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 |
|---|---|---|---|---|---|---|
| BANRO CORP | 066800103 | COM | 43,715 | $21,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 800 | $21,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 4,534 | $21,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 1,494 | $21,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 22,000 | $21,000 | thousands by filing date | principal |
| SUPPORT COM INC | 86858W101 | COM | 8,157 | $21,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 1,518 | $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 | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 232 | $21,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 13,819 | $21,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 16,010 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 601 | $21,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,013 | $21,000 | thousands by filing date | |
| ENTREMED INC | 29382F202 | COM | 11,501 | $21,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 3,151 | $21,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 904 | $21,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 3,013 | $21,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 725 | $20,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 350 | $20,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 2,918 | $20,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 2,389 | $20,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 1,807 | $20,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 1,355 | $20,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 2,655 | $20,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 826 | $20,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 1,050 | $20,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 756 | $20,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 1,375 | $20,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AC0 | NOTE 5.000% 6/1 | 20,000 | $20,000 | thousands by filing date | principal |
| Cbs Corporation Cl A New | 124857103 | CLA | 318 | $20,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 350 | $20,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 19,349 | $20,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 3,499 | $20,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 1,616 | $20,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 34,920 | $20,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 2,829 | $20,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,199 | $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 |
| Marine Harvest ASA | 56824R205 | ADR | 1,716 | $20,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 230 | $19,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 9,643 | $19,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 12,862 | $19,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 1,012 | $19,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 880 | $19,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 5,332 | $19,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 4,861 | $19,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 1,440 | $19,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 570 | $19,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 1,191 | $19,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,248 | $19,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 649 | $19,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 642 | $19,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 632 | $19,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,100 | $19,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 524 | $19,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 398 | $19,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 5,708 | $19,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 1,438 | $19,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 2,873 | $19,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 1,581 | $19,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 3,202 | $19,000 | thousands by filing date | |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 1,459 | $19,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 25,400 | $19,000 | thousands by filing date | put |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,138 | $19,000 | thousands by filing date | |
| HASTINGS ENTERTAINMENT INC | 418365102 | COM | 6,230 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 996 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 539 | $19,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 1,330 | $19,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 951 | $19,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 1,249 | $19,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 353 | $18,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,467 | $18,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 14,244 | $18,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 1,000 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,988 | $18,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 239 | $18,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 716 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 375 | $18,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 2,000 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 603 | $18,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 1,289 | $18,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,141 | $18,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 7,575 | $18,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 3,632 | $18,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 713 | $18,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 13,000 | $18,000 | thousands by filing date | principal |
| MODEL N INC | 607525102 | COM | 1,779 | $18,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 546 | $18,000 | thousands by filing date | |
| Cynosure, Inc. | 232577205 | COM | 609 | $18,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 518 | $18,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 5,998 | $18,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 1,570 | $18,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 1,722 | $18,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $18,000 | thousands by filing date | call |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 668 | $18,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 1,147 | $18,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 800 | $18,000 | thousands by filing date | |
| CLIFTON SAVINGS BANCORP INC | 18712Q103 | COM | 1,586 | $18,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 10,100 | $18,000 | thousands by filing date | put |
| KONAMI CORP-ADR | 50046R101 | SPON | 783 | $18,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 636 | $18,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 2,188 | $18,000 | thousands by filing date | call |
| REVENUESHARES ADR | 761396605 | ADR FD | 461 | $18,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 862 | $18,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 500 | $18,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 1,610 | $18,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 14,000 | $18,000 | thousands by filing date | principal |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 458 | $17,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 4,366 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 190 | $17,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 603 | $17,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 2,933 | $17,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 500 | $17,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 647 | $17,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 3,803 | $17,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 3,400 | $17,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 2,105 | $17,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 2,311 | $17,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 788 | $17,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 294 | $17,000 | thousands by filing date | |
| THORATEC CORP | 885175307 | COM | 473 | $17,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,376 | $17,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 1,400 | $17,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 3,045 | $17,000 | thousands by filing date | |
| FORTEGRA FINANCIAL CORP | 34954W104 | COM | 2,383 | $17,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 1,000 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X764 | S&PINTL MC ETF | 528 | $17,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,430 | $17,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 1,419 | $17,000 | thousands by filing date | call |
| EVOKE PHARMA INC | 30049G104 | COM | 2,086 | $17,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 323 | $16,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 1,097 | $16,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 202 | $16,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 1,170 | $16,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 2,311 | $16,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 754 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 300 | $16,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,302 | $16,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 608 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 522 | $16,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 916 | $16,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 15,000 | $16,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 276 | $16,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 2,415 | $16,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 4,342 | $16,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 919 | $16,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 128 | $16,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 13,000 | $16,000 | thousands by filing date | principal |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 1,237 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 716 | $16,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 14,822 | $16,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 1,114 | $16,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q709 | UNIT 99/99/9999 | 500 | $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 | |
| SORL Auto Parts Inc | 78461U101 | COM | 4,215 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 400 | $16,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 258,793 | $16,000 | thousands by filing date | |
| FREESEAS INC | Y26496300 | SHS PAR 0.001NEW | 9,643 | $16,000 | thousands by filing date | |
| CELSUS THERAPEUTICS PLC | 15119A202 | COM | 2,460 | $16,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,213 | $15,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 140 | $15,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,857 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 540 | $15,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 158 | $15,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 300 | $15,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 373 | $15,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 591 | $15,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,086 | $15,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 1,161 | $15,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 556 | $15,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 551 | $15,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 326 | $15,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 1,081 | $15,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 1,081 | $15,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 370 | $15,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS INC | 05334DAA5 | NOTE 1.500% 7/1 | 11,000 | $15,000 | thousands by filing date | principal |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 7,014 | $15,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 2,000 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 310 | $15,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,065 | $15,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 11,416 | $15,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 1,159 | $15,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 919 | $15,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 873 | $15,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 1,006 | $15,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 2,782 | $15,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 1,233 | $15,000 | thousands by filing date | |
| ENPRO INDS INC | 29355XAB3 | DBCV 3.938%10/1 | 7,000 | $15,000 | thousands by filing date | principal |
| PROMOTORA DE INFORMACIONES-A | 74343G204 | CMN | 6,752 | $15,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 190 | $15,000 | thousands by filing date | |
| PYRAMID OIL CO | 747215101 | COM | 2,400 | $15,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 708 | $15,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 2,096 | $15,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 1,215 | $14,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 200 | $14,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 1,452 | $14,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 125 | $14,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 1,252 | $14,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 1,200 | $14,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 234 | $14,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 753 | $14,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 522 | $14,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 2,021 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 1,007 | $14,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 650 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 429 | $14,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,240 | $14,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 1,172 | $14,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 700 | $14,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 500 | $14,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 170 | $14,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 5,589 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 500 | $14,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 34,268 | $14,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 321 | $14,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 2,716 | $14,000 | thousands by filing date | |
| TOWER GROUP INTL LTD | 891777AC8 | NOTE | 15,000 | $14,000 | thousands by filing date | principal |
| AMERICAN INCOME FD INC | 02672T109 | COM | 1,939 | $14,000 | thousands by filing date | |
| NUVEEN MASSACHUSETTS | 67072F108 | COM | 1,176 | $14,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 1,025 | $14,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,000 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 100 | $13,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 187 | $13,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1,525 | $13,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 868 | $13,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 629 | $13,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 500 | $13,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 1,112 | $13,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 462 | $13,000 | thousands by filing date | |
| HI-TECH PHARMACAL CO INC | 42840B101 | COMMON STOCK | 293 | $13,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 8,519 | $13,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 333 | $13,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 7,054 | $13,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 607 | $13,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 500 | $13,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 2,300 | $13,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 2,700 | $13,000 | thousands by filing date | |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 8,899 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 374 | $13,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 1,124 | $13,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 8,861 | $13,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 800 | $13,000 | thousands by filing date | |
| SALIENT MLP & ENERGY INFRSTR | 79471T100 | COM SH BEN INT | 424 | $13,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 500 | $13,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 17,928 | $13,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 1,002 | $13,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 386 | $13,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 51,400 | $13,000 | thousands by filing date | put |
| NATUZZI S P A | 63905A101 | ADR | 4,668 | $13,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 540 | $13,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 4,000 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 444 | $13,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 413 | $12,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 300 | $12,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 4,108 | $12,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 5,771 | $12,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 2,154 | $12,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 847 | $12,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 663 | $12,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 613 | $12,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 490 | $12,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 637 | $12,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,000 | $12,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $12,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 3,419 | $12,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 587 | $12,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 600 | $12,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 1,770 | $12,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 6,398 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 891 | $12,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 3,686 | $12,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 1,576 | $12,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 306 | $12,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 11,000 | $12,000 | thousands by filing date | principal |
| COHEN & STEERS DIV MJRS FDIN | 19248G106 | COM | 805 | $12,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 1,181 | $12,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 680 | $12,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 9,000 | $12,000 | thousands by filing date | principal |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 484 | $12,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 4,897 | $12,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 801 | $12,000 | thousands by filing date | |
| XRS CORP | 983845108 | COM | 4,490 | $12,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K105 | CL A SHS | 10,096 | $12,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 842 | $12,000 | thousands by filing date | |
| MARLIN MIDSTREAM PARTNERS LP | 57118V100 | COM UTLTD PTN IN | 706 | $12,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 250 | $11,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 599 | $11,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223206 | CL A | 189 | $11,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 603 | $11,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 200 | $11,000 | thousands by filing date | put |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 349 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 170 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 205 | $11,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 86 | $11,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,600 | $11,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 1,200 | $11,000 | thousands by filing date | call |
| Delta Apparel Inc | 247368103 | COM | 686 | $11,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 10,073 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 500 | $11,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 776 | $11,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 3,400 | $11,000 | thousands by filing date | put |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 6,786 | $11,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 1,301 | $11,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 1,863 | $11,000 | thousands by filing date | |
| L+L ENERGY INC | 50162D100 | COM | 8,196 | $11,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 605 | $11,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 201 | $11,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 771 | $11,000 | thousands by filing date | |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 8,000 | $11,000 | thousands by filing date | principal |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 2,050 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 294 | $11,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 300 | $11,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 1,809 | $11,000 | thousands by filing date | |
| LE GAGA HLDGS LTD | 521168104 | SPONSORED ADR | 2,857 | $11,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 1,168 | $11,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 7,835 | $11,000 | thousands by filing date | |
| CHINA SHENGDA PACKAGING GROU | 16950V107 | COM | 10,000 | $11,000 | thousands by filing date | |
| UBIC INC | 90346V105 | SPONSORED ADR | 1,725 | $11,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 9,424 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A335 | COM | 275 | $11,000 | thousands by filing date | |
| OCI RES LP | 67081B106 | COM UNIT LTD | 491 | $11,000 | thousands by filing date | |
| DFC GLOBAL CORP | 23324TAB3 | NOTE 3.250% 4/1 | 13,000 | $11,000 | thousands by filing date | principal |
| NOVA LTD COM | M7516K103 | Stock | 900 | $10,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 100 | $10,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 444 | $10,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 1,450 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 800 | $10,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 500 | $10,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 221 | $10,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,126 | $10,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 1,318 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 678 | $10,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,723 | $10,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 712 | $10,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 1,458 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 209 | $10,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 483 | $10,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 16,000 | $10,000 | thousands by filing date | principal |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,233 | $10,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 705 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 165 | $10,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 547 | $10,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 648 | $10,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 9,000 | $10,000 | thousands by filing date | principal |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,702 | $10,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 994 | $10,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 271 | $10,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 5,384 | $10,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 415 | $10,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 730 | $10,000 | thousands by filing date | |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 1,850 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 348 | $10,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 4,000 | $10,000 | thousands by filing date | principal |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 5,000 | $10,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 3,582 | $10,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 678 | $10,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 1,200 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 445 | $10,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 668 | $10,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 2,685 | $10,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 475 | $10,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 400 | $10,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 500 | $10,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 465 | $10,000 | thousands by filing date | |
| NUVEEN MA DIV AD MUNI FD | 67069P101 | cs | 801 | $10,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 568 | $10,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 1,408 | $10,000 | thousands by filing date | |
| OXYGEN BIOTHERAPEUTICS INC | 69207P308 | COM PAR $0.0001 | 1,750 | $10,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 500 | $10,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 2,999 | $10,000 | thousands by filing date | |
| Cogo Group, Inc. | G9363W104 | COM | 4,240 | $10,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 344 | $9,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 100 | $9,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 580 | $9,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 220 | $9,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 850 | $9,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 738 | $9,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 1,321 | $9,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 684 | $9,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 601 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 775 | $9,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 217 | $9,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 8,789 | $9,000 | thousands by filing date | |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 356 | $9,000 | thousands by filing date | |
| MWI VETERINARY SUPPLY INC | 55402X105 | COM | 59 | $9,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 500 | $9,000 | thousands by filing date | |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 1,459 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC IPATH S&P MT E | 06740C519 | COM | 590 | $9,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 732 | $9,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 660 | $9,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 807 | $9,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 1,447 | $9,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 3,701 | $9,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 3,287 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 294 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 110 | $9,000 | thousands by filing date | |
| BACTERIN INTERNATIONAL HLDGS INC. | 05644R101 | COM | 10,884 | $9,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 484 | $9,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 323 | $9,000 | thousands by filing date | |
| PROSHRE ULT DJ-UBS CRUDE OIL | 74347W650 | CMN | 256 | $9,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 37,881 | $9,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 36,400 | $9,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 458 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 650 | $9,000 | thousands by filing date | |
| COUNTRY STYLE COOKING REST ADR | 22238M109 | ADR-EMG MKT | 880 | $9,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 4,944 | $9,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 797 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 652 | $9,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 1,123 | $9,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 1,000 | $9,000 | thousands by filing date | |
| SKYSTAR BIO-PHARMA CO | 830884300 | COM PAR $.001 | 1,303 | $9,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 762 | $9,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 4,756 | $9,000 | thousands by filing date | |
| ZOOM TECHNOLOGIES INC | 98976E400 | COMMON STOCK | 1,923 | $9,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 1,032 | $9,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 400 | $8,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 7,899 | $8,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 302 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 152 | $8,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,100 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 118 | $8,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 373 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 200 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 606 | $8,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 2,813 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 82 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 584 | $8,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 778 | $8,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 798 | $8,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 659 | $8,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 1,788 | $8,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 481 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 155 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 102 | $8,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 1,350 | $8,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 19,281 | $8,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 990 | $8,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 106 | $8,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 442 | $8,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 7,000 | $8,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 282 | $8,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 6,000 | $8,000 | thousands by filing date | principal |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 599 | $8,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 12,093 | $8,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 5,766 | $8,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 2,400 | $8,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 650 | $8,000 | thousands by filing date | |
| EVERYWARE GLOBAL INC | 300439106 | COM | 1,719 | $8,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 1,820 | $8,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 1,658 | $8,000 | thousands by filing date | |
| YONGYE INTL INC | 98607B106 | COM | 1,212 | $8,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 1,006 | $8,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 2,235 | $8,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 467 | $8,000 | thousands by filing date | |
| Lihua International Inc. | 532352101 | COM | 1,600 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 132 | $8,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 600 | $8,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 200 | $8,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 201 | $8,000 | thousands by filing date | |
| Chicopee Bancorp, Inc. | 168565109 | Common Stock | 450 | $8,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 4,731 | $8,000 | thousands by filing date | |
| DORAL FINL CORP COM | 25811P852 | COM | 925 | $8,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 7,223 | $8,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 4,655 | $8,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 200 | $8,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 360 | $8,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 927 | $8,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 852 | $8,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,398 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 91 | $7,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 568 | $7,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 497 | $7,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 431 | $7,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 589 | $7,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 376 | $7,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,449 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 410 | $7,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 586 | $7,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 3,922 | $7,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 7,000 | $7,000 | thousands by filing date | principal |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,370 | $7,000 | thousands by filing date | |
| PACTERA TECHNOLOGY INTERNATIONAL | 695255109 | COMMON STOCK-FO | 987 | $7,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 488 | $7,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 862 | $7,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 5,000 | $7,000 | thousands by filing date | principal |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 358 | $7,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 2,665 | $7,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 186 | $7,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 5,000 | $7,000 | thousands by filing date | |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 1,100 | $7,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 784 | $7,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 3,984 | $7,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 1,632 | $7,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 784 | $7,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 2,087 | $7,000 | 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 |