13F-HR/A filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR/A for the quarter ended 2014-03-31, filed 2014-08-12, with 6,378 holding rows worth $235,217,439,000.
- Accession
- 0000072971-14-000537
- Filer
- CIK 72971
- Filed
- 2014-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A combination report, amendment of type restatement, 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. 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 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 Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
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 |
|---|---|---|---|---|---|---|
| ASM INTERNATIONAL NV | N07045102 | Common Stock | 3,542 | $142,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 14,560 | $142,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 20,360 | $141,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 4,217 | $140,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 27,566 | $139,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 10,714 | $139,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 7,192 | $139,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 5,616 | $138,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 10,451 | $138,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 77,649 | $137,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 4,760 | $137,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 39,243 | $137,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 2,024 | $136,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 8,400 | $136,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 20,172 | $136,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 8,151 | $136,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 174,363 | $136,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 24,134 | $136,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 4,575 | $135,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 18,978 | $135,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 7,310 | $135,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 12,835 | $135,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 9,825 | $135,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 11,614 | $135,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 7,902 | $135,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 15,400 | $134,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 34,500 | $134,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 12,300 | $134,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 5,505 | $134,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 5,455 | $133,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 12,142 | $133,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 8,636 | $132,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 14,372 | $132,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 6,806 | $132,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 12,644 | $131,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 6,307 | $131,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 24,000 | $131,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 120,500 | $130,000 | thousands by filing date | call |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 3,981 | $130,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 5,684 | $130,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 8,735 | $130,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 16,565 | $129,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 10,740 | $129,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 16,001 | $129,000 | thousands by filing date | |
| ELECSYS CORP | 28473M100 | COM | 9,600 | $129,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,336 | $128,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 123,000 | $128,000 | thousands by filing date | principal |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 2,841 | $127,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 9,556 | $127,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 9,326 | $126,000 | thousands by filing date | |
| STANDARD REGISTER CO | 853887206 | COM | 15,580 | $126,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 750,000 | $125,000 | thousands by filing date | call |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 3,242 | $125,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 120,000 | $125,000 | thousands by filing date | call |
| ENERNOC INC | 292764107 | COMMON STOCK | 5,589 | $125,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 58,200 | $125,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 12,656 | $125,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 6,243 | $125,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 2,178 | $125,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 4,564 | $124,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 19,132 | $124,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 8,900 | $124,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 9,836 | $123,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 38,093 | $123,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 2,431 | $123,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 5,342 | $121,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,745 | $121,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 14,768 | $121,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 10,860 | $121,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 8,037 | $121,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 52,600 | $121,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 7,954 | $121,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 4,115 | $120,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 5,174 | $120,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 8,360 | $120,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 150,500 | $119,000 | thousands by filing date | put |
| RAMBUS INC DEL | 750917AC0 | NOTE 5.000% 6/1 | 117,000 | $119,000 | thousands by filing date | principal |
| MARIN SOFTWARE INC | 56804T106 | COM | 11,227 | $119,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,161 | $118,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 8,467 | $118,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,009 | $118,000 | thousands by filing date | |
| AMBIT BIOSCIENCES CORP | 02318X100 | COM | 12,901 | $118,000 | thousands by filing date | |
| ATMI INC | 00207R101 | COM | 3,490 | $118,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 14,667 | $118,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 31,139 | $118,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 5,638 | $117,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 16,573 | $117,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 4,865 | $117,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 12,288 | $117,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 37,678 | $117,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 9,688 | $116,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 5,158 | $116,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 8,282 | $116,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 8,486 | $116,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 124,000 | $116,000 | thousands by filing date | principal |
| Walmart Inc. | 931142103 | COM | 83,500 | $115,000 | thousands by filing date | put |
| XENCOR INC | 98401F105 | COMMON STOCK | 9,800 | $115,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 3,775 | $115,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 44,490 | $115,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 1,902 | $115,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 15,925 | $115,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 3,090 | $115,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 9,346 | $114,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 11,104 | $113,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 10,525 | $113,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 11,678 | $113,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 4,233 | $112,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 5,855 | $112,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 5,198 | $111,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 15,570 | $111,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 14,626 | $111,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 3,435 | $111,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 286,100 | $111,000 | thousands by filing date | put |
| INTEVAC INC | 461148108 | COM | 11,444 | $111,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 3,260 | $111,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 1,900 | $110,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 34,300 | $110,000 | thousands by filing date | call |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 7,903 | $109,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 4,322 | $109,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 2,623 | $109,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,025 | $108,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,209 | $108,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 2,084 | $108,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 22,148 | $108,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 13,185 | $108,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 1,237 | $107,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 3,716 | $107,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 3,712 | $107,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 5,771 | $107,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 1,994 | $106,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 5,771 | $106,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 57,466 | $105,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 24,237 | $105,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 5,551 | $105,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 8,450 | $104,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 2,641 | $103,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 24,691 | $103,000 | thousands by filing date | |
| PARAMETRIC SOUND CORP | 699172201 | COM NEW | 7,336 | $103,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 4,696 | $103,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 282,200 | $102,000 | thousands by filing date | put |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 10,300 | $102,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233606 | CV PFD-E 7.25% | 4,058 | $102,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 16,080 | $102,000 | thousands by filing date | |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 11,056 | $102,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 12,919 | $101,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 23,617 | $101,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 4,236 | $101,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 6,701 | $101,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 10,710 | $100,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 1,800 | $100,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 2,190 | $100,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 3,000 | $100,000 | thousands by filing date | |
| BIOTA PHARMACEUTIALS INC | 090694100 | COM | 16,420 | $100,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 5,499 | $100,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 19,715 | $100,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 426,200 | $99,000 | thousands by filing date | call |
| REALD INC | 75604L105 | COMMON STOCK | 8,870 | $99,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 4,781 | $99,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 7,240 | $99,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 25,902 | $98,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 6,111 | $98,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 2,010 | $97,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 4,229 | $97,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 9,949 | $97,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 5,200 | $97,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 4,881 | $97,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 17,648 | $97,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 5,000 | $97,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 6,700 | $96,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 7,167 | $96,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 3,058 | $96,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 7,034 | $96,000 | thousands by filing date | |
| S.Y. BANCORP INC | 785060104 | COM | 3,037 | $96,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 9,509 | $96,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 7,164 | $95,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 6,448 | $95,000 | thousands by filing date | |
| REGADO BIOSCIENCE INC | 75874Q107 | COM | 7,570 | $95,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 4,382 | $94,000 | thousands by filing date | |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 9,259 | $94,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 13,930 | $94,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 18,452 | $94,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 2,182 | $94,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 5,801 | $94,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 5,001 | $93,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 3,818 | $93,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 2,546 | $93,000 | thousands by filing date | |
| DENDREON CORP | 24823QAB3 | NOTE 4.750% 6/1 | 1,000 | $93,000 | thousands by filing date | principal |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 9,127 | $92,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 45,026 | $92,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 31,000 | $92,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 32,009 | $92,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 28,681 | $92,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 5,083 | $91,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 19,880 | $91,000 | thousands by filing date | |
| NORTH VALLEY BANCORP | 66304M204 | COM NEW | 3,746 | $91,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 4,094 | $90,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 6,234 | $90,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 6,000 | $90,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 23,427 | $90,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 5,701 | $90,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 40,000 | $89,000 | thousands by filing date | put |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 6,445 | $89,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 5,021 | $89,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 7,307 | $89,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 97,000 | $89,000 | thousands by filing date | principal |
| INTELSAT S A | L5140P101 | COM | 4,769 | $89,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 1,633 | $89,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 13,663 | $88,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 8,827 | $88,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS I | 45773H102 | COM | 26,380 | $88,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 5,107 | $88,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 3,228 | $88,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 1,298 | $88,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 2,371 | $87,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 15,088 | $87,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 2,991 | $87,000 | thousands by filing date | |
| REVENUESHARES ADR | 761396605 | ADR FD | 2,214 | $87,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 25,300 | $86,000 | thousands by filing date | put |
| GENCO SHIPPING & TRADING LTD | 36869MAA3 | NOTE 5.000% 8/1 | 105,000 | $86,000 | thousands by filing date | principal |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 81,000 | $86,000 | thousands by filing date | principal |
| GENERAL MTRS CO | 37045V134 | WAR | 30,400 | $86,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 301,300 | $85,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 3,050 | $85,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 7,575 | $85,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 1,221 | $85,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,923 | $85,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 3,239 | $84,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,416 | $84,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 1,186 | $84,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 890 | $84,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 10,634 | $84,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 74,600 | $84,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 745 | $84,000 | thousands by filing date | |
| BACTERIN INTERNATIONAL HLDGS INC. | 05644R101 | COM | 100,000 | $84,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 17,695 | $84,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 2,646 | $83,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 26,151 | $83,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 11,433 | $83,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 7,524 | $83,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 7,551 | $83,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 34,701 | $83,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 34,000 | $83,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 1,089 | $82,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 1,400 | $82,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 14,558 | $81,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,716 | $81,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 6,298 | $81,000 | thousands by filing date | |
| FIRSTBANK CORPORATION | 33761G104 | COMMON STOCK | 4,331 | $81,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 6,107 | $81,000 | thousands by filing date | |
| HERITAGE FINANCIAL GROUP INC | 42726X102 | COM | 4,136 | $81,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 21,655 | $81,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 3,044 | $81,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 5,137 | $80,000 | thousands by filing date | |
| PETROLOGISTICS LP UNIT LTD PARTNERSHIP INT | 71672U101 | COM | 6,457 | $80,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 4,700 | $80,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 76,700 | $79,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 646 | $79,000 | thousands by filing date | |
| HAMPDEN BANCORP INC | 40867E107 | COM | 5,001 | $79,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 4,125 | $79,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 2,997 | $79,000 | thousands by filing date | |
| PIMCO BUILD | 72201R825 | BLD AMER BD FD | 1,586 | $78,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 26,050 | $77,000 | thousands by filing date | |
| MERIDIAN INTERSTAT BANCORP I | 58964Q104 | COM | 3,006 | $77,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 25,690 | $77,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 3,792 | $77,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 3,000 | $76,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 2,001 | $76,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 5,161 | $76,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 5,187 | $76,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 1,759 | $76,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 1,000,000 | $76,000 | thousands by filing date | put |
| BAZAARVOICE INC | 073271108 | COM | 10,450 | $76,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 5,718 | $76,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 32,531 | $76,000 | thousands by filing date | |
| CUSHING ROYALTY | 23164R104 | COM SH BEN INT | 4,101 | $76,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 2,785 | $76,000 | thousands by filing date | |
| FIRST AMERICAN MN MUN INC II | 31849P104 | CMN | 5,401 | $76,000 | thousands by filing date | |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 9,500 | $76,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 247,000 | $75,000 | thousands by filing date | call |
| PEABODY ENERGY CORP | 704549104 | COM | 100,000 | $75,000 | thousands by filing date | call |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 1,655 | $75,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 2,936 | $75,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 1,840 | $75,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 45,502 | $75,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 1,167 | $75,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 1,202 | $74,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 1,445 | $74,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 3,709 | $74,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 6,711 | $74,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 5,010 | $74,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 75,000 | $73,000 | thousands by filing date | put |
| FIVE BELOW INC COM | 33829M101 | Stock | 60,000 | $73,000 | thousands by filing date | call |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 3,898 | $73,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 5,545 | $73,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 17,496 | $73,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 8,023 | $73,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 1,102 | $72,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 2,900 | $72,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 3,349 | $72,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 4,103 | $72,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 37,675 | $72,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,900 | $72,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 5,301 | $72,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 3,188 | $71,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 642 | $71,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 7,936 | $71,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 10,716 | $71,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 5,001 | $71,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 2,058 | $71,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 600 | $70,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 3,471 | $70,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 14,508 | $70,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 1,308 | $70,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 2,798 | $70,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 237,400 | $69,000 | thousands by filing date | call |
| INGLES MKTS INC CL A | 457030104 | Stock | 2,908 | $69,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 1,622 | $69,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 1,437 | $69,000 | thousands by filing date | |
| PHH CORP | 693320AN3 | CORPORATE OBLIG | 58,000 | $69,000 | thousands by filing date | principal |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 23,466 | $69,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 2,817 | $69,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 3,559 | $68,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,457 | $68,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 4,910 | $68,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 5,502 | $68,000 | thousands by filing date | |
| BARNES GROUP INC | 067806AD1 | BOND | 50,000 | $68,000 | thousands by filing date | principal |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 100,000 | $67,000 | thousands by filing date | call |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 1,142 | $67,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 1,606 | $67,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 5,007 | $67,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 15,550 | $67,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 1,576 | $67,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 11,377 | $67,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 5,351 | $67,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 25,000 | $66,000 | thousands by filing date | put |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 5,170 | $66,000 | thousands by filing date | |
| UNIVERSAL FST PRODS INC | 913543104 | COM | 1,198 | $66,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 11,563 | $66,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 2,172 | $66,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 38,501 | $66,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 3,118 | $66,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 129,200 | $65,000 | thousands by filing date | put |
| HURON CONSULTING GROUP INC | 447462102 | COM | 1,025 | $65,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 579 | $65,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 6,730 | $65,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 5,394 | $65,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 24,803 | $64,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 15,873 | $63,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 701 | $63,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 2,171 | $63,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 1,884 | $63,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 7,001 | $63,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 10,665 | $63,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 907 | $63,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 16,421 | $62,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 521 | $62,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 50,000 | $61,000 | thousands by filing date | put |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 2,100 | $61,000 | thousands by filing date | |
| LINEAR TECH INC | 535678AC0 | CORPORATE OBLIG | 51,000 | $61,000 | thousands by filing date | principal |
| Meru Networks, Inc. | 59047Q103 | COM | 13,500 | $61,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 16,611 | $60,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 1,993 | $60,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 12,001 | $60,000 | thousands by filing date | |
| LAKES GAMING INC COM | 51206P109 | COM | 12,000 | $60,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 21,100 | $60,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 3,604 | $60,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 3,328 | $60,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 8,031 | $60,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 15,001 | $60,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 4,964 | $60,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 5,628 | $59,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 4,178 | $59,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 5,247 | $59,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 2,077 | $58,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 2,001 | $58,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 2,075 | $58,000 | thousands by filing date | |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 20,001 | $58,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 1,000 | $58,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 7,001 | $58,000 | thousands by filing date | |
| INTERMUNE INC | 45884XAE3 | NOTE 2.500% 9/1 | 46,000 | $58,000 | thousands by filing date | principal |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 1,116 | $57,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 3,220 | $57,000 | thousands by filing date | |
| MEDIA GENERAL INC | 584404107 | COMMON STOCK | 3,086 | $57,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 10,002 | $57,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 461 | $57,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 2,513 | $57,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 2,284 | $57,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 18,051 | $57,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 4,001 | $56,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 15,401 | $56,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,465 | $56,000 | thousands by filing date | |
| IPC THE HOSPITALIST CO | 44984A105 | COM | 1,124 | $56,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 57,200 | $56,000 | thousands by filing date | call |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,329 | $55,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 10,635 | $55,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 3,713 | $55,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 2,589 | $55,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 5,814 | $55,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 2,066 | $55,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 5,363 | $55,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 1,453 | $54,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 1,799 | $54,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 4,030 | $54,000 | thousands by filing date | |
| ARTHROCARE CORP | 043136100 | COM | 1,111 | $54,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 21,000 | $54,000 | thousands by filing date | principal |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 5,030 | $54,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 535 | $53,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 20,000 | $53,000 | thousands by filing date | put |
| BEACON FINANCIAL CORP. | 084680107 | COM | 2,028 | $53,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 2,645 | $53,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 1,201 | $53,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 1,285 | $53,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,561 | $53,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 5,039 | $53,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 666 | $53,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 102,363 | $53,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 7,478 | $53,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 1,000 | $52,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 3,763 | $52,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 10,985 | $52,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 1,847 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 1,861 | $52,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 4,076 | $52,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 3,601 | $52,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 1,246 | $52,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 8,752 | $51,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,100 | $51,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892507 | CV 8% CUM PFD-D | 2,001 | $51,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 13,030 | $51,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 10,670 | $51,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 2,784 | $51,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 15,733 | $50,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 2,449 | $49,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 11,725 | $49,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 4,001 | $49,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,300 | $49,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 2,303 | $49,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 397 | $49,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 975 | $48,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 85,800 | $48,000 | thousands by filing date | put |
| BEST BUY INC COM | 086516101 | Stock | 100,000 | $48,000 | thousands by filing date | call |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 3,706 | $48,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 3,366 | $48,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 3,332 | $48,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 16,752 | $48,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 3,488 | $48,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 2,201 | $48,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 15,000 | $47,000 | thousands by filing date | call |
| TUCOWS INC | 898697206 | COM NEW | 3,714 | $47,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 60,000 | $47,000 | thousands by filing date | call |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 3,421 | $47,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 2,474 | $47,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 3,225 | $47,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 4,429 | $47,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 3,200 | $46,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 4,250 | $46,000 | thousands by filing date | |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 6,749 | $46,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 2,500 | $45,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 1,898 | $45,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 3,981 | $45,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST | 49803T102 | COMMON STOCK | 7,429 | $45,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 1,533 | $45,000 | thousands by filing date | |
| FRISCH'S RESTAURANTS INC | 358748101 | COM | 1,884 | $45,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 865 | $45,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 11,574 | $45,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 70,000 | $44,000 | thousands by filing date | put |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 1,200 | $44,000 | thousands by filing date | put |
| PREFORMED LINE PRODS CO | 740444104 | COM | 641 | $44,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 1,549 | $44,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,785 | $44,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 4,153 | $44,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 100,000 | $43,000 | thousands by filing date | call |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 1,661 | $43,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 12,147 | $43,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 6,271 | $43,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 2,624 | $43,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 20,348 | $42,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 1,203 | $42,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 1,836 | $42,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,000 | $42,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 4,080 | $42,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 41,000 | $42,000 | thousands by filing date | principal |
| FISHER ENHANCED BIG CAP GROWTH ETN(FBG) | 90267L508 | ETF | 895 | $42,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 17,271 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 408 | $41,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 25,000 | $41,000 | thousands by filing date | call |
| China Yuchai Intl Ltd | G21082105 | COM | 1,924 | $41,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 4,528 | $41,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 4,203 | $41,000 | thousands by filing date | |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 825,313 | $41,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 6,492 | $41,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 13,701 | $41,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 10,156 | $41,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 3,361 | $41,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E481 | GLB X CDA PFD | 3,366 | $41,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 1,277 | $41,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 7,170 | $40,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 67,200 | $40,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 1,375 | $40,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 5,304 | $40,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-14-000443 | superseded | 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 | this filing | 2014-08-12 | acceptance time not in the bulk data set |