13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 6,966 holding rows worth $106,789,686,000.
- Accession
- 0000831001-13-000240
- Filer
- CIK 831001
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 16,803 entries on the cover page, a total value of $106,789,686,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $106,789,686,000 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 |
|---|---|---|---|---|---|---|
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 14,515 | $38,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23338T101 | COM | 3,038 | $38,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 6,200 | $38,000 | thousands by filing date | call |
| FOX CHASE BANCORP INC | 35137T108 | COM | 2,202 | $38,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 36,000 | $38,000 | thousands by filing date | principal |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 6,558 | $37,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 2,471 | $37,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,325 | $37,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 2,658 | $37,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 2,090 | $37,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 2,532 | $37,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 3,777 | $37,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 8,084 | $37,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 2,716 | $37,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 1,715 | $37,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,490 | $37,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 7,635 | $37,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 1,442 | $37,000 | thousands by filing date | |
| MERIDIAN INTERSTAT BANCORP I | 58964Q104 | COM | 1,688 | $37,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 32,000 | $37,000 | thousands by filing date | principal |
| THOMAS PPTYS GROUP INC | 884453101 | COM | 5,466 | $37,000 | thousands by filing date | |
| ESB FINANCIAL CORP | 26884F102 | COM | 2,944 | $37,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 551 | $37,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AH8 | NOTE 3.125% 7/1 | 30,000 | $37,000 | thousands by filing date | principal |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 2,505 | $37,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 329 | $36,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 3,643 | $36,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 2,228 | $36,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 3,000 | $36,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 4,370 | $36,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 2,678 | $36,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 1,975 | $36,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 2,252 | $36,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 4,984 | $36,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 1,700 | $36,000 | thousands by filing date | put |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 1,600 | $36,000 | thousands by filing date | |
| PACER INTL INC TENN | 69373H106 | COM | 5,781 | $36,000 | thousands by filing date | |
| SILICON IMAGE INC | 82705T102 | COM | 6,726 | $36,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 36,197 | $36,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 3,221 | $36,000 | thousands by filing date | |
| HERITAGE FINANCIAL GROUP INC | 42726X102 | COM | 2,090 | $36,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 215 | $35,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 16,060 | $35,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 693 | $35,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 333 | $35,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 1,302 | $35,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 4,962 | $35,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 5,178 | $35,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 2,482 | $35,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 3,053 | $35,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,852 | $35,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 6,549 | $35,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 32,000 | $35,000 | thousands by filing date | principal |
| DEVRY INC DEL | 251893103 | COM | 1,127 | $35,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 18,200 | $35,000 | thousands by filing date | put |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 4,800 | $35,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 8,924 | $35,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 1,626 | $35,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 3,844 | $35,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 8,300 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 1,500 | $35,000 | thousands by filing date | |
| USEC INC | 90333E207 | COMMON | 3,370 | $35,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 1,145 | $35,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,832 | $34,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 3,435 | $34,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 5,000 | $34,000 | thousands by filing date | put |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 19,924 | $34,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 999 | $34,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 2,098 | $34,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 2,229 | $34,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,413 | $34,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 1,841 | $33,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 2,195 | $33,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 2,183 | $33,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 536 | $33,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 2,338 | $33,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 2,092 | $33,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 4,566 | $33,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 3,750 | $33,000 | thousands by filing date | |
| HOME FEDERAL BANCORP INC/ID | 43710G105 | COM | 2,620 | $33,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 2,153 | $33,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 4,492 | $33,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 2,572 | $33,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 1,000 | $33,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 1,000 | $33,000 | thousands by filing date | |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 26,000 | $33,000 | thousands by filing date | principal |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,638 | $33,000 | thousands by filing date | |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 9,000 | $33,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 1,815 | $33,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 900 | $32,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 1,668 | $32,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 4,631 | $32,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 3,629 | $32,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 2,678 | $32,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 3,747 | $32,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 1,718 | $32,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,787 | $32,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,575 | $32,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 978 | $32,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,500 | $32,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 10,000 | $32,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 8,400 | $32,000 | thousands by filing date | call |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 2,750 | $32,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 891 | $32,000 | thousands by filing date | |
| ROSETTA RESOURCES INC | 777779307 | COM | 601 | $32,000 | thousands by filing date | |
| TELLABS INC | 879664100 | COM | 14,300 | $32,000 | thousands by filing date | call |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 1,230 | $32,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 29,000 | $32,000 | thousands by filing date | principal |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 6,374 | $32,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 1,623 | $32,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 714 | $32,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 382 | $31,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 534 | $31,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 806 | $31,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 1,376 | $31,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 427 | $31,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 2,410 | $31,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,225 | $31,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 15,905 | $31,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 6,810 | $31,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 23,753 | $31,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 20,000 | $31,000 | thousands by filing date | principal |
| HORIZON PHARMA INC | 44047T109 | COM | 9,243 | $31,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 7,546 | $31,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 1,016 | $31,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 24,714 | $31,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 12,098 | $31,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 2,635 | $31,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 3,141 | $31,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 10,640 | $31,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 4,203 | $31,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,699 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 1,425 | $31,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 33,343 | $31,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 890 | $31,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 2,300 | $31,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 6,111 | $30,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 3,052 | $30,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 2,145 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 1,300 | $30,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 305 | $30,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 796 | $30,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,796 | $30,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 2,000 | $30,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 2,126 | $30,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 2,450 | $30,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 3,338 | $30,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 4,280 | $30,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,310 | $30,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 4,103 | $30,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC | 538034AB5 | CORPORATE OBLIG | 29,000 | $30,000 | thousands by filing date | principal |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,351 | $30,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,656 | $30,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 1,985 | $30,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,862 | $30,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 1,332 | $30,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS INC | 05334DAA5 | NOTE 1.500% 7/1 | 29,000 | $30,000 | thousands by filing date | principal |
| BRIDGE CAP HLDGS | 108030107 | COM | 1,747 | $30,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 15,899 | $30,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 2,392 | $30,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 1,100 | $30,000 | thousands by filing date | put |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 22,000 | $30,000 | thousands by filing date | principal |
| TRC COS INC | 872625108 | COM | 4,071 | $30,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 8,788 | $30,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 6,456 | $30,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 3,341 | $30,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 1,115 | $30,000 | thousands by filing date | |
| BLACKROCK HIGH YIELD TR | 09248N102 | SHS | 4,401 | $30,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 2,300 | $30,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 1,000 | $30,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 981 | $29,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 1,813 | $29,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 814 | $29,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 281 | $29,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 774 | $29,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 2,053 | $29,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 591 | $29,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 307 | $29,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 1,000 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 1,012 | $29,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 2,141 | $29,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,875 | $29,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,180 | $29,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 1,488 | $29,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 519 | $29,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 1,053 | $29,000 | thousands by filing date | call |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 16,489 | $29,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 3,972 | $29,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 2,294 | $29,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 1,039 | $29,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 3,304 | $29,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 3,187 | $29,000 | thousands by filing date | |
| CMS ENERGY CORP | 125896BD1 | CNV | 15,000 | $29,000 | thousands by filing date | principal |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 1,480 | $29,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 2,349 | $29,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 24,000 | $29,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 332 | $28,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 260 | $28,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223206 | CL A | 593 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 2,028 | $28,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 1,938 | $28,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 1,114 | $28,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 1,000 | $28,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 1,177 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,542 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 842 | $28,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 2,146 | $28,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 27,000 | $28,000 | thousands by filing date | principal |
| CVR Partners, LP | 126633106 | LTD | 1,610 | $28,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 3,070 | $28,000 | thousands by filing date | |
| ROCHESTER MED CORP | 771497104 | COM | 1,414 | $28,000 | thousands by filing date | |
| COLEMAN CABLE INC | 193459302 | COM | 1,365 | $28,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 1,991 | $28,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 13,297 | $28,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 1,391 | $28,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,528 | $28,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 3,408 | $28,000 | thousands by filing date | |
| NASB FINANCIAL INC | 628968109 | COM | 1,032 | $28,000 | thousands by filing date | |
| DWS STRATEGIC INCOME TR | 23338N104 | SHS | 2,044 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 1,234 | $28,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 2,833 | $28,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 706 | $27,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 2,205 | $27,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 590 | $27,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 1,000 | $27,000 | thousands by filing date | call |
| VERINT SYS INC | 92343X100 | COM | 730 | $27,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,008 | $27,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 620 | $27,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 1,165 | $27,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 980 | $27,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 674 | $27,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 2,900 | $27,000 | thousands by filing date | call |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 1,102 | $27,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,414 | $27,000 | thousands by filing date | |
| OUTERWALL INC | 690070107 | COM | 540 | $27,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 3,060 | $27,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 2,716 | $27,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 2,384 | $27,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 1,239 | $27,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 249 | $26,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,563 | $26,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 3,779 | $26,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 881 | $26,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 710 | $26,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 1,904 | $26,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 1,609 | $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 | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 2,189 | $26,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 1,200 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,050 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 494 | $26,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 1,848 | $26,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 1,975 | $26,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 2,579 | $26,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 1,300 | $26,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 3,339 | $26,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 11,665 | $26,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 2,601 | $26,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 636 | $26,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 2,375 | $26,000 | thousands by filing date | |
| INTERVEST BANCSHARES CORP-A | 460927106 | COM | 3,274 | $26,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 796 | $26,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,695 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 614 | $26,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 605 | $26,000 | thousands by filing date | |
| NUVEEN CALIFORNIA | 6706L0102 | COM | 1,996 | $26,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,124 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 290 | $25,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 1,501 | $25,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 1,252 | $25,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 485 | $25,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 1,364 | $25,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 1,401 | $25,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 1,423 | $25,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,419 | $25,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,785 | $25,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 686 | $25,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 575 | $25,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 563 | $25,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 1,232 | $25,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 1,500 | $25,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 6,270 | $25,000 | thousands by filing date | |
| BLACKROCK STRTGC BOND TR | 09249G106 | COM | 1,936 | $25,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 1,132 | $25,000 | thousands by filing date | |
| TAMINCO CORP | 87509U106 | COM | 1,205 | $25,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 24,000 | $25,000 | thousands by filing date | principal |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 5,847 | $25,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 591 | $24,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 700 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 381 | $24,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 168 | $24,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 800 | $24,000 | thousands by filing date | put |
| EHEALTH INC | 28238P109 | COM | 754 | $24,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 2,720 | $24,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 1,234 | $24,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 2,484 | $24,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 1,064 | $24,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,058 | $24,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,310 | $24,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,801 | $24,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,593 | $24,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 678 | $24,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 1,253 | $24,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 3,425 | $24,000 | thousands by filing date | |
| ENCORE ENERGY CORP F | 97717W174 | COM | 1,094 | $24,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 44 | $24,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 7,794 | $24,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 1,196 | $24,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 8,704 | $24,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 1,844 | $24,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,080 | $24,000 | thousands by filing date | |
| BIO REFERENCE LABS INC | 09057G602 | COM | 795 | $24,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 11,988 | $24,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 925 | $24,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 9,561 | $24,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 8,702 | $24,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 8,566 | $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 | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 742 | $24,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 7,238 | $24,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 1,815 | $23,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 1,058 | $23,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 1,675 | $23,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 418 | $23,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 651 | $23,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 1,250 | $23,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 1,578 | $23,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 798 | $23,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 4,290 | $23,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,279 | $23,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 500 | $23,000 | thousands by filing date | |
| BODY CENTRAL CORP | 09689U102 | COM | 3,784 | $23,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 3,417 | $23,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 274 | $23,000 | thousands by filing date | |
| THORATEC CORP | 885175307 | COM | 638 | $23,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 512 | $23,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 1,526 | $23,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 6,309 | $23,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 3,648 | $23,000 | thousands by filing date | |
| ZALICUS INC | 98887C105 | COM | 18,509 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 870 | $23,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 25,361 | $23,000 | thousands by filing date | |
| EASTERN INSURANCE HOLDINGS | 276534104 | COM | 950 | $23,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 3,157 | $23,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 11,505 | $23,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 11,282 | $23,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 4,239 | $23,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 2,000 | $23,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 1,527 | $23,000 | thousands by filing date | |
| DORAL FINL CORP COM | 25811P852 | COM | 1,182 | $23,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 387 | $22,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 247 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 910 | $22,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 342 | $22,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 730 | $22,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 670 | $22,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,787 | $22,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,329 | $22,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 818 | $22,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,869 | $22,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 2,821 | $22,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,506 | $22,000 | thousands by filing date | |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 552 | $22,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,265 | $22,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 22,000 | $22,000 | thousands by filing date | principal |
| IGATE CORP | 45169U105 | COM | 802 | $22,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AQ6 | NOTE 1.500% 8/0 | 12,000 | $22,000 | thousands by filing date | principal |
| RYANAIR HLDGS PLC | 783513104 | SPONSORED ADR | 436 | $22,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 746 | $22,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 16,055 | $22,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 4,630 | $22,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 1,090 | $22,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 1,505 | $22,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 3,600 | $22,000 | thousands by filing date | put |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 1,365 | $22,000 | thousands by filing date | |
| BGS ACQUISITION CORP | G1082J118 | *W EXP 03/21/201 | 100,000 | $22,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 465 | $22,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 1,300 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 488 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 400 | $21,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,065 | $21,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 1,706 | $21,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 1,095 | $21,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 3,935 | $21,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 4,536 | $21,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 381 | $21,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 5,500 | $21,000 | thousands by filing date | |
| CROSS (A.T.) COMPANY | 227478104 | COMMON STOCK | 1,153 | $21,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 13,064 | $21,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AC0 | NOTE 5.000% 6/1 | 20,000 | $21,000 | thousands by filing date | principal |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 1,045 | $21,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 2,335 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 419 | $21,000 | thousands by filing date | |
| PENFORD CORP | 707051108 | COM | 1,456 | $21,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 1,560 | $21,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 8,000 | $21,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 850 | $21,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 867 | $21,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 1,170 | $21,000 | thousands by filing date | |
| US AIRWAYS GROUP INC | 911905AC1 | CNV | 5,000 | $21,000 | thousands by filing date | principal |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 420 | $21,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 6,475 | $21,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 2,584 | $20,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,575 | $20,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 17,624 | $20,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 2,706 | $20,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 507 | $20,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 182 | $20,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,522 | $20,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,373 | $20,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,081 | $20,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 928 | $20,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 667 | $20,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 450 | $20,000 | thousands by filing date | |
| BLACKROCK | 09250E107 | EXCHANGE TRADED | 9,787 | $20,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 340 | $20,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 3,000 | $20,000 | thousands by filing date | put |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 1,132 | $20,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 6,095 | $20,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 1,393 | $20,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,700 | $20,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 5,699 | $20,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 3,119 | $20,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 3,259 | $20,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 2,216 | $20,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| ENTREMED INC | 29382F202 | COM | 11,499 | $20,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 638 | $19,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 830 | $19,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 4,192 | $19,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 1,181 | $19,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 496 | $19,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 380 | $19,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,249 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 438 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 400 | $19,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 1,077 | $19,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,321 | $19,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 2,000 | $19,000 | thousands by filing date | put |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 8,100 | $19,000 | thousands by filing date | put |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 782 | $19,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 14,861 | $19,000 | thousands by filing date | |
| MOLEX INC | 608554101 | COM | 500 | $19,000 | thousands by filing date | put |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,069 | $19,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 961 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 625 | $19,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 693 | $19,000 | thousands by filing date | |
| CLIFTON SAVINGS BANCORP INC | 18712Q103 | COM | 1,553 | $19,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 10,000 | $19,000 | thousands by filing date | principal |
| FORTEGRA FINANCIAL CORP | 34954W104 | COM | 2,162 | $19,000 | thousands by filing date | |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 4,977 | $19,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 2,224 | $19,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 1,373 | $19,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 2,681 | $19,000 | thousands by filing date | |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 784 | $19,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 382 | $18,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 1,020 | $18,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 1,607 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 341 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 388 | $18,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 892 | $18,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 1,000 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 534 | $18,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 240 | $18,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 716 | $18,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,019 | $18,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,167 | $18,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 375 | $18,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 1,316 | $18,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 2,440 | $18,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 2,839 | $18,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550309 | CORPORATE OBLIG | 286 | $18,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,921 | $18,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 887 | $18,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 1,514 | $18,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 13,000 | $18,000 | thousands by filing date | principal |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 17,000 | $18,000 | thousands by filing date | principal |
| Cbs Corporation Cl A New | 124857103 | CLA | 318 | $18,000 | thousands by filing date | |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 550 | $18,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 754 | $18,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 800 | $18,000 | thousands by filing date | |
| GIVEN IMAGING LTD | M52020100 | ORD | 912 | $18,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 784 | $18,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,626 | $18,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 4,635 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 127 | $18,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 745 | $18,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,364 | $18,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 1,100 | $18,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 230 | $17,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 337 | $17,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 374 | $17,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 876 | $17,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 2,007 | $17,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,628 | $17,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 2,100 | $17,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 5,988 | $17,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 760 | $17,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-13-000240 | this filing | 2013-11-14 | acceptance time not in the bulk data set |