13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-14, with 6,925 holding rows worth $101,554,369,000.
- Accession
- 0000831001-13-000197
- Filer
- CIK 831001
- Filed
- 2013-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A holdings report, 16,261 entries on the cover page, a total value of $101,554,369,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $101,554,369,000 with VALUE read as thousands by filing date, 13F file number 028-02427. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerAcciones y Valores Banamex, S.A. de C.V., Casa de Bolsa, integrante del Grupo Financiero Banamex028-10815
- included managerAutomated Trading Desk Financial Services, LLC028-15302
- included managerAutomated Trading Desk Holdings, Inc.028-14757
- included managerAutomated Trading Desk, LLC028-14758
- included managerCiti Overseas Investments Bahamas Inc.028-10818
- included managerCitibank (Switzerland)028-04289
- included managerCitibank, N.A.028-04287
- included managerCitibank Canada028-06215
- included managerCitibank Overseas Investment Corp028-05347
- included managerCiticorp028-11520
- included managerCiticorp (Mexico) Holdings LLC028-10819
- included managerCiticorp Banking Corp028-04349
- included managerCiticorp Trust Delaware, National Association028-12382
- included managerCiticorp Trust South Dakota028-12977
- included managerCitigroup Acquisition LLC028-14760
- included managerCitigroup Alternative Investments LLC028-10293
- included managerCitigroup Derivatives Markets Inc.028-11547
- included managerCitigroup Financial Products Inc.028-01114
- included managerCitigroup Global Markets Deutschland AG028-10817
- included managerCitigroup Global Markets Europe Ltd028-04305
- included managerCitigroup Global Markets Finance Corp & Co. beschrankt haftende KG028-10821
- included managerCitigroup Global Markets Holdings Inc.028-01109
- included managerCitigroup Global Markets Inc.028-00541
- included managerCitigroup Global Markets International LLC028-04311
- included managerCitigroup Global Markets Ltd028-04309
- included managerCitigroup Global Markets Luxembourg028-15306
- included managerCitigroup Global Markets U.K. Equity Ltd028-06229
- included managerCitigroup Investments Inc.028-10295
- included managerCitigroup Trust - Delaware, National Association028-12981
- included managerCOHM Overseas Mexico Holding, S. de R.L. de C.V.028-14268
- included managerGrupo Financiero Banamex, S.A. de C.V.028-10816
- included managerImpulsora de Fondos Banamex, S.A. de C.V., Sociedad Operadora de Sociedades de Inversion028-10822
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 |
|---|---|---|---|---|---|---|
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 2,700 | $40,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 2,986 | $40,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 539 | $40,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 650 | $40,000 | thousands by filing date | |
| DWS STRATEGIC INCOME TR | 23338N104 | SHS | 3,036 | $40,000 | thousands by filing date | |
| SAPPI LTD | 803069202 | SPON ADR NEW | 16,418 | $40,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 595 | $40,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 746 | $40,000 | thousands by filing date | |
| MATERIAL SCIENCES CORP | 576674105 | COM | 4,000 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E838 | GLB X BRZ FINL | 3,700 | $40,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,504 | $39,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 3,453 | $39,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 1,496 | $39,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 877 | $39,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 2,911 | $39,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,096 | $39,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 5,540 | $39,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 2,026 | $39,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 1,520 | $39,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 2,625 | $39,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 6,000 | $39,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 2,015 | $39,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 1,205 | $39,000 | thousands by filing date | |
| BABCOCK & WILCOX CO NEW | 05615F102 | COM | 1,300 | $39,000 | thousands by filing date | put |
| EXTERRAN HLDGS INC | 30225X103 | COM | 1,400 | $39,000 | thousands by filing date | call |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 71,144 | $39,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 22,200 | $39,000 | thousands by filing date | put |
| TANGOE INC/CT | 87582Y108 | COM | 2,534 | $39,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 14,047 | $39,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 3,010 | $39,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 1,445 | $38,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 742 | $38,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 558 | $38,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 3,000 | $38,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 414 | $38,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 26,384 | $38,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 1,410 | $38,000 | thousands by filing date | |
| PROSHARES | 74347X237 | EXCHANGE TRADED | 1,603 | $38,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 871 | $38,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 31,000 | $38,000 | thousands by filing date | principal |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 39,000 | $38,000 | thousands by filing date | principal |
| NEWELL RUBBERMAID INC | 651229AH9 | NOTE 5.500% 3/1 | 12,000 | $38,000 | thousands by filing date | principal |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 6,658 | $37,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 2,300 | $37,000 | thousands by filing date | call |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 500 | $37,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 549 | $37,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,232 | $37,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,481 | $37,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 4,131 | $37,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 966 | $37,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 3,655 | $37,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 2,100 | $37,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,068 | $37,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 1,575 | $37,000 | thousands by filing date | |
| GIANT INTERACTIVE GROUP INC | 374511103 | ADR | 4,625 | $37,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 20,145 | $37,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AH8 | NOTE 3.125% 7/1 | 30,000 | $37,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 500 | $36,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 3,455 | $36,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 1,302 | $36,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 1,374 | $36,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,600 | $36,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 838 | $36,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 2,206 | $36,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 5,981 | $36,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 1,600 | $36,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 987 | $36,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 20,600 | $36,000 | thousands by filing date | put |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,674 | $36,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,745 | $35,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 355 | $35,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 735 | $35,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,521 | $35,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 2,400 | $35,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 2,296 | $35,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 1,523 | $35,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 10,315 | $35,000 | thousands by filing date | |
| MULTIMEDIA GAMES HOLDING CO | 625453105 | COM | 1,378 | $35,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 14,417 | $35,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191UAA4 | NOTE 3.000%10/0 | 41,000 | $35,000 | thousands by filing date | principal |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 6,143 | $35,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 52,736 | $35,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 9,476 | $35,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 8,400 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 975 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 1,500 | $35,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 830 | $34,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 4,646 | $34,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 329 | $34,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 1,470 | $34,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 1,028 | $34,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 156 | $34,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 4,520 | $34,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 17,594 | $34,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 15,728 | $34,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 8,583 | $34,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 2,650 | $34,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 2,390 | $34,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 1,000 | $34,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 635 | $33,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,188 | $33,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 2,418 | $33,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 4,206 | $33,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 14,627 | $33,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 10,352 | $33,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 18,599 | $33,000 | thousands by filing date | |
| WATERSTONE FINANCIAL INC | 941888109 | COM | 3,202 | $33,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 2,500 | $33,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 1,281 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 1,425 | $33,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 1,815 | $32,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 301 | $32,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 4,045 | $32,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 35,000 | $32,000 | thousands by filing date | principal |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 2,300 | $32,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 1,000 | $32,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 2,941 | $32,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,854 | $31,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,847 | $31,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 1,707 | $31,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 2,400 | $31,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 2,958 | $31,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 3,560 | $31,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 855 | $31,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 2,503 | $31,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 6,712 | $31,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 2,988 | $31,000 | thousands by filing date | |
| CORNERSTONE THERAPEUTICS INC | 21924P103 | COM | 3,860 | $31,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 1,000 | $31,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 1,026 | $31,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 1,300 | $30,000 | thousands by filing date | call |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 3,787 | $30,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 6,215 | $30,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,611 | $30,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 1,009 | $30,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 4,013 | $30,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 34,000 | $30,000 | thousands by filing date | principal |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 2,750 | $30,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 5,870 | $30,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,500 | $30,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 20,000 | $30,000 | thousands by filing date | principal |
| COLEMAN CABLE INC | 193459302 | COM | 1,669 | $30,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,413 | $30,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 2,013 | $30,000 | thousands by filing date | |
| LIONS GATE ENTERTAINMENT 3.625% CB 03/15/2025- REG | 53626YAA6 | Bond | 9,000 | $30,000 | thousands by filing date | principal |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,262 | $29,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 566 | $29,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,997 | $29,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 1,900 | $29,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 2,326 | $29,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 2,200 | $29,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 1,148 | $29,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 2,300 | $29,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 1,657 | $29,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 1,330 | $29,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 3,148 | $29,000 | thousands by filing date | |
| HORIZON PHARMA INC | 44047T109 | COM | 11,734 | $29,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 3,135 | $29,000 | thousands by filing date | |
| MOLEX INC | 608554101 | COM | 1,000 | $29,000 | thousands by filing date | put |
| RF MICRODEVICES INC | 749941100 | COM | 5,500 | $29,000 | thousands by filing date | call |
| CONSTANT CONTACT INC | 210313102 | COM | 1,763 | $29,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 3,329 | $29,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 4,369 | $29,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 2,649 | $29,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 13,783 | $29,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 2,012 | $29,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 15,000 | $29,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 18,035 | $29,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 450 | $29,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 382 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 1,200 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 480 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 1,903 | $28,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 6,157 | $28,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 2,085 | $28,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 663 | $28,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 1,321 | $28,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 1,186 | $28,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 2,986 | $28,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1,456 | $28,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 12,205 | $28,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355AF5 | NOTE 4.500%12/0 | 58,000 | $28,000 | thousands by filing date | principal |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 2,743 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 1,247 | $28,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AK9 | DEBT | 21,000 | $28,000 | thousands by filing date | principal |
| TAMINCO CORP | 87509U106 | COM | 1,350 | $28,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 1,000 | $28,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 7,587 | $27,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 2,069 | $27,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 1,162 | $27,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 39,000 | $27,000 | thousands by filing date | principal |
| TEAM INC | 878155100 | COM | 720 | $27,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 9,300 | $27,000 | thousands by filing date | |
| ROSETTA RESOURCES INC | 777779307 | COM | 630 | $27,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,087 | $27,000 | thousands by filing date | |
| CRIMSON EXPLORATION INC | 22662K207 | COM NEW | 9,595 | $27,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 730 | $27,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 1,096 | $27,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 1,292 | $27,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 7,265 | $27,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 261 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 401 | $26,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 556 | $26,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 3,481 | $26,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 1,935 | $26,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,142 | $26,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 526 | $26,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 2,176 | $26,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 1,151 | $26,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 878 | $26,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 1,297 | $26,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 2,700 | $26,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 6,415 | $26,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 3,067 | $26,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 1,260 | $26,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 1,043 | $26,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 1,560 | $26,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 530 | $26,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 1,297 | $26,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 18,332 | $26,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 305 | $26,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 1,600 | $26,000 | thousands by filing date | put |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 24,000 | $26,000 | thousands by filing date | principal |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 14,000 | $26,000 | thousands by filing date | principal |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 1,480 | $26,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 1,622 | $26,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 605 | $25,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 590 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 550 | $25,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,050 | $25,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 804 | $25,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 19,000 | $25,000 | thousands by filing date | principal |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 3,477 | $25,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 6,542 | $25,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 32,805 | $25,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 5,773 | $25,000 | thousands by filing date | |
| USEC INC | 90333E108 | COM | 87,639 | $25,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 1,132 | $25,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 2,088 | $25,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 3,158 | $25,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,700 | $25,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 249 | $24,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 1,815 | $24,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 401 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 417 | $24,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 631 | $24,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 4,797 | $24,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 610 | $24,000 | thousands by filing date | |
| SYNAGEVA BIOPHARMA CORP | 87159A103 | COM | 555 | $24,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 1,656 | $24,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,942 | $24,000 | thousands by filing date | call |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 537 | $24,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 605 | $24,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA | 153443AH9 | NOTE 5.000%11/1 | 25,000 | $24,000 | thousands by filing date | principal |
| OLD POINT FINL CORP | 680194107 | COM | 1,875 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 485 | $23,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 3,723 | $23,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 715 | $23,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 2,170 | $23,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 974 | $23,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 1,445 | $23,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 2,672 | $23,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 498 | $23,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 672 | $23,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,373 | $23,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,133 | $23,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 13,000 | $23,000 | thousands by filing date | principal |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 20,000 | $23,000 | thousands by filing date | principal |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 20,518 | $23,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 414 | $23,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 1,014 | $23,000 | thousands by filing date | |
| GSE HOLDING INC | 36191X100 | COM | 4,022 | $23,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 1,764 | $23,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 4,951 | $23,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 10,900 | $23,000 | thousands by filing date | call |
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 870 | $23,000 | thousands by filing date | |
| CRESCENT FINANCIAL BANCSHARE | 225743103 | COM | 5,250 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 767 | $23,000 | thousands by filing date | |
| BGS ACQUISITION CORP | G1082J118 | *W EXP 03/21/201 | 100,000 | $23,000 | thousands by filing date | call |
| CONNECTONE BANCORP INC | 20786U101 | COM | 761 | $23,000 | thousands by filing date | |
| MARKET VECTORS RARE EARTH/ST | 57060U472 | CMN | 2,509 | $23,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 17,915 | $23,000 | thousands by filing date | |
| ENTREMED INC | 29382F202 | COM | 11,505 | $23,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 500 | $22,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 594 | $22,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 10,397 | $22,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 795 | $22,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 1,800 | $22,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 801 | $22,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 449 | $22,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 1,200 | $22,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 5,489 | $22,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 900 | $22,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 1,718 | $22,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 1,865 | $22,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 2,037 | $22,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 2,978 | $22,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 1,468 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 2,525 | $22,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 707 | $22,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 420 | $21,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 330 | $21,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 295 | $21,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 387 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 247 | $21,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 1,400 | $21,000 | thousands by filing date | put |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 362 | $21,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 2,507 | $21,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 882 | $21,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 219 | $21,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 932 | $21,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 1,187 | $21,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 318 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 520 | $21,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,500 | $21,000 | thousands by filing date | |
| CROSS (A.T.) COMPANY | 227478104 | COMMON STOCK | 1,230 | $21,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 8,100 | $21,000 | thousands by filing date | put |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 1,266 | $21,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AC0 | NOTE 5.000% 6/1 | 20,000 | $21,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 419 | $21,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 2,554 | $21,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 2,471 | $21,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 420 | $21,000 | thousands by filing date | |
| AMTRUST FINANCIAL SERVICES I | 032359AC5 | NOTE 5.500%12/1 | 15,000 | $21,000 | thousands by filing date | principal |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 742 | $21,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 1,983 | $20,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 973 | $20,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,522 | $20,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 1,300 | $20,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 685 | $20,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 3,012 | $20,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 4,430 | $20,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 2,336 | $20,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 746 | $20,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 8,843 | $20,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 9,497 | $20,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 1,576 | $20,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 365 | $20,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 638 | $19,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 1,255 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 910 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 370 | $19,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 496 | $19,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 1,148 | $19,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 248 | $19,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 229 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 381 | $19,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 1,650 | $19,000 | thousands by filing date | |
| ENERGY TRANSFER L P LP | 30064K105 | COM | 554 | $19,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 1,427 | $19,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 3,884 | $19,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 472 | $19,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,435 | $19,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 16,055 | $19,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 1,051 | $19,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 1,320 | $19,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 14,721 | $19,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 20,000 | $19,000 | thousands by filing date | principal |
| FORTEGRA FINANCIAL CORP | 34954W104 | COM | 2,812 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 465 | $19,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 161 | $18,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 589 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 340 | $18,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 2,476 | $18,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 16,035 | $18,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 1,475 | $18,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 873 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 1,180 | $18,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,418 | $18,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 716 | $18,000 | thousands by filing date | |
| NUVEEN | 67071W102 | EXCHANGE TRADED | 1,400 | $18,000 | thousands by filing date | |
| MAGNETEK INC | 559424403 | COMMON STOCK | 1,000 | $18,000 | thousands by filing date | |
| RESPONSYS INC | 761248103 | COM | 1,261 | $18,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 3,650 | $18,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 394 | $18,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 5,089 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC IPATH S&P MT E | 06740C519 | COM | 775 | $18,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 5,459 | $18,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 693 | $18,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 3,825 | $18,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 952 | $18,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 4,858 | $18,000 | thousands by filing date | |
| CARDIONET INC | 14159L103 | COM | 3,049 | $18,000 | thousands by filing date | |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 6,818 | $18,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 700 | $18,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 34,800 | $18,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 795 | $18,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 1,888 | $18,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 808 | $18,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 2,271 | $18,000 | thousands by filing date | |
| CERES INC | 156773103 | COM | 5,642 | $18,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 230 | $17,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 2,265 | $17,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 462 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 388 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 400 | $17,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 400 | $17,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 7,445 | $17,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 4,000 | $17,000 | thousands by filing date | call |
| TOWERSTREAM CORP | 892000100 | COM | 6,770 | $17,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 13,000 | $17,000 | thousands by filing date | principal |
| ROCHESTER MED CORP | 771497104 | COM | 1,202 | $17,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 694 | $17,000 | thousands by filing date | |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 550 | $17,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 4,186 | $17,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 8,859 | $17,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 1,397 | $17,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,023 | $17,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 887 | $17,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,638 | $17,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 7,000 | $17,000 | thousands by filing date | principal |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 214 | $17,000 | thousands by filing date | |
| ISHARES 2013 | 464289388 | 2013 S&P AMTFR | 326 | $17,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 12,000 | $17,000 | thousands by filing date | principal |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 323 | $16,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 400 | $16,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 2,377 | $16,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 1,054 | $16,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,946 | $16,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 2,201 | $16,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 500 | $16,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 1,048 | $16,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 1,408 | $16,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 1,903 | $16,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 253 | $16,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 884 | $16,000 | thousands by filing date | |
| HOMEAWAY INC | 43739Q100 | COM | 483 | $16,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 318 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 625 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 716 | $16,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 5,189 | $16,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 774 | $16,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 2,499 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 288 | $16,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 2,600 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 500 | $16,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 369 | $15,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 140 | $15,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 1,022 | $15,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 501 | $15,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 136 | $15,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 700 | $15,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 219 | $15,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 2,837 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 375 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 703 | $15,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 1,600 | $15,000 | thousands by filing date | put |
| SONDE RESOURCES CORP | 835426107 | COM | 17,800 | $15,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370104 | COM | 1,500 | $15,000 | thousands by filing date | put |
| NOVACOPPER INC | 66988K102 | COM | 8,200 | $15,000 | thousands by filing date | call |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 1,705 | $15,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 995 | $15,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,500 | $15,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,790 | $15,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 737 | $15,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 190 | $15,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 190 | $14,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 1,524 | $14,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 375 | $14,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 1,228 | $14,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 966 | $14,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 234 | $14,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 1,000 | $14,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 2,005 | $14,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 942 | $14,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 2,463 | $14,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 501 | $14,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,065 | $14,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 1,793 | $14,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 1,149 | $14,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 8,000 | $14,000 | thousands by filing date | principal |
| Medgenics Inc New | 58436Q203 | COM NEW | 3,573 | $14,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 934 | $14,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 1,104 | $14,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 1,222 | $14,000 | thousands by filing date | |
| GIVEN IMAGING LTD | M52020100 | ORD | 970 | $14,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 674 | $14,000 | thousands by filing date | |
| TRAVELZOO INC | 89421Q106 | COM | 516 | $14,000 | thousands by filing date | |
| NORTHERN LTS ETF TR | 66537H105 | ARROW DJ GLOBL | 539 | $14,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 3,921 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 460 | $14,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 1,605 | $14,000 | thousands by filing date | |
| FERRO CORP 6.5%13 | 315405AL4 | NOTE 6.500% 8/1 | 14,000 | $14,000 | thousands by filing date | principal |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 206 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 692 | $14,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 1,062 | $14,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 398 | $13,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 770 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 627 | $13,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 1,152 | $13,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 1,041 | $13,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 940 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 877 | $13,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 516 | $13,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 744 | $13,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 848 | $13,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863AL4 | CORPORATE OBLIG | 13,000 | $13,000 | thousands by filing date | principal |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 4,439 | $13,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-13-000197 | this filing | 2013-08-14 | acceptance time not in the bulk data set |