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 |
|---|---|---|---|---|---|---|
| CMS ENERGY CORP | 125896BD1 | CNV | 15,000 | $30,000 | thousands by filing date | principal |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 482 | $29,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 1,416 | $29,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 281 | $29,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 2,281 | $29,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,700 | $29,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 3,943 | $29,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 895 | $29,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 629 | $29,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 1,519 | $29,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 684 | $29,000 | thousands by filing date | |
| NUVEEN | 67071W102 | EXCHANGE TRADED | 2,469 | $29,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 1,079 | $29,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,732 | $29,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 4,500 | $29,000 | thousands by filing date | call |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 9,181 | $29,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 1,799 | $29,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 28,000 | $29,000 | thousands by filing date | principal |
| FORTEGRA FINANCIAL CORP | 34954W104 | COM | 3,438 | $29,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 2,300 | $29,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 1,188 | $29,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 1,480 | $29,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 420 | $28,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 2,100 | $28,000 | thousands by filing date | call |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 2,185 | $28,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 1,252 | $28,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,634 | $28,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,563 | $28,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 246 | $28,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 1,900 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,620 | $28,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 2,275 | $28,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 2,700 | $28,000 | thousands by filing date | call |
| CIFC CORP | 12547R105 | COM | 3,652 | $28,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 40,777 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 700 | $28,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 605 | $28,000 | thousands by filing date | |
| US AIRWAYS GROUP INC | 911905AC1 | CNV | 5,000 | $28,000 | thousands by filing date | principal |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 3,616 | $28,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 1,598 | $28,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 332 | $27,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 2,127 | $27,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 1,081 | $27,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 2,289 | $27,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 1,318 | $27,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 884 | $27,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,882 | $27,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 2,250 | $27,000 | thousands by filing date | |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 1,200 | $27,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 5,422 | $27,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 1,977 | $27,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786U101 | COM | 667 | $27,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 1,705 | $27,000 | thousands by filing date | |
| NUVEEN CALIFORNIA | 6706L0102 | COM | 2,096 | $27,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 1,800 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 1,303 | $27,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 900 | $27,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 224 | $26,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,371 | $26,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 3,266 | $26,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 485 | $26,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 290 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 381 | $26,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 2,000 | $26,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 2,115 | $26,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 910 | $26,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,577 | $26,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 1,375 | $26,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 3,189 | $26,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 4,000 | $26,000 | thousands by filing date | put |
| OVASCIENCE INC | 69014Q101 | COM | 2,859 | $26,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 17,264 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 825 | $26,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 2,130 | $26,000 | thousands by filing date | |
| TORTOISE ENERGY CAP CORP | 89147U100 | COM | 792 | $26,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 2,818 | $26,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 3,773 | $26,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 700 | $25,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 614 | $25,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 785 | $25,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 2,822 | $25,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 2,000 | $25,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,541 | $25,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 8,414 | $25,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 1,151 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 500 | $25,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 970 | $25,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 2,339 | $25,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 3,233 | $25,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 2,200 | $25,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 6,208 | $25,000 | thousands by filing date | |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 970 | $25,000 | thousands by filing date | |
| USEC INC | 90333E207 | COMMON | 3,677 | $25,000 | thousands by filing date | |
| PROSHRE ULT DJ-UBS CRUDE OIL | 74347W650 | CMN | 766 | $25,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 453 | $24,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 6,458 | $24,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 646 | $24,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,824 | $24,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 1,492 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 910 | $24,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 2,600 | $24,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 2,063 | $24,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 1,000 | $24,000 | thousands by filing date | call |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 1,340 | $24,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 3,935 | $24,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,003 | $24,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 3,184 | $24,000 | thousands by filing date | |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 828 | $24,000 | thousands by filing date | |
| BODY CENTRAL CORP | 09689U102 | COM | 6,165 | $24,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 746 | $24,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 1,210 | $24,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 3,182 | $24,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,750 | $24,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 1,875 | $24,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 1,622 | $24,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 2,007 | $24,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 590 | $24,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 4,497 | $24,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 2,070 | $23,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 342 | $23,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 1,913 | $23,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 1,650 | $23,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 687 | $23,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 2,929 | $23,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 6,166 | $23,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 728 | $23,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 472 | $23,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 432 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 870 | $23,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 17,062 | $23,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y322 | COM | 916 | $23,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 1,815 | $22,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 1,797 | $22,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 1,977 | $22,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,315 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 230 | $22,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 756 | $22,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 5,000 | $22,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863AL4 | CORPORATE OBLIG | 22,000 | $22,000 | thousands by filing date | principal |
| ETFS Gold Trust | 26922Y105 | ETF | 182 | $22,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 1,623 | $22,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 2,197 | $22,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,204 | $22,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA | 153443AH9 | NOTE 5.000%11/1 | 25,000 | $22,000 | thousands by filing date | principal |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 821 | $22,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 1,511 | $22,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,666 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 172 | $21,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 825 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 210 | $21,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 1,000 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 434 | $21,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 381 | $21,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 4,000 | $21,000 | thousands by filing date | call |
| STARTEK INC | 85569C107 | COM | 3,170 | $21,000 | thousands by filing date | |
| VOLCANO CORPORATION | 928645100 | COM | 955 | $21,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 2,233 | $21,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 8,959 | $21,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 5,247 | $21,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 1,807 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 419 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 932 | $21,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 898 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 382 | $21,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 2,993 | $21,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 5,245 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 721 | $20,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,522 | $20,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 844 | $20,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 1,389 | $20,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 1,769 | $20,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 453 | $20,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 1,037 | $20,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 410 | $20,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 2,000 | $20,000 | thousands by filing date | put |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 1,936 | $20,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 2,608 | $20,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 1,842 | $20,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 6,395 | $20,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AC0 | NOTE 5.000% 6/1 | 20,000 | $20,000 | thousands by filing date | principal |
| NUTRI SYS INC NEW | 67069D108 | COM | 1,200 | $20,000 | thousands by filing date | call |
| TRONOX LTD | Q9235V101 | SHS CL A | 870 | $20,000 | thousands by filing date | |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 4,564 | $20,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 318 | $20,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,071 | $20,000 | thousands by filing date | |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 550 | $20,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 2,030 | $20,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 3,800 | $20,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 6,000 | $20,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 700 | $20,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 400 | $20,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| ENTREMED INC | 29382F202 | COM | 11,499 | $20,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 230 | $19,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 197 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 388 | $19,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 2,680 | $19,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 817 | $19,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,060 | $19,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 3,751 | $19,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 929 | $19,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 693 | $19,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,260 | $19,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 7,385 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 543 | $19,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 1,000 | $19,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 1,504 | $19,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 1,000 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,000 | $18,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 716 | $18,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 722 | $18,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 11,800 | $18,000 | thousands by filing date | put |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 1,710 | $18,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 800 | $18,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 19,039 | $18,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 3,952 | $18,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 1,065 | $18,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 1,055 | $18,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 1,367 | $18,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 3,664 | $18,000 | thousands by filing date | |
| NEWLEAD HOLDINGS LTD | G64626149 | SHS PAR $0.01 | 10,310 | $18,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 329 | $17,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 418 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 674 | $17,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 343 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 375 | $17,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 925 | $17,000 | thousands by filing date | |
| ENCORE ENERGY CORP F | 97717W174 | COM | 758 | $17,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 7,491 | $17,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 13,359 | $17,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,399 | $17,000 | thousands by filing date | |
| REED ELSEVIER PLC-SPONS ADR | 758205207 | SPON | 298 | $17,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 1,166 | $17,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 3,253 | $17,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 996 | $17,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 600 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 226 | $17,000 | thousands by filing date | |
| EDWARDS GROUP LTD | 281736108 | SPONSORED ADR | 1,695 | $17,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 148 | $16,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 2,030 | $16,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 400 | $16,000 | thousands by filing date | call |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 15,000 | $16,000 | thousands by filing date | principal |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 5,704 | $16,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 747 | $16,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 384 | $16,000 | thousands by filing date | |
| PPL CORP | 69351T114 | UNIT 99/99/9999S | 305 | $16,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 2,609 | $16,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 5,737 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 716 | $16,000 | thousands by filing date | |
| US STEEL CORP | 912909AE8 | NOTE | 15,000 | $16,000 | thousands by filing date | principal |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 3,359 | $16,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 2,200 | $16,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 1,551 | $16,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 206 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 692 | $16,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 5,381 | $16,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,235 | $15,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 140 | $15,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 1,191 | $15,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 1,211 | $15,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 853 | $15,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 813 | $15,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,459 | $15,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 622 | $15,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 543 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 429 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 300 | $15,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 423,289 | $15,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,428 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 522 | $15,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 3,400 | $15,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 13,000 | $15,000 | thousands by filing date | principal |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 1,672 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 578 | $15,000 | thousands by filing date | |
| AUTONAVI HLDGS LTD | 05330F106 | SPONSORED ADR | 1,032 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 500 | $15,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 8,864 | $15,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $15,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 560 | $15,000 | thousands by filing date | |
| ProShares UltraShort Russell 2000 ETF | 74348A202 | Com | 1,218 | $15,000 | thousands by filing date | |
| GLOBAL GEOPHYSICAL SERVICES | 37946S107 | COM | 9,289 | $15,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 2,889 | $15,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 684 | $15,000 | thousands by filing date | |
| NUVEEN PA PREMIUM INC MUNI 2 | 67061F101 | COM | 1,258 | $15,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 288 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 1,625 | $15,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 1,334 | $15,000 | thousands by filing date | |
| PROMOTORA DE INFORMACIONES-A | 74343G204 | CMN | 6,752 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A301 | ULTRASHORT EUROP | 1,005 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X883 | GLB RL RETURN | 347 | $15,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,392 | $15,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 190 | $15,000 | thousands by filing date | |
| TUCOWS INC | 898697107 | COM | 1,001 | $15,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 200 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 638 | $14,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 1,553 | $14,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 125 | $14,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,140 | $14,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 2,000 | $14,000 | thousands by filing date | put |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 800 | $14,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 700 | $14,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 1,204 | $14,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 589 | $14,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 1,097 | $14,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 1,300 | $14,000 | thousands by filing date | put |
| AXT INC | 00246W103 | COM | 5,353 | $14,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 3,918 | $14,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 4,500 | $14,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 869 | $14,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 200 | $14,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 600 | $14,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,195 | $14,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 1,100 | $14,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 685 | $14,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,061 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 500 | $14,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 705 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 400 | $14,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,322 | $14,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $14,000 | thousands by filing date | call |
| ING INFRASTRUCTURE INDLS & M | 45685U100 | COM | 822 | $14,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 7,434 | $14,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,616 | $14,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 506 | $14,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 560 | $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 | |
| PROSHARES ULTRASHORT SEMICON | 74347X245 | Cmn | 691 | $14,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 1,215 | $13,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 3,261 | $13,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 300 | $13,000 | thousands by filing date | call |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 234 | $13,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 500 | $13,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 679 | $13,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 808 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 184 | $13,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 8,100 | $13,000 | thousands by filing date | put |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 960 | $13,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694AB3 | NOTE 3.800% 7/0 | 10,000 | $13,000 | thousands by filing date | principal |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 6,198 | $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 | |
| FIRST FED BNCSHS OF ARKANSAS | 32020F303 | COM | 1,535 | $13,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 160 | $13,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 725 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 444 | $13,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 492 | $13,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 3,185 | $13,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 413 | $12,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 5,881 | $12,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 567 | $12,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 676 | $12,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 791 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 210 | $12,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 964 | $12,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 150 | $12,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 512 | $12,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 1,630 | $12,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,290 | $12,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 617 | $12,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 101 | $12,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $12,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 1,407 | $12,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 1,226 | $12,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 686 | $12,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,362 | $12,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 336 | $12,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 2,200 | $12,000 | thousands by filing date | put |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 4,226 | $12,000 | thousands by filing date | |
| L+L ENERGY INC | 50162D100 | COM | 8,196 | $12,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 600 | $12,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 336 | $12,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 736 | $12,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 9,000 | $12,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 294 | $12,000 | thousands by filing date | |
| PROSHARES SHORT SMALLCAP600 | 74347R784 | COM | 822 | $12,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 500 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 886 | $12,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 1,773 | $12,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,929 | $12,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 1,800 | $12,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 250 | $11,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 310 | $11,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 684 | $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 | |
| LAKELAND INDS INC | 511795106 | COM | 2,000 | $11,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 705 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 205 | $11,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 678 | $11,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 158 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 874 | $11,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,000 | $11,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 19,917 | $11,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 8,352 | $11,000 | thousands by filing date | |
| ASIAINFO-LINKAGE INC | 04518A104 | COM | 894 | $11,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 953 | $11,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 3,614 | $11,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 2,772 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 255 | $11,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 602 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 643 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W227 | COM | 331 | $11,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 586 | $11,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 1,762 | $11,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 2,796 | $11,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526203 | PFD CONV SER A | 1,550 | $11,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 905 | $11,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 929 | $11,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,200 | $10,000 | thousands by filing date | put |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 900 | $10,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 500 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 99 | $10,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 441 | $10,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,988 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 297 | $10,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 248 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 204 | $10,000 | thousands by filing date | |
| LINEAR TECH INC | 535678AC0 | CORPORATE OBLIG | 9,000 | $10,000 | thousands by filing date | principal |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 6,592 | $10,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 6,449 | $10,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 2,560 | $10,000 | thousands by filing date | |
| AMBIT BIOSCIENCES CORP | 02318X100 | COM | 1,000 | $10,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 9,000 | $10,000 | thousands by filing date | principal |
| RYANAIR HLDGS PLC | 783513104 | SPONSORED ADR | 219 | $10,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 2,151 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 500 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 500 | $10,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 1,444 | $10,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 695 | $10,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 976 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 758 | $10,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 2,439 | $10,000 | thousands by filing date | |
| ING ASIA PAC HGH DIVID EQ IN | 44983J107 | COM | 779 | $10,000 | thousands by filing date | |
| GIVEN IMAGING LTD | M52020100 | ORD | 349 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 355 | $10,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 300 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M662 | GUGG ENH CRE BN | 211 | $10,000 | thousands by filing date | |
| IVANHOE ENERGY INC | 465790301 | COM NEW | 17,264 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 650 | $10,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 500 | $10,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 459 | $10,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 9,000 | $10,000 | thousands by filing date | principal |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 500 | $9,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 261 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 775 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 173 | $9,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 300 | $9,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,534 | $9,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 675 | $9,000 | thousands by filing date | |
| Lowes Companies Inc | 42222G108 | LOW | 300 | $9,000 | thousands by filing date | call |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 635 | $9,000 | thousands by filing date | |
| SONDE RESOURCES CORP | 835426107 | COM | 13,100 | $9,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 8,300 | $9,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 284 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 416 | $9,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 816 | $9,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 14,812 | $9,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 650 | $9,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 684 | $9,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 631 | $9,000 | thousands by filing date | |
| TOWER GROUP INTL LTD | 891777AC8 | NOTE | 11,000 | $9,000 | thousands by filing date | principal |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 475 | $9,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 500 | $9,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 1,294 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A640 | COM | 867 | $9,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751103 | SHS | 2,580 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A863 | ULSHRT UTILS FD | 412 | $9,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 1,000 | $9,000 | thousands by filing date | |
| CHINA SHENGDA PACKAGING GROU | 16950V107 | COM | 10,000 | $9,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355AK4 | NOTE 10.000% 6/0 DELETED | 29,000 | $9,000 | thousands by filing date | principal |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 100 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 170 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 152 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 118 | $8,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 281 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 200 | $8,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 829 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 613 | $8,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 432 | $8,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 613 | $8,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 302 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 208 | $8,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 150 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 248 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 659 | $8,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 650 | $8,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 2,797 | $8,000 | thousands by filing date | |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 149 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 400 | $8,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 442 | $8,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815AB8 | NOTE 6.500% 5/1 | 8,000 | $8,000 | thousands by filing date | principal |
| PHARMATHENE INC | 71714G102 | COM | 4,300 | $8,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 2,772 | $8,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 420 | $8,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 6,000 | $8,000 | thousands by filing date | principal |
| OI S.A. | 670851203 | SPN ADR REP PFD | 5,201 | $8,000 | thousands by filing date | |
| NUVEEN CA INVT QUALITY MUN F | 67062A101 | COM | 608 | $8,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 526 | $8,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 889 | $8,000 | 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 |