13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-12, with 6,530 holding rows worth $242,708,268,000.
- Accession
- 0000072971-14-000538
- 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 Q2 2014
A combination report, 21,039 entries on the cover page, a total value of $242,708,268,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $242,708,268,000 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 Management, LLC028-11406
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney LLC
- included managerNelson Capital Management, LLC028-10450
- included managerMETROPOLITAN WEST CAPITAL MANAGEMENT LLC /CA028-05723
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO ADVISORS, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
- included managerRock Creek Group, LP028-13780
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 |
|---|---|---|---|---|---|---|
| KEY TRONIC CORP | 493144109 | COM | 1,471 | $15,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 1,260 | $15,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 795 | $15,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 725 | $15,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 10,000 | $15,000 | thousands by filing date | put |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 718 | $15,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,000 | $15,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 5,284 | $15,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 6,533 | $15,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 1,894 | $15,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786U101 | COM | 298 | $15,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 3,225 | $15,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 3,400 | $14,000 | thousands by filing date | put |
| WEYCO GROUP INC COM | 962149100 | Stock | 517 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 193 | $14,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 1,538 | $14,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 397 | $14,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 2,468 | $14,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 811 | $14,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 507 | $14,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 6,650 | $14,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 858 | $14,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 998 | $14,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 100 | $14,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,701 | $14,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 505 | $14,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,140 | $14,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 2,646 | $14,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 1,151 | $14,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 1,744 | $14,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,047 | $14,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U530 | LAT AM SML CAP | 673 | $14,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 991 | $14,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 493 | $14,000 | thousands by filing date | |
| AUSPEX PHARMACE | 05211J102 | Common Stock | 619 | $14,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 1,419 | $14,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 311 | $14,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 16,700 | $13,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 186,900 | $13,000 | thousands by filing date | put |
| VWO | 922042858 | SHS | 19,400 | $13,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 5,000 | $13,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 810 | $13,000 | thousands by filing date | |
| CBS OUTDOOR AMERICAS INC | 14987J106 | COMMON STOCK | 7,300 | $13,000 | thousands by filing date | put |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 11,500 | $13,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 2,916 | $13,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 4,565 | $13,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 1,188 | $13,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 715 | $13,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 2,048 | $13,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 2,489 | $13,000 | thousands by filing date | |
| NASB FINANCIAL INC | 628968109 | COM | 563 | $13,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,244 | $13,000 | thousands by filing date | |
| LIPOSCIENCE INC | 53630M108 | COM | 3,850 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 635 | $13,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 8,054 | $13,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 6,001 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 500 | $13,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 520 | $13,000 | thousands by filing date | |
| AMERICAN EAGLE ENERGY | 02554F300 | COM | 2,164 | $13,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 3,130 | $13,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063209 | ADR NEW | 357 | $13,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 5,300 | $12,000 | thousands by filing date | put |
| QUANTA SVCS INC | 74762E102 | COM | 120,500 | $12,000 | thousands by filing date | call |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 782 | $12,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 444 | $12,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 4,201 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 150 | $12,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 439 | $12,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 167 | $12,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 878 | $12,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 501 | $12,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $12,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,456 | $12,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 500 | $12,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,000 | $12,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 571 | $12,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 952 | $12,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 152 | $12,000 | thousands by filing date | |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 909 | $12,000 | thousands by filing date | |
| MYLAN INC | 628530AJ6 | CORPORATE OBLIG | 3,000 | $12,000 | thousands by filing date | principal |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 647 | $12,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 450 | $12,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 3,571 | $12,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 828 | $12,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 2,524 | $12,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,318 | $12,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 1,597 | $12,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 10,001 | $12,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,680 | $12,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 9,000 | $12,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 2,250 | $12,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 996 | $12,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 3,093 | $12,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 4,701 | $12,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 3,911 | $12,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 3,794 | $12,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 685 | $12,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 4,900 | $12,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AH2 | BOND | 20,000 | $12,000 | thousands by filing date | principal |
| NEOSTEM INC | 640650404 | Common equity shares | 1,784 | $12,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 1,055 | $12,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,301 | $11,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 316 | $11,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 29,200 | $11,000 | thousands by filing date | put |
| HACKETT GROUP INC | 404609109 | COM | 1,831 | $11,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,946 | $11,000 | thousands by filing date | |
| GOOGLE INC | 38259P706 | CL C | 900 | $11,000 | thousands by filing date | call |
| ESCALADE INC | 296056104 | COMMON STOCK | 706 | $11,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,000 | $11,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 624 | $11,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,001 | $11,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,938 | $11,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 11,153 | $11,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,531 | $11,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 3,155 | $11,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 532 | $11,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 411 | $11,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 533 | $11,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 895 | $11,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 5,001 | $11,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 801 | $11,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 319 | $11,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 14,300 | $11,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 782 | $11,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,866 | $11,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P143 | RBS NASD LKD41 | 300 | $11,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 1,547 | $11,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 10,000 | $11,000 | thousands by filing date | principal |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 4,000 | $11,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 1,456 | $11,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 365 | $11,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 5,000 | $10,000 | thousands by filing date | put |
| TRANSCAT INC | 893529107 | COM | 1,000 | $10,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 258 | $10,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 1,179 | $10,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 8,000 | $10,000 | thousands by filing date | put |
| UFP TECHNOLOGIES INC | 902673102 | COM | 432 | $10,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,090 | $10,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 403 | $10,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 270 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 383 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 331 | $10,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,077 | $10,000 | thousands by filing date | |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 810 | $10,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 1,002 | $10,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 2,692 | $10,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 1,098 | $10,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 740 | $10,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 11,261 | $10,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 8,703 | $10,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 572 | $10,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 1,418 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 151 | $10,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 540 | $10,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 400 | $10,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 500,000 | $10,000 | thousands by filing date | call |
| VITAL THERAPIES INC | 92847R104 | COM | 368 | $10,000 | thousands by filing date | |
| MAVENIR SYS INC | 577675101 | COM | 687 | $10,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 2,080 | $10,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 1,000 | $10,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 635 | $10,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 500 | $10,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 1,409 | $10,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,091 | $9,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 141 | $9,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 100 | $9,000 | thousands by filing date | put |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 701 | $9,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,001 | $9,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 801 | $9,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 667 | $9,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,300 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 101 | $9,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,367 | $9,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 1,503 | $9,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 9,200 | $9,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 2,418 | $9,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 89 | $9,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 2,500 | $9,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 531 | $9,000 | thousands by filing date | |
| SIMPLICITY BANCORP INC | 828867101 | COM | 525 | $9,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 2,172 | $9,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 8,000 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 408 | $9,000 | thousands by filing date | |
| ZUOAN FASHION LTD | 98982X103 | SPONSORED ADR | 5,000 | $9,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 303 | $9,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 602 | $9,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 120,300 | $8,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 64,700 | $8,000 | thousands by filing date | call |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 300 | $8,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 109 | $8,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 500 | $8,000 | thousands by filing date | put |
| FASTENAL CO COM | 311900104 | Stock | 20,000 | $8,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 430 | $8,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 656 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 101 | $8,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,200 | $8,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 255 | $8,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,112 | $8,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 429 | $8,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 839 | $8,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,134 | $8,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 2,175 | $8,000 | thousands by filing date | |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 1,312 | $8,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 3,301 | $8,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 1,802 | $8,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 63 | $8,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 505 | $8,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 3,000 | $8,000 | thousands by filing date | principal |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 2,203 | $8,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 300 | $8,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 3,805 | $8,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 800 | $8,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 1,644 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 300 | $8,000 | thousands by filing date | |
| HELIOS ADVANTAGE INCOME FD I | 42327W206 | COM NEW | 789 | $8,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,550 | $8,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 504 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 184 | $8,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 345 | $8,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 2,844 | $8,000 | thousands by filing date | |
| NORCRAFT COS INC | 65557Y105 | COM | 529 | $8,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 2,241 | $8,000 | thousands by filing date | |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 529 | $8,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 5,000 | $7,000 | thousands by filing date | put |
| PepsiCo,Inc. | 713448108 | COM | 50,000 | $7,000 | thousands by filing date | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 1,768 | $7,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 2,000 | $7,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 4,000 | $7,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,500 | $7,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 738 | $7,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 2,000 | $7,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 491 | $7,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 234,700 | $7,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 075896100 | COM | 182,100 | $7,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F104 | COM SER A | 3,100 | $7,000 | thousands by filing date | put |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 340 | $7,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,000 | $7,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 300 | $7,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 500 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 132 | $7,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 5,200 | $7,000 | thousands by filing date | call |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 8,001 | $7,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 28,400 | $7,000 | thousands by filing date | call |
| MECHEL OAO | 583840103 | SPONSORED ADR | 3,001 | $7,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 941 | $7,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 788 | $7,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 3,000 | $7,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 4,579 | $7,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,500 | $7,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,200 | $7,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 1,094 | $7,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 4,541 | $7,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 500 | $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 | 117 | $7,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 718 | $7,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 128 | $7,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 2,564 | $7,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 205 | $7,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 563 | $7,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 300 | $7,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 2,000 | $7,000 | thousands by filing date | principal |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 250 | $7,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 925 | $7,000 | thousands by filing date | |
| REGADO BIOSCIENCE INC | 75874Q107 | COM | 1,099 | $7,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 11,200 | $6,000 | thousands by filing date | put |
| WALGREEN CO | 931422109 | COM | 25,100 | $6,000 | thousands by filing date | put |
| FIVE9 INC | 338307101 | COM | 868 | $6,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 30,000 | $6,000 | thousands by filing date | put |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 253 | $6,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 12,500 | $6,000 | thousands by filing date | put |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 98 | $6,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 142 | $6,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 229 | $6,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 201 | $6,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 759 | $6,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 170 | $6,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 293 | $6,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 850 | $6,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 801 | $6,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 6,000 | $6,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 501 | $6,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 1,784 | $6,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,322 | $6,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 310 | $6,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 2,167 | $6,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 2,250 | $6,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 299 | $6,000 | thousands by filing date | |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 140 | $6,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 2,000 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 146 | $6,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 6,000 | $6,000 | thousands by filing date | principal |
| iShares Silver Trust | 46428Q109 | COM | 49,600 | $5,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 21,400 | $5,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 60,000 | $5,000 | thousands by filing date | call |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 500 | $5,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 558 | $5,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 200 | $5,000 | thousands by filing date | put |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 350 | $5,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 50,000 | $5,000 | thousands by filing date | call |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,943 | $5,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 335 | $5,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 360 | $5,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 1,168 | $5,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 900 | $5,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 201 | $5,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 568 | $5,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 212 | $5,000 | thousands by filing date | |
| 38259p508 | COM | 900 | $5,000 | thousands by filing date | call | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 175 | $5,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 312 | $5,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 3,566 | $5,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 727 | $5,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 2,330 | $5,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 3,500 | $5,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 2,804 | $5,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 230 | $5,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 12,200 | $5,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 1,567 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 300 | $5,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 188 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 233 | $5,000 | thousands by filing date | |
| SPORT CHALET INC | 849163308 | CLB | 5,075 | $5,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 525 | $5,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 1,000 | $5,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 482 | $5,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 426 | $5,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 500 | $5,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 906 | $5,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 34,300 | $4,000 | thousands by filing date | call |
| Philip Morris International Inc. | 718172109 | COM | 16,000 | $4,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 13,000 | $4,000 | thousands by filing date | call |
| UNIQURE NV | N90064101 | SHS | 300 | $4,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 50,000 | $4,000 | thousands by filing date | put |
| MASTEC INC COM | 576323109 | Stock | 48,600 | $4,000 | thousands by filing date | call |
| STANTEC INC COM | 85472N109 | Stock | 59 | $4,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 501 | $4,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 935 | $4,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 2,795 | $4,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 76 | $4,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 1,001 | $4,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 301 | $4,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 878 | $4,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 530 | $4,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 400 | $4,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 1,300 | $4,000 | thousands by filing date | put |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 1,400 | $4,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 271 | $4,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 2,290 | $4,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 368 | $4,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 208 | $4,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 949 | $4,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 368 | $4,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 586 | $4,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 500 | $4,000 | thousands by filing date | |
| ARRIS GROUP INC | 04270V106 | COM | 22,200 | $4,000 | thousands by filing date | put |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 1,004 | $4,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 1,000 | $4,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 1,755 | $4,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 4,000 | $4,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 2,654 | $4,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 605 | $4,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 1,300 | $4,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,250 | $4,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 300 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 150 | $4,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 357 | $4,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 925 | $4,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 4,350 | $4,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 2,000 | $4,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 2,500 | $4,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 2,700 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K833 | MTL SHRT ETN38 | 200 | $4,000 | thousands by filing date | |
| MONTAGE TECHNOLOGY GROUP LTD | G6209T105 | SHS | 200 | $4,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 3,226 | $4,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 70,567 | $4,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 1,249 | $4,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q141 | RIGHT 07/18/2014 | 26,100 | $4,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 50,500 | $3,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 3,100 | $3,000 | thousands by filing date | put |
| Vanguard Real Estate | 922908553 | SHS | 9,900 | $3,000 | thousands by filing date | put |
| EXXON MOBIL CORP | 30231G102 | COM | 39,200 | $3,000 | thousands by filing date | call |
| NEWMONT CORP | 651639106 | COM | 150,000 | $3,000 | thousands by filing date | put |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 200 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 1,000 | $3,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 74 | $3,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 158 | $3,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 161 | $3,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $3,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 763 | $3,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 1,500 | $3,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NE | 611740101 | COM | 3,700 | $3,000 | thousands by filing date | put |
| FORTUNA MNG CORP F | 349915108 | COM | 501 | $3,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 2,450 | $3,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 5,500 | $3,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 2,891 | $3,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 627 | $3,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 1,000 | $3,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 5,000 | $3,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 1,206 | $3,000 | thousands by filing date | |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 2,000 | $3,000 | thousands by filing date | principal |
| MEDIVATION INC | 58501NAA9 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 10,396 | $3,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 1,600 | $3,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 1,001 | $3,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 1,012 | $3,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 2,851 | $3,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 302 | $3,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 2,000 | $3,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 834 | $3,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 400 | $3,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 107 | $3,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 4,024 | $3,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 2,500 | $3,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 1,090 | $3,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 2,000 | $3,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 1,000 | $3,000 | thousands by filing date | principal |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 1,000 | $3,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 3,000 | $3,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 601 | $3,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 619 | $3,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 2,822 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 100 | $3,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 1,184 | $3,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 726 | $3,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 700 | $3,000 | thousands by filing date | |
| Chicopee Bancorp, Inc. | 168565109 | Common Stock | 175 | $3,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 211 | $3,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 1,600 | $3,000 | thousands by filing date | |
| PACIFIC BOOKER MINERALS INC | 69403R108 | COM | 525 | $3,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 218 | $3,000 | thousands by filing date | |
| VILLAGE BK & TR FINANCIAL CO | 92705T101 | COM | 1,989 | $3,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 200 | $3,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 587 | $3,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 5,500 | $3,000 | thousands by filing date | put |
| QUINPARIO ACQUISITION CORP | 74874R108 | COM | 300 | $3,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,700 | $2,000 | thousands by filing date | put |
| Boeing Company | 097023105 | COM | 200 | $2,000 | thousands by filing date | put |
| CME Group Inc. Class A | 12572Q105 | COM | 14,000 | $2,000 | thousands by filing date | put |
| Johnson & Johnson | 478160104 | COM | 900 | $2,000 | thousands by filing date | put |
| MasterCard, Inc | 57636Q104 | COM | 7,500 | $2,000 | thousands by filing date | put |
| McDonalds Corporation | 580135101 | COM | 4,100 | $2,000 | thousands by filing date | put |
| Starbucks Corporation | 855244109 | COM | 15,600 | $2,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 26,800 | $2,000 | thousands by filing date | put |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 1,000 | $2,000 | thousands by filing date | put |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $2,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,000 | $2,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 1,000 | $2,000 | thousands by filing date | call |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 35,000 | $2,000 | thousands by filing date | put |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 100 | $2,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 400 | $2,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 148 | $2,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 151 | $2,000 | thousands by filing date | |
| CBS OUTDOOR AMERICAS INC | 14987J106 | COMMON STOCK | 6,200 | $2,000 | thousands by filing date | call |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 2,000 | $2,000 | thousands by filing date | principal |
| ZION OIL & GAS INC | 989696109 | COM | 1,000 | $2,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 1,200 | $2,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 1,000 | $2,000 | thousands by filing date | principal |
| NOVACOPPER INC | 66988K102 | COM | 2,005 | $2,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| VALHI INC NEW | 918905100 | COM | 331 | $2,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 191 | $2,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 1,000 | $2,000 | thousands by filing date | |
| FRISCH'S RESTAURANTS INC | 358748101 | COM | 96 | $2,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 6,000 | $2,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 1,000 | $2,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 200 | $2,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 800 | $2,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 1,000 | $2,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 100 | $2,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 80 | $2,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 267 | $2,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 19 | $2,000 | thousands by filing date | |
| DOVER SADDLERY INC | 260412101 | COM | 300 | $2,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| ELEMENTS LKD TO S&P CMDTY TR | 4042EP602 | CMN | 376 | $2,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 205 | $2,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 321 | $2,000 | thousands by filing date | |
| XRS CORP | 983845108 | COM | 800 | $2,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 42 | $2,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A300 | WTI CRUDE OIL | 50 | $2,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 112 | $2,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 32 | $2,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 242 | $2,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 242 | $2,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 365 | $2,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 760 | $2,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 15,000 | $2,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 50,900 | $1,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 400 | $1,000 | thousands by filing date | put |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 1,000 | $1,000 | thousands by filing date | put |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 500 | $1,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 41,500 | $1,000 | thousands by filing date | put |
| Oracle Corporation | 68389X105 | COM | 600 | $1,000 | thousands by filing date | put |
| Pfizer Inc. | 717081103 | COM | 1,000 | $1,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 5,200 | $1,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 30,700 | $1,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-14-000538 | this filing | 2014-08-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000072971-14-000561 | base | 2014-08-29 | acceptance time not in the bulk data set |