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 |
|---|---|---|---|---|---|---|
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 6,001 | $13,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,001 | $13,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,323 | $13,000 | thousands by filing date | |
| OPOWER INC | 68375Y109 | COM | 658 | $13,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 9,300 | $12,000 | thousands by filing date | put |
| D R HORTON INC COM | 23331A109 | Stock | 50,000 | $12,000 | thousands by filing date | put |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,355 | $12,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 444 | $12,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,092 | $12,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 540 | $12,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 1,347 | $12,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,201 | $12,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 571 | $12,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 1,124 | $12,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 2,183 | $12,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 445 | $12,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 1,804 | $12,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 2,583 | $12,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 3,573 | $12,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 711 | $12,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 9,294 | $12,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 18,105 | $12,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 431 | $12,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 1,532 | $12,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P143 | RBS NASD LKD41 | 300 | $12,000 | thousands by filing date | |
| MARKET VECTORS BANK AND BROK | 57060U175 | CMN | 208 | $12,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 3,000 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U530 | LAT AM SML CAP | 673 | $12,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 484 | $12,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 489 | $12,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 1,501 | $12,000 | thousands by filing date | |
| TALMER BANCORP INC | 87482X101 | COM | 907 | $12,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 2,100 | $11,000 | thousands by filing date | put |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 525 | $11,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 859 | $11,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 536 | $11,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 635 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 150 | $11,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 400 | $11,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 1,151 | $11,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 572 | $11,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 458 | $11,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 299 | $11,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 647 | $11,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 446 | $11,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 259 | $11,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 787 | $11,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 659 | $11,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 2,689 | $11,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 1,000 | $11,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 2,890 | $11,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 2,553 | $11,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 11,680 | $11,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 4,255 | $11,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 3,481 | $11,000 | thousands by filing date | |
| ESB FINANCIAL CORP | 26884F102 | COM | 891 | $11,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 388 | $11,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 1,345 | $11,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 3,400 | $11,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 466 | $11,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 429 | $11,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 10,000 | $11,000 | thousands by filing date | principal |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 750 | $11,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 7,350 | $11,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 1,180 | $11,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 584 | $11,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 3,000 | $11,000 | thousands by filing date | |
| AUSPEX PHARMACE | 05211J102 | Common Stock | 427 | $11,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 1,471 | $11,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 669 | $11,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 7,700 | $10,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 10,900 | $10,000 | thousands by filing date | put |
| VWO | 922042858 | SHS | 18,400 | $10,000 | thousands by filing date | put |
| WALGREEN CO | 931422109 | COM | 25,000 | $10,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 5,000 | $10,000 | thousands by filing date | call |
| WIX COM LTD SHS | M98068105 | Stock | 636 | $10,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 1,172 | $10,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 10,400 | $10,000 | thousands by filing date | put |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 300 | $10,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 283 | $10,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 618 | $10,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 196 | $10,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 654 | $10,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 470 | $10,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 757 | $10,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,001 | $10,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 555 | $10,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 270 | $10,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,300 | $10,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 5,118 | $10,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 312 | $10,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 714 | $10,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 1,418 | $10,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 10,276 | $10,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,347 | $10,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 876 | $10,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 484 | $10,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 465 | $10,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 7,547 | $10,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| ALMOST FAMILY INC | 020409108 | COM | 388 | $10,000 | thousands by filing date | |
| HOME INNS & HOTELS MGMT INC | 43713W107 | SPON ADR | 350 | $10,000 | thousands by filing date | |
| TRW AUTOMOTIVE INC | 87264MAH2 | NOTE 3.500%12/0 | 3,000 | $10,000 | thousands by filing date | principal |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 379 | $10,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 2,891 | $10,000 | thousands by filing date | |
| PERICOM SEMICONDUCTOR CORP | 713831105 | COM | 1,022 | $10,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 1,965 | $10,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 801 | $10,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 572 | $10,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 6,757 | $10,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 1,386 | $10,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 557 | $10,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 2,564 | $10,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 306 | $10,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 377 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 152 | $10,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 1,456 | $10,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 10,000 | $10,000 | thousands by filing date | principal |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 400 | $10,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 3,130 | $10,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 2,900 | $9,000 | thousands by filing date | put |
| JPMorgan Chase & Co | 46625H100 | COM | 20,000 | $9,000 | thousands by filing date | call |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 25,000 | $9,000 | thousands by filing date | put |
| VSE CORP COM | 918284100 | Stock | 191 | $9,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 582 | $9,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 8,800 | $9,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 1,000 | $9,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 831 | $9,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 49 | $9,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 441 | $9,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 995 | $9,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,090 | $9,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 267 | $9,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 624 | $9,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,001 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 101 | $9,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 13,800 | $9,000 | thousands by filing date | put |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 2,041 | $9,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 4,410 | $9,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 11,500 | $9,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,190 | $9,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 858 | $9,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 60,000 | $9,000 | thousands by filing date | call |
| PENNS WOODS BANCORP INC | 708430103 | COM | 223 | $9,000 | thousands by filing date | |
| Alamos Gold, Inc. | 011527108 | COM | 1,100 | $9,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 2,088 | $9,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 1,000 | $9,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 646 | $9,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,016 | $9,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 912 | $9,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 238 | $9,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 4,700 | $9,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 14,300 | $9,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 680 | $9,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 557 | $9,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 2,146 | $9,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 1,494 | $9,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 300 | $9,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 570 | $9,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 120 | $9,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 637 | $9,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 400 | $9,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 1,700,000 | $9,000 | thousands by filing date | call |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 325 | $9,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 510 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 185 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 100,000 | $8,000 | thousands by filing date | call |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 608 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 430 | $8,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,091 | $8,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 677 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 100 | $8,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,001 | $8,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 380 | $8,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 1,610 | $8,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 814 | $8,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,201 | $8,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 846 | $8,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 667 | $8,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 4,064 | $8,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 398 | $8,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,253 | $8,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,533 | $8,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 648 | $8,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 963 | $8,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 695 | $8,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 9,200 | $8,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 2,120 | $8,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 7,552 | $8,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 3,706 | $8,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 1,001 | $8,000 | thousands by filing date | |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 1,312 | $8,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 10,854 | $8,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 1,259 | $8,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 7,303 | $8,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 1,382 | $8,000 | thousands by filing date | |
| DAWSON GEOPHYSICAL CO | 239359102 | COM | 423 | $8,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 1,127 | $8,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 3,770 | $8,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 176 | $8,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 1,619 | $8,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 501 | $8,000 | thousands by filing date | |
| TEKMIRA PHARMACEUTICALS COR | 87911B209 | COM NEW | 400 | $8,000 | thousands by filing date | |
| Poage Bankshares, Inc. | 730206109 | Common Stock | 504 | $8,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 718 | $8,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 128 | $8,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 530 | $8,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 243 | $8,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 839 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 184 | $8,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 439 | $8,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 482 | $8,000 | thousands by filing date | |
| Coupons Com Inc | 22265J102 | Common Stock | 655 | $8,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 710 | $8,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 300 | $8,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 1,019 | $8,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 5,400 | $7,000 | thousands by filing date | put |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 109 | $7,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 20,500 | $7,000 | thousands by filing date | put |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $7,000 | thousands by filing date | put |
| CODEXIS INC | 192005106 | COM | 2,795 | $7,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 2,454 | $7,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 1,154 | $7,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 762 | $7,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 225 | $7,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 586 | $7,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 568 | $7,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 1,596 | $7,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 523 | $7,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 801 | $7,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 796 | $7,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 2,705 | $7,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 3,372 | $7,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 385 | $7,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 300 | $7,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 5,500 | $7,000 | thousands by filing date | put |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 675 | $7,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,101 | $7,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 1,502 | $7,000 | thousands by filing date | |
| EXTERRAN HLDGS INC | 30225X103 | COM | 15,000 | $7,000 | thousands by filing date | call |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,000 | $7,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,134 | $7,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 1,771 | $7,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 3,246 | $7,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 1,032 | $7,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 650 | $7,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,057 | $7,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 683 | $7,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 1,500 | $7,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 1,065 | $7,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,206 | $7,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 441 | $7,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 916 | $7,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 505 | $7,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 2,203 | $7,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 154 | $7,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 800 | $7,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AH2 | BOND | 20,000 | $7,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 117 | $7,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 996 | $7,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 205 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 680 | $7,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 1,190 | $7,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 236 | $7,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 200 | $7,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 977 | $7,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 3,376 | $7,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N208 | Cmn | 809 | $7,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 976 | $7,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 201 | $6,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 186,900 | $6,000 | thousands by filing date | call |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 176 | $6,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 477 | $6,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 10,378 | $6,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 394 | $6,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 289 | $6,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 112 | $6,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,259 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 200 | $6,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 171 | $6,000 | thousands by filing date | |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 587 | $6,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 234 | $6,000 | thousands by filing date | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 702 | $6,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 423 | $6,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 824 | $6,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 516 | $6,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 6,000 | $6,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 346 | $6,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 311 | $6,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 585 | $6,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 9,786 | $6,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 1,901 | $6,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 1,759 | $6,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 2,500 | $6,000 | thousands by filing date | |
| SIMPLICITY BANCORP INC | 828867101 | COM | 336 | $6,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 3,805 | $6,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 801 | $6,000 | thousands by filing date | |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 118 | $6,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 249 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 300 | $6,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,550 | $6,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 282 | $6,000 | thousands by filing date | |
| MAVENIR SYS INC | 577675101 | COM | 444 | $6,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 500 | $6,000 | thousands by filing date | |
| AMERICAN EAGLE ENERGY | 02554F300 | COM | 1,398 | $6,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 319 | $6,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A309 | COM PAR$.00001 | 3,000 | $6,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 10,000 | $5,000 | thousands by filing date | put |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 98 | $5,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 100,500 | $5,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 3,834 | $5,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 31,100 | $5,000 | thousands by filing date | put |
| GEOPARK LTD USD SHS | G38327105 | Stock | 528 | $5,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 150 | $5,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 318 | $5,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 243 | $5,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 132 | $5,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 351 | $5,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 78 | $5,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 457 | $5,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 67,000 | $5,000 | thousands by filing date | call |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 542 | $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 | 200 | $5,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 568 | $5,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 339 | $5,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 2,165 | $5,000 | thousands by filing date | |
| SL INDS INC | 784413106 | COMMON STOCK | 101 | $5,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 454 | $5,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 850 | $5,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 232 | $5,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 51,500 | $5,000 | thousands by filing date | put |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 1,595 | $5,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 422 | $5,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 3,322 | $5,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 2,400 | $5,000 | thousands by filing date | put |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 509 | $5,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 645 | $5,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 379 | $5,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 42 | $5,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 231 | $5,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 700 | $5,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,250 | $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 | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 211 | $5,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 2,564 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 146 | $5,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,800 | $5,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 238 | $5,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 500 | $5,000 | thousands by filing date | |
| NORCRAFT COS INC | 65557Y105 | COM | 343 | $5,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 1,451 | $5,000 | thousands by filing date | |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 343 | $5,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 44,400 | $4,000 | thousands by filing date | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 1,168 | $4,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 2,000 | $4,000 | thousands by filing date | put |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 60,000 | $4,000 | thousands by filing date | call |
| WYNN RESORTS LTD | 983134107 | COM | 23,000 | $4,000 | thousands by filing date | put |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 600 | $4,000 | thousands by filing date | put |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 105 | $4,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 195 | $4,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 270 | $4,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 335 | $4,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 301 | $4,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 800 | $4,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 360 | $4,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 99 | $4,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 795 | $4,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 2,290 | $4,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 488 | $4,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 439 | $4,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 301 | $4,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 321 | $4,000 | thousands by filing date | |
| Concur Technologies, Inc. | 206708109 | COM | 30,000 | $4,000 | thousands by filing date | call |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 411 | $4,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 2,574 | $4,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 238 | $4,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 1,347 | $4,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 1,564 | $4,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 312 | $4,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 1,631 | $4,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 385 | $4,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 4,000 | $4,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 4,579 | $4,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 4,287 | $4,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 599 | $4,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 834 | $4,000 | thousands by filing date | |
| FRISCH'S RESTAURANTS INC | 358748101 | COM | 149 | $4,000 | thousands by filing date | |
| Meru Networks, Inc. | 59047Q103 | COM | 1,000 | $4,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 4,338 | $4,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 4,000 | $4,000 | thousands by filing date | principal |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 358 | $4,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 925 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 233 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 152 | $4,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 2,500 | $4,000 | thousands by filing date | |
| XRS CORP | 983845108 | COM | 800 | $4,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 2,500 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K833 | MTL SHRT ETN38 | 200 | $4,000 | thousands by filing date | |
| BAYLAKE CORP | 072788102 | COM | 321 | $4,000 | thousands by filing date | |
| MONTAGE TECHNOLOGY GROUP LTD | G6209T105 | SHS | 200 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 174 | $4,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 223 | $4,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 836 | $4,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 195 | $4,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 925 | $4,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 360 | $4,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 323 | $4,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 2,241 | $4,000 | thousands by filing date | |
| AETRIUM INC | 00817R202 | COM NEW | 882 | $4,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 10,000 | $3,000 | thousands by filing date | put |
| Amgen Inc. | 031162100 | COM | 2,700 | $3,000 | thousands by filing date | call |
| Chevron Corporation | 166764100 | COM | 25,000 | $3,000 | thousands by filing date | call |
| Cisco Systems,Inc. | 17275R102 | COM | 5,000 | $3,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 1,200 | $3,000 | thousands by filing date | put |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 24,100 | $3,000 | thousands by filing date | put |
| UNIQURE NV | N90064101 | SHS | 300 | $3,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,043 | $3,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 2,300 | $3,000 | thousands by filing date | put |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 4,400 | $3,000 | thousands by filing date | put |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,500 | $3,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 500 | $3,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 361 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 72 | $3,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 400 | $3,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 60,400 | $3,000 | thousands by filing date | call |
| INNODATA INC | 457642205 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,914 | $3,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 217 | $3,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 763 | $3,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 673 | $3,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 934 | $3,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 101 | $3,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 131 | $3,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 1,400 | $3,000 | thousands by filing date | |
| 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 | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 2,000 | $3,000 | thousands by filing date | principal |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 3,001 | $3,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 2,500 | $3,000 | thousands by filing date | put |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 2,000 | $3,000 | thousands by filing date | put |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 135 | $3,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 157 | $3,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 674 | $3,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 2,801 | $3,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 2,450 | $3,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 983 | $3,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 627 | $3,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 10,000 | $3,000 | thousands by filing date | call |
| MAST THERAPEUTICS INC | 576314108 | COM | 5,000 | $3,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 500 | $3,000 | thousands by filing date | |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 3,000 | $3,000 | thousands by filing date | principal |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 1,004 | $3,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 10,396 | $3,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 1,507 | $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 | |
| GTX INC | 40052B108 | COM | 3,700 | $3,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 605 | $3,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 1,442 | $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 | |
| M B T FINANCIAL CORP | 578877102 | Stock | 601 | $3,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 2,350 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 100 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 100 | $3,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 1,062 | $3,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 280 | $3,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 100 | $3,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 3,250 | $3,000 | thousands by filing date | |
| STANDARD REGISTER CO | 853887206 | COM | 580 | $3,000 | thousands by filing date | |
| METHES ENERGIES INTL LTD | 591517107 | COM | 2,500 | $3,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 2,700 | $3,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 3,226 | $3,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 400 | $3,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 318 | $3,000 | thousands by filing date | |
| MERK GOLD TR SHS BEN INT | 590055109 | ALTERNATIVE-PUBLIC | 250 | $3,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 300 | $3,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 400 | $3,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 75,000 | $2,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 5,200 | $2,000 | thousands by filing date | call |
| VALE S A | 91912E105 | SPONSORED ADS | 100,000 | $2,000 | thousands by filing date | call |
| FEDEX CORP COM | 31428X106 | Stock | 2,300 | $2,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 600 | $2,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 3,800 | $2,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 2,700 | $2,000 | thousands by filing date | put |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 779 | $2,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 74 | $2,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 800 | $2,000 | thousands by filing date | put |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 155 | $2,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 163 | $2,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 105 | $2,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 338 | $2,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 500 | $2,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,650 | $2,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 173 | $2,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 40,000 | $2,000 | thousands by filing date | put |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 150 | $2,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 1,000 | $2,000 | 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 |