13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-14, with 7,084 holding rows worth $110,430,354,000.
- Accession
- 0000831001-14-000033
- Filer
- CIK 831001
- Filed
- 2014-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 18,535 entries on the cover page, a total value of $110,430,354,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $110,430,354,000 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 Investments Inc.028-10295
- 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 |
|---|---|---|---|---|---|---|
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 1,510 | $72,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 14,000 | $72,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 67,000 | $72,000 | thousands by filing date | principal |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 2,744 | $72,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS 3.000/15/24 | 018804AK0 | NOTE | 45,000 | $72,000 | thousands by filing date | principal |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 6,000 | $72,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 21,152 | $72,000 | thousands by filing date | |
| CLIFTON SAVINGS BANCORP INC | 18712Q103 | COM | 5,592 | $72,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 6,166 | $72,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 4,379 | $72,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 9,443 | $71,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 2,575 | $71,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 5,092 | $71,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 9,953 | $71,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 13,273 | $71,000 | thousands by filing date | |
| MSC INDL DIRECT INC CL A | 553530106 | Stock | 851 | $70,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 1,700 | $70,000 | thousands by filing date | put |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 9,891 | $70,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 3,953 | $70,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 1,469 | $70,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 1,413 | $70,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 4,636 | $70,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 1,914 | $70,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 4,439 | $70,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 3,809 | $70,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 1,253 | $70,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 9,435 | $70,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 4,949 | $69,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 1,805 | $69,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 11,863 | $69,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 2,245 | $69,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 7,373 | $69,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 6,327 | $69,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 2,545 | $69,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 16,995 | $69,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 9,164 | $69,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 4,033 | $69,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 5,512 | $68,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 3,879 | $68,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 5,767 | $68,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 3,771 | $68,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 11,523 | $68,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 3,768 | $68,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 5,565 | $67,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 4,697 | $67,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 5,800 | $67,000 | thousands by filing date | put |
| PC TEL INC | 69325Q105 | COM | 7,037 | $67,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 17,681 | $67,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 18,352 | $67,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 528 | $67,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 5,213 | $67,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 33,238 | $67,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 24,760 | $67,000 | thousands by filing date | |
| LDR HLDG CORP | 50185U105 | COM | 2,862 | $67,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 7,087 | $66,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 6,495 | $66,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 3,700 | $66,000 | thousands by filing date | put |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 3,355 | $66,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS INC | 05334DAA5 | NOTE 1.500% 7/1 | 60,000 | $66,000 | thousands by filing date | principal |
| Accelerate Diagnostics | 00430H102 | COM | 5,414 | $66,000 | thousands by filing date | |
| CORNERSTONE THERAPEUTICS INC | 21924P103 | COM | 6,980 | $66,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 9,342 | $66,000 | thousands by filing date | |
| DWS STRATEGIC INCOME TR | 23338N104 | SHS | 5,106 | $66,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 3,592 | $66,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 709 | $65,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 1,910 | $65,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 4,805 | $65,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 21,100 | $65,000 | thousands by filing date | call |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 781 | $65,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 2,478 | $65,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 8,000 | $65,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 13,985 | $65,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 2,394 | $65,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 1,295 | $65,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 5,700 | $65,000 | thousands by filing date | call |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 3,332 | $65,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 48,300 | $65,000 | thousands by filing date | put |
| CHEGG INC | 163092109 | COM | 7,431 | $64,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 2,434 | $64,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 17,857 | $64,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 52,173 | $64,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 1,642 | $64,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 4,387 | $64,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 5,718 | $64,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 16,091 | $64,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 9,791 | $63,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 12,725 | $63,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 8,540 | $63,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 18,989 | $63,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 27,728 | $63,000 | thousands by filing date | |
| NUVEEN CALIF QUALITY INCM MU | 670985100 | COM | 4,390 | $63,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 2,149 | $63,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 7,024 | $63,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 45,000 | $63,000 | thousands by filing date | principal |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 766 | $62,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 1,620 | $62,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 2,550 | $62,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 2,060 | $62,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 65,790 | $62,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 6,022 | $62,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 3,203 | $62,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 34,966 | $62,000 | thousands by filing date | |
| ARDEN GROUP INC-A | 039762109 | CL A | 497 | $62,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 13,600 | $62,000 | thousands by filing date | put |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 2,975 | $62,000 | thousands by filing date | call |
| ARBOR REALTY TRUST INC | 038923108 | COM | 9,292 | $61,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,051 | $61,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 2,791 | $61,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 5,409 | $61,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 3,502 | $61,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 5,088 | $61,000 | thousands by filing date | |
| AMTRUST FINANCIAL SERVICES I | 032359AC5 | NOTE 5.500%12/1 | 47,000 | $61,000 | thousands by filing date | principal |
| TRI CONTL CORP | 895436103 | COM | 2,984 | $60,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 1,192 | $60,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 1,538 | $60,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 4,758 | $60,000 | thousands by filing date | |
| EXTERRAN HLDGS INC 4.250 | 30225XAA1 | NOTE 4.250% 6/1 | 40,000 | $60,000 | thousands by filing date | principal |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 3,867 | $60,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 490 | $60,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 2,551 | $60,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 3,311 | $60,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 3,451 | $59,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 3,300 | $59,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 3,381 | $59,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 3,750 | $59,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 2,640 | $59,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 7,500 | $59,000 | thousands by filing date | put |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 5,239 | $59,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 5,300 | $59,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 647 | $59,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 7,625 | $59,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 2,616 | $59,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 69,000 | $59,000 | thousands by filing date | principal |
| VITACOST.COM INC | 92847A200 | COM | 10,165 | $59,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 25,551 | $59,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 7,834 | $59,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 2,850 | $59,000 | thousands by filing date | put |
| OMNICARE | 68214L201 | PFD | 800 | $59,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 3,019 | $59,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 4,066 | $59,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 2,587 | $58,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 4,809 | $58,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 2,950 | $58,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 2,426 | $58,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,818 | $58,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 29,368 | $58,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 2,410 | $58,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 4,404 | $58,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 928 | $57,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 7,391 | $57,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 762 | $57,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 4,678 | $57,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 8,740 | $57,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 1,004 | $57,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 650 | $57,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 4,774 | $57,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 3,357 | $57,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 2,296 | $56,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 3,910 | $56,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 2,937 | $56,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 2,840 | $56,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 4,834 | $56,000 | thousands by filing date | |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 2,792 | $56,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 7,104 | $56,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 5,600 | $56,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 3,420 | $56,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 3,490 | $56,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 2,325 | $55,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 1,228 | $55,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 2,019 | $55,000 | thousands by filing date | |
| ISHARES GLBL INFLATION LINKED BOND FUND | 46429B812 | ETF | 1,106 | $55,000 | thousands by filing date | |
| SUNGY MOBILE LTD | 86737M100 | ADR | 2,687 | $55,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 16,675 | $54,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 2,421 | $54,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 4,200 | $54,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 2,139 | $54,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 3,578 | $54,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 7,156 | $54,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 3,902 | $54,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 4,644 | $54,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 4,850 | $54,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 27,527 | $54,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 600 | $54,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 1,572 | $54,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 17,500 | $54,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 1,130 | $53,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,100 | $53,000 | thousands by filing date | put |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 428 | $53,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 4,356 | $53,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 1,562 | $53,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,710 | $53,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 1,596 | $53,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 2,476 | $53,000 | thousands by filing date | |
| RECEPTOS, INC. | 756207106 | COMMON STOCK | 1,844 | $53,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 5,258 | $53,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 50,000 | $53,000 | thousands by filing date | principal |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 1,631 | $53,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 3,532 | $53,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 49,000 | $53,000 | thousands by filing date | principal |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 2,500 | $52,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 4,103 | $52,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,829 | $52,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 2,447 | $52,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 2,704 | $52,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 7,299 | $52,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 32,146 | $52,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 14,847 | $52,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 2,324 | $52,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 2,300 | $52,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 3,459 | $52,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 3,919 | $52,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 11,300 | $52,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 16,700 | $52,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 2,671 | $51,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 3,702 | $51,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 6,320 | $51,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 5,000 | $51,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 2,656 | $51,000 | thousands by filing date | |
| TARGACEPT INC | 87611R306 | COM | 12,336 | $51,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 1,920 | $51,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 3,100 | $51,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 3,941 | $51,000 | thousands by filing date | |
| INTEROIL CORP | 460951AC0 | NOTE 2.750%11/1 | 56,000 | $51,000 | thousands by filing date | principal |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 6,568 | $50,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 3,871 | $50,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 7,643 | $50,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 4,696 | $50,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 1,661 | $50,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 2,836 | $50,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 2,093 | $50,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 5,019 | $50,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 1,088 | $50,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 2,636 | $49,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 3,798 | $49,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 1,820 | $49,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 3,139 | $49,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 2,000 | $49,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 4,099 | $49,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 14,786 | $49,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 6,897 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74348A749 | USD COVERED BD | 493 | $49,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,600 | $48,000 | thousands by filing date | put |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 564 | $48,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 613 | $48,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 1,934 | $48,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 3,981 | $48,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 9,414 | $48,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 10,176 | $48,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 3,177 | $48,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,724 | $47,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 3,439 | $47,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 16,509 | $47,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 2,894 | $47,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 5,834 | $47,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 22,016 | $47,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 3,319 | $47,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 33,842 | $47,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 668 | $47,000 | thousands by filing date | |
| NEWELL RUBBERMAID INC | 651229AH9 | NOTE 5.500% 3/1 | 12,000 | $47,000 | thousands by filing date | principal |
| ISHARES TR | 464288372 | COM | 1,176 | $46,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 12,800 | $46,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 7,517 | $46,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 3,291 | $46,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 9,880 | $46,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 6,221 | $46,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 14,985 | $46,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 162 | $46,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 10,189 | $46,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 2,719 | $46,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 3,617 | $46,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 2,631 | $45,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 3,225 | $45,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 896 | $45,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 6,813 | $45,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 11,053 | $45,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 5,269 | $45,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 6,900 | $45,000 | thousands by filing date | call |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 54,154 | $45,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 1,281 | $45,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 11,319 | $45,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 436 | $44,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 1,975 | $44,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 3,631 | $44,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 6,142 | $44,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 1,433 | $44,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 3,761 | $44,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 852 | $44,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 4,322 | $44,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 6,865 | $44,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 2,103 | $44,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 6,918 | $44,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 4,742 | $44,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 3,566 | $44,000 | thousands by filing date | |
| PENFORD CORP | 707051108 | COM | 3,516 | $44,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 2,882 | $44,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 2,014 | $44,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 1,820 | $44,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 645 | $44,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 4,812 | $43,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 832 | $43,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 332 | $43,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 6,286 | $43,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 2,164 | $43,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 1,290 | $43,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 10,670 | $43,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 1,738 | $43,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 1,000 | $43,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 2,675 | $42,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 4,310 | $42,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 2,776 | $42,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 21,832 | $42,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 2,303 | $42,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 3,632 | $42,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 6,431 | $42,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 505 | $41,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 23,300 | $41,000 | thousands by filing date | call |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 1,216 | $41,000 | thousands by filing date | |
| THERMOGENESIS CORP | 883623308 | COM | 40,544 | $41,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 1,948 | $41,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 606 | $41,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 2,150 | $41,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 9,347 | $40,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 1,069 | $40,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 2,926 | $40,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 23,982 | $40,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 2,325 | $40,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 2,055 | $40,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 17,400 | $40,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 30,191 | $40,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 31,000 | $40,000 | thousands by filing date | principal |
| CDW CORP COM | 12514G108 | Stock | 1,682 | $39,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 32,195 | $39,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 364 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 1,200 | $39,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,668 | $39,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 2,950 | $39,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 1,205 | $39,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 34,000 | $39,000 | thousands by filing date | principal |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 3,039 | $39,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 3,096 | $39,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 3,255 | $39,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,619 | $39,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 595 | $39,000 | thousands by filing date | |
| DORAL FINL CORP COM | 25811P852 | COM | 2,487 | $39,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 1,445 | $38,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 6,200 | $38,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD | 72200R107 | COM | 3,154 | $38,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,747 | $38,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 2,106 | $38,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 1,865 | $38,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 1,463 | $38,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 1,026 | $38,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 735 | $38,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 1,875 | $38,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 20,000 | $38,000 | thousands by filing date | principal |
| GENTIUM S P A | 37250B104 | SPONSORED ADR | 657 | $38,000 | thousands by filing date | |
| EVERYWARE GLOBAL INC | 300439106 | COM | 4,666 | $38,000 | thousands by filing date | |
| T.G.C. INDUSTRIES INC | 872417308 | COM | 5,198 | $38,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AH8 | NOTE 3.125% 7/1 | 30,000 | $38,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 36,000 | $38,000 | thousands by filing date | principal |
| LIONS GATE ENTERTAINMENT 3.625% CB 03/15/2025- REG | 53626YAA6 | Bond | 10,000 | $38,000 | thousands by filing date | principal |
| INTERPARFUMS INC COM | 458334109 | Stock | 1,008 | $37,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 732 | $37,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 10,302 | $37,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 482 | $37,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 1,341 | $37,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 2,404 | $37,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 340 | $37,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 20,295 | $37,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 22,426 | $37,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 2,176 | $37,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 2,438 | $36,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 309 | $36,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 4,700 | $36,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 2,909 | $36,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 1,166 | $36,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 926 | $36,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2,719 | $36,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 3,472 | $36,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 5,723 | $36,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,543 | $36,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 3,139 | $36,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 1,885 | $36,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 10,000 | $36,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 4,783 | $36,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 2,181 | $36,000 | thousands by filing date | |
| JTH HLDG INC | 46637N103 | CL A | 1,472 | $36,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 2,000 | $36,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 1,992 | $36,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 14,349 | $36,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 4,925 | $36,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 35,000 | $36,000 | thousands by filing date | principal |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 1,000 | $36,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 665 | $36,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 11,750 | $36,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 1,302 | $35,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 1,078 | $35,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 648 | $35,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 2,162 | $35,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 905 | $35,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 1,149 | $35,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 2,959 | $35,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 1,735 | $35,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 688 | $35,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 6,927 | $35,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 6,703 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 1,500 | $35,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 1,000 | $35,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102XAG0 | CNV | 34,000 | $35,000 | thousands by filing date | principal |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 1,042 | $35,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 638 | $34,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 382 | $34,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 680 | $34,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 1,718 | $34,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 1,443 | $34,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 8,084 | $34,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 3,966 | $34,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973W107 | COM | 1,000 | $34,000 | thousands by filing date | call |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 1,919 | $34,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 13,000 | $34,000 | thousands by filing date | principal |
| METALICO INC | 591176102 | COM | 16,788 | $34,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 2,975 | $34,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 2,770 | $34,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 5,507 | $34,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 26,300 | $34,000 | thousands by filing date | call |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 2,475 | $33,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 14,274 | $33,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 1,090 | $33,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 1,843 | $33,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 33,000 | $33,000 | thousands by filing date | principal |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 2,513 | $33,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 22,520 | $33,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 5,602 | $33,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 1,887 | $33,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 24,000 | $33,000 | thousands by filing date | principal |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 1,000 | $33,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 24,000 | $33,000 | thousands by filing date | principal |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 2,239 | $33,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 1,000 | $32,000 | thousands by filing date | put |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 4,645 | $32,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 5,417 | $32,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,821 | $32,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,646 | $32,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 62,656 | $32,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 2,000 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 700 | $32,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 7,928 | $32,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 1,556 | $32,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 18,124 | $32,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 982 | $32,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 537 | $32,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 472 | $32,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,190 | $32,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 1,127 | $32,000 | thousands by filing date | |
| NUVEEN PA DIV ADVANTAGE MUN | 67070E103 | COM | 2,667 | $32,000 | thousands by filing date | |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 9,000 | $32,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 1,868 | $32,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 260 | $31,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 4,540 | $31,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 3,000 | $31,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 1,576 | $31,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 1,587 | $31,000 | thousands by filing date | |
| VITRAN CORP | 92850E107 | COMMON STOCK | 4,825 | $31,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 2,125 | $31,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 26,390 | $31,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 2,277 | $31,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 2,556 | $31,000 | thousands by filing date | |
| NUVEEN CA MUN MKT OPPORTUNT | 67062U107 | COM | 2,301 | $31,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 4,921 | $31,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 2,387 | $31,000 | thousands by filing date | |
| HERITAGE FINANCIAL GROUP INC | 42726X102 | COM | 1,596 | $31,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 2,258 | $31,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 930 | $31,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,825 | $31,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 890 | $31,000 | thousands by filing date | |
| INTERMUNE INC | 45884XAE3 | NOTE 2.500% 9/1 | 35,000 | $31,000 | thousands by filing date | principal |
| MAVENIR SYS INC | 577675101 | COM | 2,755 | $31,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 2,048 | $30,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 485 | $30,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 590 | $30,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 2,696 | $30,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 2,857 | $30,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 2,192 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 1,672 | $30,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 1,286 | $30,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 972 | $30,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 2,481 | $30,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 600 | $30,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 3,532 | $30,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 11,260 | $30,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 22,492 | $30,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 1,053 | $30,000 | thousands by filing date | call |
| Gevo Inc | 374396109 | COMMON | 21,223 | $30,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 520 | $30,000 | thousands by filing date | call |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 7,963 | $30,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 1,978 | $30,000 | thousands by filing date | |
| WATERSTONE FINANCIAL INC | 941888109 | COM | 2,789 | $30,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 1,895 | $30,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 32,533 | $30,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 6,342 | $30,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-14-000033 | this filing | 2014-02-14 | acceptance time not in the bulk data set |