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 |
|---|---|---|---|---|---|---|
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 2,485 | $17,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 8,700 | $17,000 | thousands by filing date | call |
| Proshs Ultrapro New Etf | 74348A665 | PSHS ULTSHT INDL | 830 | $17,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 8,878 | $17,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 1,333 | $17,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,990 | $17,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 5,948 | $17,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,214 | $17,000 | thousands by filing date | |
| GLOBAL GEOPHYSICAL SERVICES | 37946S107 | COM | 6,290 | $17,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 2,807 | $17,000 | thousands by filing date | |
| PROSHRE ULT DJ-UBS CRUDE OIL | 74347W650 | CMN | 482 | $17,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 701 | $17,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 320 | $16,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 1,134 | $16,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 232 | $16,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 581 | $16,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 1,118 | $16,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 1,562 | $16,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,086 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 444 | $16,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 498 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 375 | $16,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 237 | $16,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 1,279 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 1,194 | $16,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,211 | $16,000 | thousands by filing date | |
| SONDE RESOURCES CORP | 835426107 | COM | 16,700 | $16,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892507 | CV 8% CUM PFD-D | 636 | $16,000 | thousands by filing date | |
| AUTONAVI HLDGS LTD | 05330F106 | SPONSORED ADR | 1,060 | $16,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 7,311 | $16,000 | thousands by filing date | |
| CELSION CORPORATION | 15117N305 | COM NEW | 14,249 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 716 | $16,000 | thousands by filing date | |
| TOWER GROUP INTL LTD | 891777AC8 | NOTE | 19,000 | $16,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 288 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 1,625 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 692 | $16,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,347 | $16,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 2,041 | $15,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,231 | $15,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 146 | $15,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 245 | $15,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 1,292 | $15,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 733 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 782 | $15,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,583 | $15,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 5,313 | $15,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 674 | $15,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 546 | $15,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 550 | $15,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 695 | $15,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 1,016 | $15,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 1,440 | $15,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 1,254 | $15,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 800 | $15,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 600 | $15,000 | thousands by filing date | |
| REED ELSEVIER PLC-SPONS ADR | 758205207 | SPON | 280 | $15,000 | thousands by filing date | |
| ARDEN GROUP INC-A | 039762109 | CL A | 120 | $15,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 475 | $15,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 470 | $15,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 916 | $15,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 2,228 | $15,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 898 | $15,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 591 | $15,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q709 | UNIT 99/99/9999 | 500 | $15,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 206 | $15,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461852 | EGSHARE EM METLS | 1,500 | $15,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 190 | $15,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,782 | $14,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 12,902 | $14,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 681 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 772 | $14,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 152 | $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 | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,063 | $14,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 971 | $14,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 1,116 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,076 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 320 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 429 | $14,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,049 | $14,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863AL4 | CORPORATE OBLIG | 14,000 | $14,000 | thousands by filing date | principal |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 21,568 | $14,000 | thousands by filing date | |
| RESPONSYS INC | 761248103 | COM | 863 | $14,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 3,862 | $14,000 | thousands by filing date | |
| WATERSTONE FINANCIAL INC | 941888109 | COM | 1,409 | $14,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 4,639 | $14,000 | thousands by filing date | |
| CNH GLOBAL N V | N20935206 | SHS NEW | 1,077 | $14,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 788 | $14,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $14,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 2,400 | $14,000 | thousands by filing date | |
| CHELSEA THERAPEUTICS INTL LT | 163428105 | COM | 4,630 | $14,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 2,900 | $14,000 | thousands by filing date | call |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1,115 | $14,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 550 | $14,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 12,000 | $14,000 | thousands by filing date | principal |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 902 | $14,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP/THE | 320771108 | COM | 17,415 | $14,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 455 | $14,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 500 | $14,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 1,600 | $14,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 500 | $13,000 | thousands by filing date | call |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 200 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 634 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 266 | $13,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 331 | $13,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 234 | $13,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 1,116 | $13,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 2,641 | $13,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,025 | $13,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 706 | $13,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 449 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 170 | $13,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 614 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 500 | $13,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 4,687 | $13,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664707 | PFD SER K | 577 | $13,000 | thousands by filing date | |
| MINDSPEED TECHNOLOGIES INC | 602682205 | COM NEW | 4,224 | $13,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 1,218 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 500 | $13,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 1,100 | $13,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 897 | $13,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 1,835 | $13,000 | thousands by filing date | |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 430 | $13,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 1,500 | $13,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 4,712 | $13,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 303 | $13,000 | thousands by filing date | |
| JAPAN EQUITY FD INC | 471057109 | COM | 1,898 | $13,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 3,571 | $13,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 907 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 444 | $13,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 1,215 | $12,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 1,755 | $12,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 487 | $12,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 2,168 | $12,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 458 | $12,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 743 | $12,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 1,784 | $12,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 264 | $12,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,000 | $12,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 336 | $12,000 | thousands by filing date | |
| Susser Petroleum Partners, LP | 869239103 | LTD | 400 | $12,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 1,973 | $12,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 19,095 | $12,000 | thousands by filing date | |
| EDGEN GROUP INC | 28014Q107 | CL A | 1,623 | $12,000 | thousands by filing date | |
| CRIMSON EXPLORATION INC | 22662K207 | COM NEW | 4,062 | $12,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 255 | $12,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 1,571 | $12,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 1,278 | $12,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 7,300 | $12,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 1,667 | $12,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 1,049 | $12,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 1,167 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 500 | $12,000 | thousands by filing date | |
| USEC INC | 90333E207 | COMMON | 1,136 | $12,000 | thousands by filing date | put |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 202 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 294 | $12,000 | thousands by filing date | |
| CSR PLC | 12640Y205 | SPONSORED ADR | 358 | $12,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 847 | $12,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 549 | $12,000 | thousands by filing date | |
| CHINA SHENGDA PACKAGING GROU | 16950V107 | COM | 10,000 | $12,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 2,177 | $12,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,570 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 500 | $11,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 500 | $11,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 625 | $11,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 767 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 825 | $11,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 500 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 318 | $11,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 700 | $11,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 500 | $11,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 343 | $11,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 678 | $11,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 848 | $11,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 686 | $11,000 | thousands by filing date | |
| L-3 COMMUNICATIONS CORP | 502413AW7 | DEBT 3.000% 8/0 | 10,000 | $11,000 | thousands by filing date | principal |
| PHARMATHENE INC | 71714G102 | COM | 5,022 | $11,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 2,560 | $11,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 270 | $11,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 1,642 | $11,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 1,043 | $11,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 2,038 | $11,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $11,000 | thousands by filing date | call |
| ROSETTA STONE INC | 777780107 | COM | 670 | $11,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD FD V | 09255N102 | COM | 909 | $11,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 816 | $11,000 | thousands by filing date | |
| STEINWAY MUSICAL INSTRUMENTS | 858495104 | COM | 282 | $11,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 318 | $11,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 160 | $11,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786U101 | COM | 316 | $11,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC | 127387AJ7 | NOTE | 6,000 | $11,000 | thousands by filing date | principal |
| PROMOTORA DE INFORMACIONES-A | 74343G204 | CMN | 6,750 | $11,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P881 | IDX FUTRS NT30 | 700 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 750 | $11,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 749 | $11,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 971 | $11,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 300 | $11,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 250 | $10,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 4,626 | $10,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 600 | $10,000 | thousands by filing date | put |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 156 | $10,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 882 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 96 | $10,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 550 | $10,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 461 | $10,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 301 | $10,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 1,300 | $10,000 | thousands by filing date | put |
| MV OIL TR | 553859109 | TR UNITS | 350 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 147 | $10,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 36 | $10,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 444 | $10,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 685 | $10,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 2,021 | $10,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 2,879 | $10,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 1,403 | $10,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 5,266 | $10,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 40 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 275 | $10,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 659 | $10,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 4,894 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 500 | $10,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 1,200 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 758 | $10,000 | thousands by filing date | |
| ING ASIA PAC HGH DIVID EQ IN | 44983J107 | COM | 760 | $10,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 1,237 | $10,000 | thousands by filing date | |
| LCA-VISION INC | 501803308 | COM | 2,900 | $10,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 806 | $10,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 5,601 | $10,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,356 | $10,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 700 | $10,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,800 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 355 | $10,000 | thousands by filing date | |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 10,000 | $10,000 | thousands by filing date | principal |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 626 | $10,000 | thousands by filing date | |
| ISHARES GLBL INFLATION LINKED BOND FUND | 46429B812 | ETF | 200 | $10,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 648 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 458 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M662 | GUGG ENH CRE BN | 211 | $10,000 | thousands by filing date | |
| STANDARD REGISTER CO | 853887206 | COM | 925 | $10,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 7,605 | $10,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 1,582 | $10,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 1,000 | $10,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 200 | $9,000 | thousands by filing date | |
| INTERFACE INC | 458665304 | COM | 428 | $9,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 100 | $9,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 218 | $9,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 538 | $9,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 500 | $9,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 500 | $9,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,716 | $9,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 2,611 | $9,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 500 | $9,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 957 | $9,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 200 | $9,000 | thousands by filing date | call |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,000 | $9,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 532 | $9,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,500 | $9,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 200 | $9,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 471 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 500 | $9,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 6,355 | $9,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 1,915 | $9,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 500 | $9,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 4,960 | $9,000 | thousands by filing date | |
| PROSHARES ULTRASHORT TECH | 74347X153 | COM | 326 | $9,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 500 | $9,000 | thousands by filing date | |
| ISHARES TR | 46429B382 | MSCI EMKT LATN | 200 | $9,000 | thousands by filing date | |
| DB-X FUNDS | 233052208 | XTRAK 2020TGT DT | 346 | $9,000 | thousands by filing date | |
| MATERIAL SCIENCES CORP | 576674105 | COM | 1,000 | $9,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 550 | $9,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 7,200 | $9,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 135 | $8,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 1,900 | $8,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 49 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 200 | $8,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 1,353 | $8,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 262 | $8,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 299 | $8,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 491 | $8,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 232 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 324 | $8,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 666 | $8,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 448 | $8,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 264 | $8,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 311 | $8,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 798 | $8,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 600 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 155 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 199 | $8,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 761 | $8,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 596 | $8,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 3,765 | $8,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 225 | $8,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 599 | $8,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 403 | $8,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815AB8 | NOTE 6.500% 5/1 | 8,000 | $8,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 375 | $8,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 500 | $8,000 | thousands by filing date | put |
| HUDSON GLOBAL INC | 443787106 | COM | 2,589 | $8,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 610 | $8,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 963 | $8,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 2,983 | $8,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 650 | $8,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 3,040 | $8,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 2,685 | $8,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 2,152 | $8,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 7,800 | $8,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG | 03938LAK0 | NOTE 5.000% 5/1 | 8,000 | $8,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 132 | $8,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 10,600 | $8,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 475 | $8,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 100 | $8,000 | thousands by filing date | |
| SINGAPORE FUND | 82929L109 | COM | 598 | $8,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 221 | $8,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U530 | LAT AM SML CAP | 400 | $8,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 232 | $8,000 | thousands by filing date | |
| POSTROCK ENERGY CORP | 737525105 | COM | 5,850 | $8,000 | thousands by filing date | |
| REGADO BIOSCIENCE INC | 75874Q107 | COM | 1,220 | $8,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 491 | $7,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 292 | $7,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 108 | $7,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 144 | $7,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 311 | $7,000 | thousands by filing date | |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 255 | $7,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 537 | $7,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 672 | $7,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 2,900 | $7,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 1,353 | $7,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 72 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 190 | $7,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 247 | $7,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 3,100 | $7,000 | thousands by filing date | call |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 2,490 | $7,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 2,000 | $7,000 | thousands by filing date | |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 1,100 | $7,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 442 | $7,000 | thousands by filing date | |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 341 | $7,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 5,505 | $7,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 315 | $7,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 5,803 | $7,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 4,098 | $7,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| NUVEEN CA INVT QUALITY MUN F | 67062A101 | COM | 500 | $7,000 | thousands by filing date | |
| NUVEEN CA MUN MKT OPPORTUNT | 67062U107 | COM | 500 | $7,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 487 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 500 | $7,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 419 | $7,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 338 | $7,000 | thousands by filing date | |
| L+L ENERGY INC | 50162D100 | COM | 5,433 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X567 | ULTSHT CHINA 25 | 397 | $7,000 | thousands by filing date | |
| Lihua International Inc. | 532352101 | COM | 1,400 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A301 | ULTRASHORT EUROP | 369 | $7,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 300 | $7,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 980 | $7,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 652 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 160 | $7,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,872 | $7,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 188 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 124 | $6,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 298 | $6,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 7,622 | $6,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 546 | $6,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 244 | $6,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 554 | $6,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 553 | $6,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 85 | $6,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 686 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 126 | $6,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 223 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 81 | $6,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 4,566 | $6,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 400 | $6,000 | thousands by filing date | |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 562 | $6,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 3,015 | $6,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 5 | $6,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 539 | $6,000 | thousands by filing date | |
| COGENT COMM GROUP INC | 19239VAB0 | NOTE 1.000% 6/1 | 6,000 | $6,000 | thousands by filing date | principal |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 113 | $6,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 186 | $6,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 1,266 | $6,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 759 | $6,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 1,957 | $6,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 743 | $6,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 1,051 | $6,000 | thousands by filing date | |
| PRIMUS TELECOMMUNICATIONS GR | 741929301 | COM | 1,824 | $6,000 | thousands by filing date | |
| BLACKROCK SR HIGH INCOME FD | 09255T109 | COM | 1,600 | $6,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 1,083 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 199 | $6,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 1,100 | $6,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 92 | $6,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 4,731 | $6,000 | thousands by filing date | |
| NUVEEN PA DIV ADVANTAGE MUN | 67070E103 | COM | 529 | $6,000 | thousands by filing date | |
| IGO INC | 449593201 | COM | 2,016 | $6,000 | thousands by filing date | |
| WESTMORELAND COAL CO | 960878304 | PFD DP A CV1/4 | 200 | $6,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 80 | $5,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 130 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 100 | $5,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 387 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 411 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 155 | $5,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 174 | $5,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 85 | $5,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 500 | $5,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 455 | $5,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 267 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 384 | $5,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 210 | $5,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 600 | $5,000 | thousands by filing date | call |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 501 | $5,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,800 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 150 | $5,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 260 | $5,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 390 | $5,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 488 | $5,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 846 | $5,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 218 | $5,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 121 | $5,000 | thousands by filing date | |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W395 | FUND | 62 | $5,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 170 | $5,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 310 | $5,000 | thousands by filing date | |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 20,000 | $5,000 | thousands by filing date | principal |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 666 | $5,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 5,000 | $5,000 | thousands by filing date | |
| Nuveen Cal Performance | 67062Q106 | COM | 375 | $5,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 180 | $5,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 550 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 101 | $5,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 349 | $5,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 2,300 | $5,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 2,500 | $5,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 4,452 | $5,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 245 | $5,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 1,567 | $5,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 116 | $5,000 | thousands by filing date | |
| FRISCH'S RESTAURANTS INC | 358748101 | COM | 200 | $5,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 3,428 | $5,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 2,250 | $5,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 1,325 | $5,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 1,000 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 137 | $5,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 330 | $5,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 196 | $5,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 368 | $5,000 | thousands by filing date | |
| CERES INC | 156773103 | COM | 3,673 | $5,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 2,277 | $5,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 243 | $5,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 196 | $5,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 200 | $5,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 5,000 | $5,000 | thousands by filing date | principal |
| XG TECHNOLOGY INC | 98372A309 | COM PAR$.00001 | 975 | $5,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 138 | $4,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 100 | $4,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 624 | $4,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 200 | $4,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 45 | $4,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 141 | $4,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 330 | $4,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 200 | $4,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 234 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 247 | $4,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,118 | $4,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 485 | $4,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 635 | $4,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 300 | $4,000 | thousands by filing date | |
| FAB UNVL CORP COM | 302771100 | COM | 500 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 98 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 76 | $4,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 652 | $4,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 180 | $4,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 6,000 | $4,000 | thousands by filing date | principal |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 100 | $4,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 4,837 | $4,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 500 | $4,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 350 | $4,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 500 | $4,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 318 | $4,000 | thousands by filing date | |
| PARAMETRIC SOUND CORP | 699172201 | COM NEW | 290 | $4,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 3,606 | $4,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 390 | $4,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 1,361 | $4,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 141 | $4,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 50 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 166 | $4,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 1,126 | $4,000 | thousands by filing date | |
| ISHARES TR | 46429B770 | ISHARES INT INFL LINKED BOND | 88 | $4,000 | thousands by filing date | |
| BLACKROCK CORPOR HIGH YLD FD | 09255L106 | COM | 470 | $4,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 115 | $4,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 3,123 | $4,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 4,097 | $4,000 | thousands by filing date | |
| NATIONAL TECHNICAL SYSTEM IN | 638104109 | COM | 194 | $4,000 | thousands by filing date | |
| ROMA FINANCIAL CORP | 77581P109 | COM | 181 | $4,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 160 | $4,000 | thousands by filing date | |
| ALLIANCE DATA SYSTEMS CORP CONV DTD 5/15/2010 4.75% 5/15/2014 | 018581AC2 | CONVERTIBLE | 1,000 | $4,000 | thousands by filing date | principal |
| MFS CALIF MUN FD | 59318C106 | COM | 375 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 151 | $4,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 745 | $4,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 700 | $4,000 | thousands by filing date | |
| ISHARES TR | 464289503 | S&P TARGET 25 | 100 | $4,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 379 | $4,000 | 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 |