAL CORP | 610335101 | COM | 1,000 | $14,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 340 | $14,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,000 | $14,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 1,974 | $14,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 31,302 | $14,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 100,000 | $14,000 | thousands by filing date | call |
| CZR | 127686103 | Stock | 737 | $14,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 1,700 | $14,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 265,100 | $14,000 | thousands by filing date | call |
| INVENTURE FOODS INC | 461212102 | COM | 1,000 | $14,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 1,000 | $14,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 1,058 | $14,000 | thousands by filing date | |
| VALLEY FINL CORP VA | 919629105 | COM | 1,260 | $14,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 1,501 | $14,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 891 | $13,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 50,000 | $13,000 | thousands by filing date | put |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 2,900 | $13,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 754 | $13,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $13,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 726 | $13,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,601 | $13,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 2,240 | $13,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 77,500 | $13,000 | thousands by filing date | call |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 450 | $13,000 | thousands by filing date | |
| CABLEVISION SYS CORP | 12686C109 | CL A NY CABLVS | 60,000 | $13,000 | thousands by filing date | call |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 1,000 | $13,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,931 | $13,000 | thousands by filing date | |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 701 | $13,000 | thousands by filing date | |
| GENCORP INC | 368682100 | COM | 729 | $13,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 5,599 | $13,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 900 | $13,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 4,701 | $13,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 14,300 | $13,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 100 | $13,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,047 | $13,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U530 | LAT AM SML CAP | 673 | $13,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 520 | $13,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 11,500 | $12,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 50,000 | $12,000 | thousands by filing date | call |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 444 | $12,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 7,800 | $12,000 | thousands by filing date | put |
| INSTEEL INDS INC | 45774W108 | COM | 601 | $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 | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 630 | $12,000 | thousands by filing date | |
| FAB UNVL CORP COM | 302771100 | COM | 3,788 | $12,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 855 | $12,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 300 | $12,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 366 | $12,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,001 | $12,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 650 | $12,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 3,675 | $12,000 | thousands by filing date | |
| Nextera Energy, Inc. | 65339F887 | PFD | 200 | $12,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 1,125 | $12,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 3,571 | $12,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 1,913 | $12,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 2,203 | $12,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 10,000 | $12,000 | thousands by filing date | principal |
| LIPOSCIENCE INC | 53630M108 | COM | 3,850 | $12,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 661 | $12,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 750 | $12,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 50,700 | $11,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 12,800 | $11,000 | thousands by filing date | put |
| FASTENAL CO COM | 311900104 | Stock | 20,000 | $11,000 | thousands by filing date | call |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 14,300 | $11,000 | thousands by filing date | put |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 150 | $11,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 856 | $11,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 701 | $11,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 1,500 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 331 | $11,000 | thousands by filing date | |
| MYLAN INC | 628530AJ6 | CORPORATE OBLIG | 3,000 | $11,000 | thousands by filing date | principal |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 500 | $11,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 8,400 | $11,000 | thousands by filing date | put |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 9,200 | $11,000 | thousands by filing date | |
| DOUBLE EAGLE PETE CO | 258570209 | COM PAR $0.10 | 4,131 | $11,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 979 | $11,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 623 | $11,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 500 | $11,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 2,500 | $11,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 14,767 | $11,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P143 | RBS NASD LKD41 | 300 | $11,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 600 | $11,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 20,900 | $10,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 5,000 | $10,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 3,000 | $10,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 500 | $10,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,001 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 148 | $10,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 800 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 383 | $10,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,300 | $10,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 2,538 | $10,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 10,100 | $10,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,001 | $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 | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 3,065 | $10,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 336 | $10,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 587 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 151 | $10,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 250 | $10,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 699 | $10,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 4,157 | $10,000 | thousands by filing date | |
| ZUOAN FASHION LTD | 98982X103 | SPONSORED ADR | 5,000 | $10,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 600 | $10,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 2,935 | $10,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 15,000 | $10,000 | thousands by filing date | |
| AMERICAN AIRLS GROUP INC | 02376R409 | PFD A MAND CV ADDED | 376 | $10,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 9,300 | $9,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 6,313 | $9,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 1,000 | $9,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 302 | $9,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 246 | $9,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 500 | $9,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 701 | $9,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 185 | $9,000 | thousands by filing date | |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 36 | $9,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 172 | $9,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,140 | $9,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 3,000 | $9,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,447 | $9,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 3,301 | $9,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 8,703 | $9,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 488 | $9,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 4,526 | $9,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 400 | $9,000 | thousands by filing date | |
| MAVENIR SYS INC | 577675101 | COM | 500 | $9,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 6,000 | $9,000 | thousands by filing date | principal |
| AASTROM BIOSCIENCES INC | 00253U404 | COM PAR$ | 2,028 | $9,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 8,900 | $8,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 28,800 | $8,000 | thousands by filing date | put |
| PAN AMERN SILVER CORP | 697900108 | COM | 2,500 | $8,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 1,500 | $8,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 200 | $8,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 339 | $8,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,250 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 101 | $8,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 691 | $8,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 423 | $8,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,000 | $8,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 2,000 | $8,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 8,000 | $8,000 | thousands by filing date | principal |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 1,313 | $8,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 303 | $8,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,333 | $8,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 505 | $8,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 6,000 | $8,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 4,000 | $8,000 | thousands by filing date | principal |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 3,805 | $8,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 660 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 408 | $8,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 3,000 | $8,000 | thousands by filing date | principal |
| CITIZENS FIRST CORP | 17462Q107 | COM | 718 | $8,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,550 | $8,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 2,564 | $8,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 400 | $8,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 250 | $8,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 536 | $8,000 | thousands by filing date | |
| KOFAX LTD | G5307C105 | COM USD | 885 | $8,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 20,500 | $7,000 | thousands by filing date | put |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 6,200 | $7,000 | thousands by filing date | put |
| M/I HOMES INC | 55305B101 | COM | 291 | $7,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 325 | $7,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,201 | $7,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 1,000 | $7,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 6,000 | $7,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 30,800 | $7,000 | thousands by filing date | call |
| MECHEL OAO | 583840103 | SPONSORED ADR | 3,401 | $7,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 100 | $7,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 12,000 | $7,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 2,000 | $7,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 3,710 | $7,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $7,000 | thousands by filing date | |
| DAWSON GEOPHYSICAL CO | 239359102 | COM | 254 | $7,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 4,541 | $7,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 1,878 | $7,000 | thousands by filing date | |
| CSR PLC | 12640Y205 | SPONSORED ADR | 139 | $7,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 501 | $7,000 | thousands by filing date | |
| Poage Bankshares, Inc. | 730206109 | Common Stock | 500 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 115 | $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 | |
| Coupons Com Inc | 22265J102 | Common Stock | 300 | $7,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 1,080 | $7,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,134 | $7,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 625 | $7,000 | thousands by filing date | |
| AETRIUM INC | 00817R202 | COM NEW | 1,500 | $7,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 16,900 | $6,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 200,000 | $6,000 | thousands by filing date | call |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 116 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-14-000443 | this filing | 2014-05-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000072971-14-000466 | superseded | 2014-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000072971-14-000537 | base | 2014-08-12 | acceptance time not in the bulk data set |