13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-06, with 6,581 holding rows worth $238,686,172,000.
- Accession
- 0000072971-14-000598
- Filer
- CIK 72971
- Filed
- 2014-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A combination report, 19,478 entries on the cover page, a total value of $238,686,172,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $238,686,172,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerCINQUE PARTNERS LLC028-15192
- included managerPEREGRINE CAPITAL MANAGEMENT INC /MN/028-01523
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Management, LLC028-11406
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney LLC
- included managerNelson Capital Management, LLC028-10450
- included managerMETROPOLITAN WEST CAPITAL MANAGEMENT LLC /CA028-05723
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO ADVISORS, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- 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 |
|---|---|---|---|---|---|---|
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 763 | $42,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,266 | $42,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 1,390 | $42,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 5,200 | $42,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,701 | $41,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 886 | $41,000 | thousands by filing date | |
| MATTRESS FIRM HLDG CORP | 57722W106 | COM | 689 | $41,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 6,692 | $41,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 7,380 | $41,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 12,075 | $41,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 6,823 | $41,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 9,861 | $41,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,164 | $41,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 2,271 | $41,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E481 | GLB X CDA PFD | 3,366 | $41,000 | thousands by filing date | |
| ONEMAIN HOLDINGS | 85172J101 | COM | 1,281 | $41,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 20,000 | $40,000 | thousands by filing date | put |
| PREFORMED LINE PRODS CO | 740444104 | COM | 764 | $40,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 2,500 | $40,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 12,200 | $40,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 10,822 | $40,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,000 | $40,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 41,000 | $40,000 | thousands by filing date | principal |
| MARIN SOFTWARE INC | 56804T106 | COM | 4,713 | $40,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 14,435 | $39,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 1,293 | $39,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 44,200 | $39,000 | thousands by filing date | call |
| REVLON INC | 761525609 | OPT | 1,202 | $39,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 3,514 | $39,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 2,791 | $39,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 7,600 | $39,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 2,060 | $39,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 40,000 | $39,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 1,533 | $39,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 2,000 | $38,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 333 | $38,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 7,485 | $38,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 16,967 | $38,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 6,651 | $38,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 28,000 | $38,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 2,262 | $38,000 | thousands by filing date | |
| EXLSERVICE HLDGS INC COM | 302081104 | Stock | 1,503 | $37,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 47,500 | $37,000 | thousands by filing date | put |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 11,000 | $37,000 | thousands by filing date | call |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 575 | $37,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 773 | $37,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,808 | $37,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 7,885 | $37,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 10,189 | $37,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 3,747 | $37,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 4,295 | $37,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 5,278 | $37,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 987 | $37,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 735 | $36,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 97 | $36,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,546 | $36,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 3,028 | $36,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,105 | $36,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 9,761 | $36,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 1,814 | $36,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 736 | $36,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R700 | 7-15 YR US TRS | 434 | $36,000 | thousands by filing date | |
| NB & T FINL GROUP INC | 62874M104 | COM | 1,228 | $36,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94986RQJ3 | 0% 01/24/20 | 32,000 | $36,000 | thousands by filing date | principal |
| ALASKA COMMUNICATIONS SYSTEMS GROUP INC | 01167PAE1 | CV SR SUB NT | 45,000 | $36,000 | thousands by filing date | principal |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 6,200 | $36,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 53,200 | $35,000 | thousands by filing date | call |
| AH RLTY TR INC | 04208T108 | COM | 3,886 | $35,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 13 | $35,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 621 | $35,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 5,900 | $35,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 2,001 | $35,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 7,076 | $35,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 1,698 | $35,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 1,038 | $35,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 48,000 | $35,000 | thousands by filing date | principal |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 3,597 | $35,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 2,322 | $35,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 5,486 | $35,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 9,900 | $35,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 34,000 | $35,000 | thousands by filing date | principal |
| GENERAL ELEC CO | 369604103 | COM | 44,900 | $34,000 | thousands by filing date | put |
| POWELL INDS INC | 739128106 | COM | 833 | $34,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 774 | $34,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 2,504 | $34,000 | thousands by filing date | |
| INFINITY PROPERTY & CASUALTY | 45665Q103 | COMMON STOCK | 530 | $34,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 51,000 | $34,000 | thousands by filing date | put |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 2,646 | $34,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 6,806 | $34,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 21,898 | $34,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 4,327 | $34,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 2,319 | $34,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES-CL B | 345550305 | COMMON | 1,753 | $34,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,600 | $34,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 975 | $34,000 | thousands by filing date | |
| Sphere 3D Corp. | 84841Q109 | COM | 5,000 | $34,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,195 | $33,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 1,193 | $33,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,067 | $33,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 1,639 | $33,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 1,946 | $33,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 6,804 | $33,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 2,606 | $33,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 40,300 | $33,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 11,355 | $33,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 6,089 | $33,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 1,137 | $33,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 7,358 | $33,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 1,453 | $32,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 2,958 | $32,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 14,400 | $32,000 | thousands by filing date | put |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 668 | $32,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 1,009 | $32,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 3,355 | $32,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 690 | $32,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 3,269 | $32,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 18,676 | $32,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 1,700 | $32,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,206 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 808 | $31,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 1,534 | $31,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 2,678 | $31,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 421 | $31,000 | thousands by filing date | |
| INTERVEST BANCSHARES CORP-A | 460927106 | COM | 3,295 | $31,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 40,000 | $31,000 | thousands by filing date | principal |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 15,787 | $31,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 1,239 | $31,000 | thousands by filing date | |
| SQUARE 1 FINL INC | 85223W101 | CL A | 1,621 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 535 | $30,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 1,939 | $30,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 3,220 | $30,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 1,331 | $30,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 31,000 | $30,000 | thousands by filing date | principal |
| LIBBEY INC | 529898108 | COM | 1,136 | $30,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 10,000 | $30,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074QAF9 | CNV | 30,000 | $30,000 | thousands by filing date | principal |
| Onconova Therapeutics | 68232V108 | Common | 7,008 | $30,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 381,300 | $29,000 | thousands by filing date | call |
| WINNEBAGO INDS INC | 974637100 | COM | 1,359 | $29,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,001 | $29,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 1,310 | $29,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 1,683 | $29,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 2,001 | $29,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,200 | $29,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 4,868 | $29,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 947 | $29,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 1,253 | $29,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 1,661 | $29,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 2,047 | $29,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 50,700 | $29,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 1,998 | $29,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 801 | $29,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 15,000 | $29,000 | thousands by filing date | principal |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,710 | $29,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 17,800 | $28,000 | thousands by filing date | put |
| M/I HOMES INC | 55305B101 | COM | 1,416 | $28,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 918 | $28,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 1,661 | $28,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 1,665 | $28,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 1,609 | $28,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,401 | $28,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 160,000 | $28,000 | thousands by filing date | call |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 532 | $28,000 | thousands by filing date | |
| SWS GROUP INC | 78503N107 | COM | 3,998 | $28,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 1,314 | $28,000 | thousands by filing date | |
| AMREIT INC | 03216B208 | CL B | 1,206 | $28,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,269 | $28,000 | thousands by filing date | |
| ISHARES TR | 464289404 | S&P TARGET 20 | 700 | $28,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 1,198 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 1,846 | $27,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,468 | $27,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 25,000 | $27,000 | thousands by filing date | principal |
| JOHNSON CONTROLS INT F | 478366107 | COM | 10,000 | $27,000 | thousands by filing date | put |
| UNILIFE CORP NEW | 90478E103 | COM | 11,930 | $27,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,105 | $27,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 2,856 | $27,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 1,011 | $27,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 16,000 | $27,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 1,331 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 605 | $27,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 1,400 | $27,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 1,181 | $26,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 10,600 | $26,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 4,070 | $26,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 1,001 | $26,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 1,500 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 654 | $26,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,001 | $26,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 1,658 | $26,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 691 | $26,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 2,197 | $26,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 848 | $26,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 2,843 | $26,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 500 | $26,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 1,239 | $26,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 19,535 | $26,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 2,602 | $26,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 615 | $26,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 2,553 | $26,000 | thousands by filing date | |
| MARLIN MIDSTREAM PARTNERS LP | 57118V100 | COM UTLTD PTN IN | 1,201 | $26,000 | thousands by filing date | |
| KOFAX LTD | G5307C105 | COM USD | 3,413 | $26,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 15,000 | $25,000 | thousands by filing date | call |
| SKYWEST INC COM | 830879102 | Stock | 3,326 | $25,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 4,078 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 382 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 201 | $25,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 100,000 | $25,000 | thousands by filing date | call |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 3,175 | $25,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 6,000 | $25,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 1,524 | $25,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,505 | $25,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 8,218 | $25,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 22,700 | $25,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 1,137 | $25,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 2,805 | $25,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 20,700 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 1,000 | $25,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 89,202 | $25,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 49,400 | $24,000 | thousands by filing date | put |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,807 | $24,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,401 | $24,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 1,718 | $24,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 4,830 | $24,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 2,945 | $24,000 | thousands by filing date | |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 1,453 | $24,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,701 | $24,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 890 | $24,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 1,234 | $24,000 | thousands by filing date | |
| AMER MUN INCOME PORT INC | 027649102 | COM | 1,651 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 655 | $24,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 800 | $24,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 2,001 | $24,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 60,000 | $23,000 | thousands by filing date | call |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 4,300 | $23,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 25,000 | $23,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 200 | $23,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 12,796 | $23,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 175,800 | $23,000 | thousands by filing date | call |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,809 | $23,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 12,316 | $23,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 2,012 | $23,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 2,314 | $23,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 11,131 | $23,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 1,638 | $23,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 1,100 | $23,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 710 | $23,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 6,880 | $23,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 7,348 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 939 | $23,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 4,044 | $23,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 12,700 | $22,000 | thousands by filing date | put |
| Vanguard Real Estate | 922908553 | SHS | 17,900 | $22,000 | thousands by filing date | put |
| RE MAX HLDGS INC | 75524W108 | CL A | 727 | $22,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 609 | $22,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 3,552 | $22,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,506 | $22,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,157 | $22,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 4,373 | $22,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 6,449 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 200 | $22,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 623 | $22,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 829 | $22,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 20,101 | $22,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 7,093 | $22,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,942 | $22,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 551 | $22,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 775 | $22,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 9,701 | $22,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 1,199 | $22,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 1,298 | $22,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,428 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286566 | MSCI EMKT EUR | 989 | $22,000 | thousands by filing date | |
| AVATAR HLDGS INC | 053494AG5 | NOTE 7.500% 2/1 | 22,000 | $22,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57060U381 | GERMANY SM CAP | 800 | $22,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 501 | $21,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,000 | $21,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 1,834 | $21,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 999 | $21,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 1,050 | $21,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 40,000 | $21,000 | thousands by filing date | put |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 1,507 | $21,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 415 | $21,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 3,389 | $21,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 50,167 | $21,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,496 | $21,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 1,237 | $21,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 1,830 | $21,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 71 | $21,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 3,726 | $21,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 8,391 | $21,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 14,514 | $21,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 6,243 | $21,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 1,448 | $21,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 1,253 | $21,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 939 | $21,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 17,151 | $21,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 2,250 | $21,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 532 | $21,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 2,801 | $21,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,500 | $21,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 3,400 | $20,000 | thousands by filing date | put |
| NMI HLDGS INC | 629209305 | COM | 2,325 | $20,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 619 | $20,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 399 | $20,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 400 | $20,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 2,801 | $20,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 1,749 | $20,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 828 | $20,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 20,000 | $20,000 | thousands by filing date | principal |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 3,030 | $20,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 2,934 | $20,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 3,793 | $20,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 1,327 | $20,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 11,268 | $20,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,749 | $20,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 408 | $20,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 780 | $20,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 3,141 | $20,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 2,073 | $20,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 14,675 | $20,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 683 | $20,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 5,000 | $20,000 | thousands by filing date | |
| ISHARES GLBL INFLATION LINKED BOND FUND | 46429B812 | ETF | 402 | $20,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,392 | $20,000 | thousands by filing date | |
| CAROLINA TR BK LINCOLNTON NC | 144200102 | COM | 4,000 | $20,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 1,554 | $20,000 | thousands by filing date | |
| BACTERIN INTL HLDGS INC | 05644R200 | COM NEW | 4,550 | $20,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 7,244 | $20,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 2,102 | $20,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 16,100 | $19,000 | thousands by filing date | put |
| UFP TECHNOLOGIES INC | 902673102 | COM | 880 | $19,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 1,346 | $19,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 733 | $19,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,451 | $19,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 2,620 | $19,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 800 | $19,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,700 | $19,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 646 | $19,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 250,000 | $19,000 | thousands by filing date | call |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 1,533 | $19,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 1,522 | $19,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 963 | $19,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 12,551 | $19,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 2,877 | $19,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 3,336 | $19,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 4,597 | $19,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 1,382 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 633 | $19,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 3,004 | $19,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 7,000 | $19,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 19,000 | $19,000 | thousands by filing date | principal |
| FIVE9 INC | 338307101 | COM | 2,760 | $18,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 1,007 | $18,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 178,300 | $18,000 | thousands by filing date | put |
| CALIX INC | 13100M509 | COM | 1,910 | $18,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 1,432 | $18,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 501 | $18,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 3,357 | $18,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 528 | $18,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 1,652 | $18,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 3,905 | $18,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 5,700 | $18,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 15,823 | $18,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 4,700 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 445 | $18,000 | thousands by filing date | |
| HF FINANCIAL CORP | 404172108 | COMMON STOCK USD.01 | 1,313 | $18,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 640 | $18,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 9,800 | $18,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R109 | SEL LC VAL ETF | 400 | $18,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 950 | $18,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 3,687 | $18,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 204,800 | $17,000 | thousands by filing date | call |
| PEOPLES BANCORP INC | 709789101 | COM | 703 | $17,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 652 | $17,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,509 | $17,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 901 | $17,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 745 | $17,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $17,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 716 | $17,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 1,189 | $17,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 3,434 | $17,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 2,407 | $17,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 725 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 540 | $17,000 | thousands by filing date | |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 106,000 | $17,000 | thousands by filing date | put |
| ENERGOUS CORP | 29272C103 | COM | 1,540 | $17,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 3,000 | $17,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 630 | $17,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 3,200 | $17,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 3,333 | $17,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 4,932 | $17,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 1,598 | $17,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,464 | $17,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 19,100 | $17,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 175 | $16,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 4,492 | $16,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 542 | $16,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 1,290 | $16,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 1,001 | $16,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,211 | $16,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,471 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 201 | $16,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 2,001 | $16,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,462 | $16,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 3,965 | $16,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 8,187 | $16,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 3,096 | $16,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 588 | $16,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 5,001 | $16,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 925 | $16,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 1,245 | $16,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 651 | $16,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 1,800 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 520 | $16,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 2,176 | $16,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 778 | $16,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 20,500 | $15,000 | thousands by filing date | put |
| GREIF INC | 397624206 | CL B | 296 | $15,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 3,997 | $15,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 824 | $15,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 909 | $15,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 723 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 430 | $15,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 637 | $15,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,368 | $15,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 1,300 | $15,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,787 | $15,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 957 | $15,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 1,591 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 481 | $15,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 2,000 | $15,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,891 | $15,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 719 | $15,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 1,679 | $15,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 1,024 | $15,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 758 | $15,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 1,337 | $15,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 11,065 | $15,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 5,508 | $15,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 6,049 | $15,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 6,371 | $15,000 | thousands by filing date | |
| CTPARTNERS EXECUTIVE SEARCH IN | 22945C105 | COMM STK | 984 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 635 | $15,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 950 | $15,000 | thousands by filing date | |
| VALLEY FINL CORP VA | 919629105 | COM | 1,260 | $15,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 1,761 | $15,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 6,171 | $15,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 40,300 | $14,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 80,600 | $14,000 | thousands by filing date | put |
| COHU INC | 192576106 | COM | 1,162 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 193 | $14,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 107 | $14,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 810 | $14,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 114 | $14,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 667 | $14,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 804 | $14,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 1,000 | $14,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 658 | $14,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 3,710 | $14,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 1,668 | $14,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 28,100 | $14,000 | thousands by filing date | put |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 155 | $14,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 693 | $14,000 | thousands by filing date | |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 1,143 | $14,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 6,261 | $14,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 3,895 | $14,000 | thousands by filing date | |
| ETFS WHITE METALS BASKET TR | 26923B104 | PHY WM BSK SHS | 400 | $14,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 646 | $14,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 549 | $14,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 1,803 | $14,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 9,375 | $14,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063209 | ADR NEW | 356 | $14,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 27,000 | $13,000 | thousands by filing date | put |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 2,645 | $13,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 24,500 | $13,000 | thousands by filing date | call |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 312 | $13,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 9,400 | $13,000 | thousands by filing date | put |
| NEOGENOMICS INC | 64049M209 | COM NEW | 2,500 | $13,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 1,914 | $13,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 551 | $13,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 965 | $13,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 2,027 | $13,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,000 | $13,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 977 | $13,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397184 | RIGHT 10/20/2014 | 233,569 | $13,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 1,022 | $13,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 487 | $13,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 3,859 | $13,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 7,054 | $13,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 10,000 | $13,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 537 | $13,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 1,320 | $13,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 289 | $13,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 939 | $13,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 100 | $13,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,047 | $13,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,000 | $13,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 5,251 | $13,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 941 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 320 | $13,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-14-000598 | this filing | 2014-11-06 | acceptance time not in the bulk data set |