13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-11, with 6,716 holding rows worth $255,106,983,000.
- Accession
- 0000072971-15-000348
- Filer
- CIK 72971
- Filed
- 2015-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A combination report, 19,841 entries on the cover page, a total value of $255,106,983,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $255,106,983,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerCINQUE PARTNERS LLC028-15192
- included managerPEREGRINE CAPITAL MANAGEMENT INC /MN/028-01523
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney LLC
- included managerWells Fargo Funds Management, LLC028-11406
- included managerNelson Capital Management, LLC028-10450
- included managerMETROPOLITAN WEST CAPITAL MANAGEMENT LLC /CA028-05723
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO ADVISORS, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- included managerNORWEST LTD LP, LLLP028-06571
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
- included managerRock Creek Group, LP028-13780
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 19,529 | $171,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 5,867 | $170,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 20,425 | $170,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 5,971 | $170,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 4,839 | $169,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 12,151 | $169,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 12,352 | $169,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 18,441 | $169,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 147,000 | $169,000 | thousands by filing date | principal |
| SKYWEST INC COM | 830879102 | Stock | 12,694 | $168,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,898 | $168,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 4,931 | $168,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 11,863 | $168,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 9,635 | $168,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 15,019 | $167,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 14,611 | $167,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 2,236 | $167,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 168,000 | $167,000 | thousands by filing date | principal |
| ELECSYS CORP | 28473M100 | COM | 9,600 | $167,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 14,890 | $167,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 11,651 | $167,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 1,477 | $166,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 453,100 | $166,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 44,459 | $166,000 | thousands by filing date | |
| PRA HEALTH SCIENCES INC | 69354M108 | COM | 6,784 | $165,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 27,053 | $165,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 6,330 | $165,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 1,398 | $165,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 16,204 | $164,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 7,485 | $164,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 15,701 | $163,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 14,845 | $163,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 4,421 | $162,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 59,832 | $162,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 533,000 | $162,000 | thousands by filing date | principal |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 29,751 | $161,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 15,770 | $160,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 2,742 | $159,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 11,450 | $159,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 12,615 | $159,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 6,616 | $159,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 14,037 | $159,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 6,803 | $159,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 8,494 | $158,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 5,722 | $158,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 148,966 | $158,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 2,027 | $157,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 9,643 | $157,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 10,206 | $157,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 31,199 | $156,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 9,905 | $156,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 11,227 | $156,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 21,177 | $156,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 5,312 | $155,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 13,628 | $155,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 36,000 | $155,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 11,766 | $155,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 12,022 | $155,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 11,298 | $155,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X764 | S&PINTL MC ETF | 5,469 | $155,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 140,000 | $154,000 | thousands by filing date | call |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 11,356 | $154,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 53,453 | $154,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 6,213 | $153,000 | thousands by filing date | |
| POST PPTYS INC | 737464107 | COM | 2,592 | $153,000 | thousands by filing date | |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 150,000 | $153,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 3,950 | $153,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 4,802 | $152,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 7,264 | $152,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 44,490 | $151,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 10,909 | $151,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 9,209 | $151,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 6,004 | $151,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 1,608 | $151,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 245,400 | $150,000 | thousands by filing date | put |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 9,025 | $150,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 12,628 | $150,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 2,865 | $150,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 300,000 | $149,000 | thousands by filing date | put |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 3,418 | $148,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 16,715 | $148,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 80,000 | $147,000 | thousands by filing date | put |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 8,715 | $147,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 18,095 | $147,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 113,500 | $146,000 | thousands by filing date | put |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 60,000 | $146,000 | thousands by filing date | call |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 11,347 | $146,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 9,681 | $146,000 | thousands by filing date | |
| EXXI 3 12/18 | 29274UAB7 | Bond 30/360P2 U | 500,000 | $146,000 | thousands by filing date | principal |
| NETAPP INC COM | 64110D104 | Stock | 128,600 | $145,000 | thousands by filing date | put |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 25,000 | $144,000 | thousands by filing date | call |
| AMER RLTY CAP HEALTHCAR TR INC COM | 02917R108 | COM | 12,136 | $144,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P143 | RBS NASD LKD41 | 3,705 | $143,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 18,810 | $142,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 9,771 | $142,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 1,826 | $142,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 46,581 | $142,000 | thousands by filing date | |
| IMS HEALTH HOLDINGS | 44970B109 | COM | 5,500 | $141,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,469 | $140,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 5,487 | $140,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 4,512 | $140,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 4,826 | $140,000 | thousands by filing date | |
| INTEGRATED SILICON SOLUTION | 45812P107 | COM | 8,504 | $140,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 18,032 | $140,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 199,800 | $139,000 | thousands by filing date | put |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 4,473 | $138,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 10,156 | $138,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 9,548 | $138,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 2,052 | $138,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 2,757 | $137,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 79,100 | $137,000 | thousands by filing date | put |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 6,867 | $136,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 7,517 | $136,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 8,442 | $136,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 263,145 | $136,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 17,256 | $135,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 7,446 | $135,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 200,000 | $135,000 | thousands by filing date | put |
| CALAMP CORP | 128126109 | COMMON STOCK | 30,000 | $135,000 | thousands by filing date | put |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 5,002 | $135,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 9,930 | $135,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 11,744 | $135,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 10,701 | $135,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 9,707 | $134,000 | thousands by filing date | |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 10,283 | $134,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 14,426 | $133,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 17,295 | $133,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 5,245 | $133,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 4,796 | $133,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 4,833 | $132,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 10,720 | $132,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 126,000 | $132,000 | thousands by filing date | principal |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 111,000 | $132,000 | thousands by filing date | principal |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 12,955 | $132,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,044 | $131,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 14,928 | $131,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 4,940 | $131,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 11,271 | $131,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 8,409 | $130,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 8,781 | $130,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 10,340 | $130,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 20,871 | $130,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 5,189 | $130,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 129,857 | $129,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 13,500 | $129,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 3,288 | $128,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 30,190 | $127,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 24,426 | $127,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 26,042 | $127,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 5,093 | $127,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 2,312 | $126,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 4,565 | $126,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 5,317 | $126,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 125,000 | $126,000 | thousands by filing date | principal |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 2,450 | $126,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 11,029 | $125,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 50,000 | $125,000 | thousands by filing date | call |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 24,615 | $125,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,796 | $125,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 13,779 | $125,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 3,097 | $124,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 7,031 | $124,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 16,813 | $123,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 14,150 | $123,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 9,661 | $123,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 27,598 | $123,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 8,202 | $123,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,161 | $122,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 120,000 | $122,000 | thousands by filing date | principal |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 14,253 | $122,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 41,300 | $121,000 | thousands by filing date | put |
| APTARGROUP INC COM | 038336103 | Stock | 40,000 | $121,000 | thousands by filing date | call |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 1,205 | $121,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 7,359 | $121,000 | thousands by filing date | |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 16,790 | $120,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 47,775 | $119,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 144,900 | $118,000 | thousands by filing date | put |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 3,880 | $118,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 8,173 | $118,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 6,716 | $118,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 8,685 | $118,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 125,800 | $118,000 | thousands by filing date | |
| Media General Ord Shs | 58441K100 | COM | 7,095 | $118,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 9,356 | $117,000 | thousands by filing date | |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 263,200 | $117,000 | thousands by filing date | call |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 3,540 | $115,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 140,000 | $115,000 | thousands by filing date | call |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 8,681 | $115,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 1,865 | $115,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 14,268 | $115,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 17,805 | $115,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 30,123 | $115,000 | thousands by filing date | |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 11,055 | $114,000 | thousands by filing date | |
| ONEMAIN HOLDINGS | 85172J101 | COM | 3,151 | $113,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 8,478 | $112,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 8,864 | $112,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 7,602 | $111,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 80,332 | $111,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 184,300 | $111,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 17,534 | $110,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 7,323 | $110,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 2,825 | $110,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 73,127 | $110,000 | thousands by filing date | |
| FISHER ENHANCED BIG CAP GROWTH ETN(FBG) | 90267L508 | ETF | 1,993 | $110,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 24,302 | $110,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,137 | $109,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 27,000 | $109,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 107,000 | $109,000 | thousands by filing date | put |
| SYNERGETICS USA INC | 87160G107 | COM | 25,090 | $109,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 2,750 | $109,000 | thousands by filing date | |
| BLACKHAWK NET B | 09238E203 | Common Stock | 2,884 | $109,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 2,096 | $108,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 8,200 | $108,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 10,137 | $107,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 16,823 | $107,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 7,716 | $106,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 7,150 | $106,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 200,000 | $106,000 | thousands by filing date | put |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 260,000 | $106,000 | thousands by filing date | put |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 3,484 | $106,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 9,565 | $106,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 1,307 | $106,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 7,951 | $106,000 | thousands by filing date | |
| HAMPDEN BANCORP INC | 40867E107 | COM | 5,000 | $106,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 7,530 | $106,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 11,302 | $105,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 7,560 | $105,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 4,771 | $105,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 8,798 | $105,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 107,000 | $104,000 | thousands by filing date | principal |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 8,500 | $103,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 29,744 | $103,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 2,115 | $102,000 | thousands by filing date | |
| DIGITAL RIV INC | 25388B104 | COM | 4,136 | $102,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 1,487 | $102,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 20,000 | $102,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 2,670 | $101,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 14,400 | $101,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 7,541 | $100,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES | 007903AL1 | CORPORATE OBLIG | 100,000 | $100,000 | thousands by filing date | principal |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 13,553 | $100,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 7,295 | $100,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 4,900 | $100,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 6,299 | $100,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 19,209 | $99,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 1,867 | $99,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 2,500 | $99,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 175,000 | $98,000 | thousands by filing date | put |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 1,770 | $98,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 132,324 | $98,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 6,571 | $97,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,002 | $97,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 1,710 | $97,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS | 05334D107 | COMMON STOCK | 2,822 | $97,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 8,758 | $97,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 2,206 | $96,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 5,985 | $95,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 63,000 | $95,000 | thousands by filing date | principal |
| TELETECH HOLDINGS INC | 879939106 | COM | 4,007 | $95,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 8,408 | $95,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 5,701 | $95,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 6,200 | $94,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 7,000 | $94,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 3,061 | $94,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 6,558 | $94,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 10,892 | $94,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 4,989 | $93,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 5,062 | $93,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 30,000 | $92,000 | thousands by filing date | call |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 6,560 | $92,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 11,424 | $92,000 | thousands by filing date | |
| TRULIA INC | 897888103 | COM | 2,004 | $92,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 1,765 | $92,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 6,661 | $92,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 601 | $91,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 50,000 | $91,000 | thousands by filing date | call |
| EXTERRAN HLDGS INC | 30225X103 | COM | 2,790 | $91,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 1,889 | $91,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 5,300 | $91,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 6,200 | $91,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 2,207 | $90,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 6,001 | $90,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 10,000 | $89,000 | thousands by filing date | call |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 6,812 | $89,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 20,252 | $89,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 9,232 | $89,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 4,694 | $89,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,923 | $89,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 8,568 | $89,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 5,557 | $88,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 4,528 | $88,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 7,222 | $88,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 4,063 | $88,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 1,386 | $87,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 126,800 | $87,000 | thousands by filing date | call |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 4,841 | $87,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 4,646 | $87,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 4,391 | $87,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 5,902 | $87,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 2,622 | $87,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 10,840 | $87,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 787 | $86,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 1,200 | $86,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 7,803 | $86,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 25,533 | $86,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 8,640 | $86,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 6,401 | $86,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 3,247 | $86,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 824 | $86,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 9,327 | $85,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 38,197 | $85,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 113,000 | $85,000 | thousands by filing date | principal |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 3,025 | $84,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 6,115 | $83,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 100,000 | $83,000 | thousands by filing date | put |
| MARIN SOFTWARE INC | 56804T106 | COM | 9,837 | $83,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 7,601 | $83,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 601,000 | $82,000 | thousands by filing date | put |
| STOCK YDS BANCORP INC | 861025104 | COM | 2,447 | $82,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 8,499 | $82,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,766 | $82,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 2,819 | $82,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 394,500 | $82,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 75,000 | $81,000 | thousands by filing date | put |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 10,976 | $81,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 1,292 | $81,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 2,250 | $81,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 3,888 | $81,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 90,000 | $81,000 | thousands by filing date | call |
| NATIONAL SEC GROUP INC | 637546102 | COM | 6,001 | $81,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 4,347 | $81,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 15,000 | $80,000 | thousands by filing date | put |
| MERIT MED SYS INC COM | 589889104 | Stock | 4,603 | $80,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,976 | $80,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 6,963 | $80,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 2,614 | $80,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 11,500 | $80,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 3,425 | $80,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 42,500 | $79,000 | thousands by filing date | put |
| VENTAS INC COM | 92276F100 | REIT | 150,000 | $79,000 | thousands by filing date | call |
| ZYNGA INC. | 98986T108 | CL A | 29,540 | $79,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 1,973 | $79,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 1,274 | $79,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 142,500 | $78,000 | thousands by filing date | put |
| GERON CORP | 374163103 | COM | 23,772 | $78,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 588 | $78,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 47,000 | $78,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 7,970 | $78,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 6,595 | $78,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 35,556 | $78,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 2,229 | $78,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 25,000 | $77,000 | thousands by filing date | put |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 3,810 | $77,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 28,833 | $77,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 97,572 | $77,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 4,384 | $77,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 2,816 | $77,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 2,940 | $76,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 6,001 | $76,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 20,398 | $76,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 20,845 | $76,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 10,805 | $76,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 1,358,500 | $75,000 | thousands by filing date | call |
| COMSCORE INC | 20564W105 | COM | 1,608 | $75,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 814 | $74,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,357 | $74,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 4,774 | $74,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 5,235 | $74,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 8,044 | $74,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 5,003 | $74,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 3,714 | $73,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 3,952 | $73,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 3,470 | $73,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 7,443 | $73,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 4,016 | $73,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 566 | $72,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 5,569 | $72,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 91,325 | $72,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 5,164 | $72,000 | thousands by filing date | |
| GENCORP INC | 368682100 | COM | 3,894 | $72,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 889 | $72,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,887 | $72,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 2,965 | $72,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 8,446 | $72,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 13,409 | $72,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 8,673 | $71,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 5,678 | $71,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 6,157 | $71,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 24,700 | $70,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 800 | $70,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 3,594 | $70,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 7,123 | $70,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 175 | $70,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 11,152 | $70,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 200,000 | $69,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 38,600 | $69,000 | thousands by filing date | put |
| GAFISA S A | 362607301 | SPONS ADR | 44,917 | $69,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 37,000 | $69,000 | thousands by filing date | principal |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 3,000 | $68,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 2,173 | $68,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 4,338 | $68,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,329 | $68,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 914,600 | $68,000 | thousands by filing date | call |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,500 | $68,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 5,352 | $68,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 3,701 | $68,000 | thousands by filing date | |
| FMSA HLDGS INC | 30255X106 | COM | 9,775 | $68,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 3,900 | $67,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 9,175 | $67,000 | thousands by filing date | |
| ALTERA CORP | 021441100 | COM | 120,000 | $67,000 | thousands by filing date | call |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 136,000 | $67,000 | thousands by filing date | principal |
| SYNERGY RES CORP | 87164P103 | COM | 5,289 | $67,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 1,601 | $67,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 50,000 | $66,000 | thousands by filing date | put |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 444 | $66,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 757 | $66,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 4,395 | $66,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 1,692 | $66,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 24,112 | $66,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 6,271 | $66,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 15,001 | $66,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 3,915 | $65,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 35,800 | $64,000 | thousands by filing date | put |
| MESA LABS INC COM | 59064R109 | Stock | 829 | $64,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 1,300 | $64,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 90,985 | $64,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 22,900 | $63,000 | thousands by filing date | put |
| HENNESSY ADVISORS INC | 425885100 | COM | 2,890 | $63,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 702 | $63,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 2,983 | $63,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 4,013 | $63,000 | thousands by filing date | |
| REVENUESHARES ADR | 761396605 | ADR FD | 1,745 | $63,000 | thousands by filing date | |
| CHINA MOBILE GAMES & ENTERTAINMENT LTD | 16952T100 | COM | 3,500 | $63,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 64,000 | $63,000 | thousands by filing date | principal |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 2,172 | $62,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 3,355 | $62,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 6,806 | $62,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 4,929 | $62,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 4,740 | $62,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 30,000 | $62,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 9,389 | $62,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 1,425 | $61,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 2,000 | $61,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 15,000 | $61,000 | thousands by filing date | put |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 18,212 | $60,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 41,682 | $60,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 1,975 | $60,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 3,517 | $60,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 4,967 | $60,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 2,845 | $60,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 2,847 | $60,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 4,000 | $59,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 14 | $59,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 4,094 | $59,000 | thousands by filing date | |
| UNIVERSAL FST PRODS INC | 913543104 | COM | 1,116 | $59,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 4,812 | $59,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 4,325 | $59,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,049 | $59,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 8,297 | $59,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 2,055 | $59,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 2,587 | $58,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 799 | $58,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 4,930 | $58,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 135,500 | $58,000 | thousands by filing date | put |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 863 | $58,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 20,002 | $58,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 29,028 | $58,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 1,198 | $57,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 2,603 | $57,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 6,095 | $57,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,667 | $57,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 5,865 | $57,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 2,533 | $57,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 6,500 | $57,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 2,325 | $57,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 1,511 | $56,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 55,600 | $56,000 | thousands by filing date | call |
| TTOO | 89853L104 | Stock | 2,927 | $56,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 14,949 | $56,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 1,427 | $56,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 60,000 | $55,000 | thousands by filing date | call |
| MCGRATH RENTCORP | 580589109 | COM | 1,524 | $55,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 3,758 | $55,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 16,147 | $55,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,300 | $55,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 5,001 | $55,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 1,486 | $54,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 3,001 | $54,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 3,000 | $54,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 5,800 | $54,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 18,000 | $54,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 15,000 | $54,000 | thousands by filing date | principal |
| INSTEEL INDS INC | 45774W108 | COM | 2,247 | $53,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,424 | $53,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 27,993 | $53,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 1,185 | $53,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 1,400 | $53,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 666 | $53,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 1,687 | $52,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 250,000 | $52,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-15-000348 | this filing | 2015-02-11 | acceptance time not in the bulk data set |