13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-15, with 7,089 holding rows worth $97,828,919,000.
- Accession
- 0000831001-14-000080
- Filer
- CIK 831001
- Filed
- 2014-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 17,006 entries on the cover page, a total value of $97,828,919,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $97,828,919,000 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 GSCP Inc.028-16164
- 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 Capital Partners Mexico, S. de R.L. de C.V.028-16170
- 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 managerCiti Niagra Holdings LLC028-16171
- 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
- included managerNAMGK Mexico Holding, S. de R.L. de C.V.028-16172
- included managerTRV Holdings LLC028-16173
- included managerTRV Investments LLC028-16174
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 |
|---|---|---|---|---|---|---|
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 2,300 | $49,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 6,959 | $49,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 1,209 | $49,000 | thousands by filing date | |
| VCA ANTECH INC | 918194101 | COM | 1,520 | $49,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 4,000 | $49,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M571 | GUGG CRP BD 2014 | 2,333 | $49,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,428 | $49,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 6,101 | $49,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 3,852 | $49,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 530 | $48,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 2,771 | $48,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 3,273 | $48,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 3,309 | $48,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 1,831 | $48,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 2,499 | $48,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 27,268 | $48,000 | thousands by filing date | call |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 1,189 | $47,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 3,294 | $47,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 2,789 | $47,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 5,873 | $47,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 3,462 | $47,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 2,393 | $47,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 1,864 | $47,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 2,437 | $47,000 | thousands by filing date | |
| RECEPTOS, INC. | 756207106 | COMMON STOCK | 1,126 | $47,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 3,496 | $47,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 3,930 | $47,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 1,548 | $47,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 1,893 | $47,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 2,525 | $47,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 36,000 | $47,000 | thousands by filing date | principal |
| PTC INC COM | 69370C100 | Stock | 1,296 | $46,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 7,032 | $46,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 2,340 | $46,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,218 | $46,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 1,241 | $46,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 1,069 | $46,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 4,373 | $46,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 1,034 | $46,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 981 | $46,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AH5 | NOTE 3.250% 4/0 | 42,000 | $46,000 | thousands by filing date | principal |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 5,116 | $46,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 4,092 | $46,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 7,875 | $46,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 3,116 | $46,000 | thousands by filing date | |
| ING RISK MANAGED NAT RES FD | 449810100 | COM | 4,443 | $46,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 1,716 | $46,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 645 | $45,000 | thousands by filing date | |
| TELEFLEX INCORPORATED | 879369106 | COM | 420 | $45,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 2,103 | $45,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 2,030 | $45,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 2,524 | $45,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 750 | $45,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 2,600 | $45,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 765 | $44,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 4,737 | $44,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 845 | $44,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 251 | $44,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 2,317 | $44,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 2,281 | $44,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 2,068 | $44,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 3,971 | $44,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 1,964 | $44,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 2,455 | $44,000 | thousands by filing date | |
| WASHINGTON BANKING CO | 937303105 | COMMON STOCK | 2,478 | $44,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 6,364 | $44,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 11,673 | $44,000 | thousands by filing date | |
| LIFE TIME FITNESS INC | 53217R207 | COM | 927 | $44,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 1,954 | $44,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 3,390 | $44,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 3,071 | $44,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 3,533 | $44,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 1,504 | $44,000 | thousands by filing date | |
| TEKMIRA PHARMACEUTICALS COR | 87911B209 | COM NEW | 1,997 | $44,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 3,357 | $44,000 | thousands by filing date | |
| AUSPEX PHARMACE | 05211J102 | Common Stock | 1,446 | $44,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 3,500 | $43,000 | thousands by filing date | put |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 2,493 | $43,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 1,788 | $43,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 3,085 | $43,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 2,604 | $43,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 5,122 | $43,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 1,483 | $43,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 1,777 | $43,000 | thousands by filing date | |
| VALARIS ORD | 920355104 | COM | 596 | $43,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 1,999 | $43,000 | thousands by filing date | |
| JTH HLDG INC | 46637N103 | CL A | 1,551 | $43,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 1,172 | $43,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 6,138 | $43,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 3,111 | $43,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 12,267 | $43,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 7,038 | $43,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 2,720 | $43,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 2,615 | $43,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 12,523 | $43,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 612 | $43,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 1,000 | $43,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 12,250 | $43,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 3,567 | $43,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 3,234 | $42,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 3,130 | $42,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 744 | $42,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 4,204 | $42,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 3,471 | $42,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 1,893 | $42,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 1,042 | $42,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 2,825 | $42,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 42,000 | $42,000 | thousands by filing date | principal |
| MONTAGE TECHNOLOGY GROUP LTD | G6209T105 | SHS | 2,094 | $42,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 650 | $41,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 1,024 | $41,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 374 | $41,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 914 | $41,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 2,188 | $41,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 4,848 | $41,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 2,548 | $41,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 572 | $41,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,312 | $41,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 3,528 | $41,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 799 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 1,428 | $41,000 | thousands by filing date | |
| COMCAST HOLDINGS CORP | 200300507 | ZONES CV2% PCS | 924 | $41,000 | thousands by filing date | principal |
| DWS | 23338W104 | EXCHANGE TRADED | 5,068 | $41,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 2,958 | $41,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 2,950 | $41,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 3,854 | $41,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 2,485 | $41,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 17,576 | $41,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 30,000 | $41,000 | thousands by filing date | principal |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 2,133 | $41,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 595 | $41,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 901 | $40,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 766 | $40,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 3,307 | $40,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 908 | $40,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 3,387 | $40,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 2,428 | $40,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,168 | $40,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 908 | $40,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 8,349 | $40,000 | thousands by filing date | |
| MERIDIAN INTERSTAT BANCORP I | 58964Q104 | COM | 1,553 | $40,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 2,736 | $40,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 870 | $40,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 557 | $40,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 5,591 | $40,000 | thousands by filing date | |
| US AIRWAYS GROUP INC | 911905AC1 | CNV | 5,000 | $40,000 | thousands by filing date | principal |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 11,020 | $40,000 | thousands by filing date | |
| NRG YIELD INC | 62942X108 | CL C | 1,000 | $40,000 | thousands by filing date | |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 25,000 | $40,000 | thousands by filing date | principal |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 9,777 | $39,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 2,767 | $39,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 826 | $39,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 500 | $39,000 | thousands by filing date | call |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 2,318 | $39,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 983 | $39,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 9,544 | $39,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 3,075 | $39,000 | thousands by filing date | |
| REED ELSEVIER PLC-SPONS ADR | 758205207 | SPON | 628 | $39,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 4,866 | $39,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 12,235 | $38,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 8,756 | $38,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 2,655 | $38,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 750 | $38,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,723 | $38,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 1,875 | $38,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 3,000 | $38,000 | thousands by filing date | call |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 20,000 | $38,000 | thousands by filing date | principal |
| Zagg, Inc. | 98884U108 | COM | 8,105 | $38,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 1,501 | $38,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 2,956 | $38,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 14,170 | $38,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 2,325 | $38,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 36,000 | $38,000 | thousands by filing date | principal |
| WHEELER REIT | 963025101 | COM | 8,365 | $38,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 1,166 | $38,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 5,400 | $37,000 | thousands by filing date | put |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,559 | $37,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,908 | $37,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 2,264 | $37,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 1,800 | $37,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 1,126 | $37,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 1,200 | $37,000 | thousands by filing date | call |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 1,205 | $37,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 2,114 | $37,000 | thousands by filing date | call |
| Accelerate Diagnostics | 00430H102 | COM | 1,717 | $37,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 2,530 | $37,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,399 | $37,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 4,887 | $37,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 1,000 | $37,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K825 | MTLS LNG ETN38 | 2,210 | $37,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 4,750 | $37,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 1,175 | $37,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 1,000 | $37,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 530 | $36,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 2,626 | $36,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 519 | $36,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 3,637 | $36,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 1,295 | $36,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 7,724 | $36,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,700 | $36,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 1,587 | $36,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 2,880 | $36,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 4,711 | $36,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 12,402 | $36,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 4,459 | $36,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 1,565 | $36,000 | thousands by filing date | |
| TORTOISE NORTH AMRN ENRGY CO | 89147T103 | COM | 1,245 | $36,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 35,000 | $36,000 | thousands by filing date | principal |
| CENTER BANCORP INC | 151408101 | COM | 1,913 | $36,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 1,378 | $36,000 | thousands by filing date | |
| NASB FINANCIAL INC | 628968109 | COM | 1,427 | $36,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 1,500 | $36,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 1,000 | $36,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 9,309 | $35,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 367 | $35,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 2,760 | $35,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,548 | $35,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 800 | $35,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 763 | $35,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 1,109 | $35,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,604 | $35,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 1,473 | $35,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 2,603 | $35,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 4,247 | $35,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 3,222 | $35,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 953 | $35,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 13,541 | $35,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 4,304 | $34,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 1,166 | $34,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 804 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 1,672 | $34,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 581 | $34,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,715 | $34,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 1,084 | $34,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,719 | $34,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 5,094 | $34,000 | thousands by filing date | |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 1,299 | $34,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 28,093 | $34,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 118 | $34,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 25,592 | $34,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 6,293 | $34,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 1,652 | $34,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 4,023 | $34,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 563 | $34,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 1,108 | $34,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 32,000 | $34,000 | thousands by filing date | principal |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 24,000 | $34,000 | thousands by filing date | principal |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 24,000 | $34,000 | thousands by filing date | principal |
| ACCENDRA HEALTH INC | 690732102 | COM | 919 | $33,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 1,878 | $33,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,619 | $33,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 300 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 640 | $33,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 4,862 | $33,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES | 007903AL1 | CORPORATE OBLIG | 31,000 | $33,000 | thousands by filing date | principal |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,538 | $33,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 2,821 | $33,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 7,783 | $33,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 7,258 | $33,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 8,487 | $33,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 4,567 | $33,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 1,990 | $33,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 2,450 | $33,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786U101 | COM | 667 | $33,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 1,000 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 1,071 | $33,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 1,695 | $32,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 604 | $32,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,473 | $32,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 4,246 | $32,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 3,995 | $32,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 2,404 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 1,602 | $32,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 1,646 | $32,000 | thousands by filing date | |
| CMS ENERGY CORP | 125896BD1 | CNV | 15,000 | $32,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 676 | $32,000 | thousands by filing date | |
| LIONS GATE ENTERTAINMENT 3.625% CB 03/15/2025- REG | 53626YAA6 | Bond | 10,000 | $32,000 | thousands by filing date | principal |
| MAVENIR SYS INC | 577675101 | COM | 1,761 | $32,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 1,259 | $31,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 8,243 | $31,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 800 | $31,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 320 | $31,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,189 | $31,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 400 | $31,000 | thousands by filing date | put |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 2,717 | $31,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 895 | $31,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 2,245 | $31,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 2,583 | $31,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 18,942 | $31,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 1,668 | $31,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 8,300 | $31,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 473 | $31,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,695 | $31,000 | thousands by filing date | |
| ENDO HEALTH SOLUTIONS INC | 29264FAB2 | BOND | 13,000 | $31,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06739F101 | COM | 840 | $31,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 1,418 | $31,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 3,366 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 1,100 | $30,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 19,591 | $30,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 2,807 | $30,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 281 | $30,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,762 | $30,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,707 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 339 | $30,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 321 | $30,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 1,288 | $30,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,956 | $30,000 | thousands by filing date | |
| ASM INTERNATIONAL NV | N07045102 | Common Stock | 756 | $30,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 694 | $30,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 4,210 | $30,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 4,042 | $30,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 4,403 | $30,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 3,900 | $30,000 | thousands by filing date | put |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 3,065 | $30,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 12,935 | $30,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,215 | $30,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 1,318 | $30,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 3,886 | $30,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 2,315 | $30,000 | thousands by filing date | |
| LDR HLDG CORP | 50185U105 | COM | 885 | $30,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 2,123 | $30,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,242 | $29,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 2,428 | $29,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 746 | $29,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,991 | $29,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 3,237 | $29,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,543 | $29,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 4,475 | $29,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 3,200 | $29,000 | thousands by filing date | put |
| EDGIO INC | 53261M104 | COM | 13,427 | $29,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 1,828 | $29,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 8,656 | $29,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 2,593 | $29,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 4,800 | $29,000 | thousands by filing date | put |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 2,228 | $29,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 332 | $28,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 283 | $28,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,000 | $28,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 1,894 | $28,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 1,530 | $28,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,520 | $28,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 3,899 | $28,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,575 | $28,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 2,894 | $28,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,162 | $28,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,262 | $28,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 2,771 | $28,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 3,405 | $28,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 4,954 | $28,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 2,201 | $28,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 3,437 | $28,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 1,519 | $28,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 23,000 | $28,000 | thousands by filing date | principal |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 923 | $28,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 3,929 | $28,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 1,322 | $28,000 | thousands by filing date | |
| PROGRESSIVE WASTE SOLUTIONS | 74339G101 | COM | 1,079 | $28,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 1,802 | $28,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 3,565 | $28,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 2,710 | $27,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 2,016 | $27,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 968 | $27,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 1,921 | $27,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 2,000 | $27,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 1,048 | $27,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 1,375 | $27,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 2,200 | $27,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 3,501 | $27,000 | thousands by filing date | |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 970 | $27,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 3,008 | $27,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 2,046 | $27,000 | thousands by filing date | |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 1,094 | $27,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102XAG0 | CNV | 27,000 | $27,000 | thousands by filing date | principal |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 1,164 | $27,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 1,696 | $27,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,458 | $27,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 224 | $26,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 2,924 | $26,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 1,935 | $26,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,919 | $26,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 300 | $26,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 2,021 | $26,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 880 | $26,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 1,151 | $26,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 391 | $26,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,144 | $26,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,043 | $26,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 568 | $26,000 | thousands by filing date | |
| TORTOISE ENERGY CAP CORP | 89147U100 | COM | 792 | $26,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 6,946 | $26,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 1,467 | $26,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 1,244 | $26,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,440 | $26,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 742 | $26,000 | thousands by filing date | |
| NORCRAFT COS INC | 65557Y105 | COM | 1,559 | $26,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 3,521 | $25,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 429 | $25,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 316 | $25,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 3,305 | $25,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 725 | $25,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 2,246 | $25,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 439 | $25,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 334 | $25,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 2,742 | $25,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,194 | $25,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 575 | $25,000 | thousands by filing date | |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 871 | $25,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 7,943 | $25,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,411 | $25,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 227 | $25,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 23,000 | $25,000 | thousands by filing date | principal |
| RYANAIR HLDGS PLC | 783513104 | SPONSORED ADR | 407 | $25,000 | thousands by filing date | |
| CORPORATE EXECUTIVE BRD CO | 21988R102 | COM | 336 | $25,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 11,857 | $25,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 746 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $25,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 10,091 | $25,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 1,909 | $25,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 2,075 | $25,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 6,875 | $25,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,764 | $25,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 1,571 | $25,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 2,337 | $25,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 5,000 | $25,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 951 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 824 | $24,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 1,753 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 485 | $24,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 1,856 | $24,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 1,400 | $24,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 504 | $24,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,230 | $24,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 5,000 | $24,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 2,167 | $24,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 220 | $24,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 10,236 | $24,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 700 | $24,000 | thousands by filing date | put |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 1,467 | $24,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 3,535 | $24,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA | 153443AH9 | NOTE 5.000%11/1 | 25,000 | $24,000 | thousands by filing date | principal |
| NUVEEN GA DIVID | 67072B107 | COM | 1,967 | $24,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 1,365 | $24,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 3,391 | $24,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 1,815 | $23,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 412 | $23,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 1,175 | $23,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 1,770 | $23,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 597 | $23,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 898 | $23,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 750 | $23,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 1,288 | $23,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 1,377 | $23,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 10,941 | $23,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 1,135 | $23,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 275 | $23,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 472 | $23,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 29,842 | $23,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 8,162 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 870 | $23,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,141 | $23,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 1,540 | $23,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 781 | $23,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 918 | $23,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 11,500 | $23,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 1,643 | $23,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,800 | $23,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 15,000 | $23,000 | thousands by filing date | principal |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 1,818 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 378 | $22,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 628 | $22,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,079 | $22,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 2,245 | $22,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 1,300 | $22,000 | thousands by filing date | put |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 3,190 | $22,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 2,189 | $22,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 5,162 | $22,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,110 | $22,000 | thousands by filing date | |
| BIO REFERENCE LABS INC | 09057G602 | COM | 813 | $22,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,071 | $22,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AN3 | NOTE | 7,000 | $22,000 | thousands by filing date | principal |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 739 | $22,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 1,156 | $22,000 | thousands by filing date | |
| BLACKROCK DEFINED OPPRTY CR | 09255Q105 | COM | 1,585 | $22,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605108 | ORD SHS | 95,173 | $22,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 3,075 | $22,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 349 | $21,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,629 | $21,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 1,388 | $21,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 1,357 | $21,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 2,019 | $21,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,522 | $21,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 1,387 | $21,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 1,175 | $21,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,203 | $21,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,326 | $21,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 2,000 | $21,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 2,654 | $21,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,917 | $21,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 4,251 | $21,000 | thousands by filing date | |
| TARGACEPT INC | 87611R306 | COM | 4,523 | $21,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-14-000080 | this filing | 2014-05-15 | acceptance time not in the bulk data set |