13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-14, with 7,225 holding rows worth $104,277,909,000.
- Accession
- 0000831001-14-000125
- Filer
- CIK 831001
- Filed
- 2014-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A holdings report, 16,706 entries on the cover page, a total value of $104,277,909,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $104,277,909,000 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 |
|---|---|---|---|---|---|---|
| MONTAGE TECHNOLOGY GROUP LTD | G6209T105 | SHS | 705 | $15,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 800 | $14,000 | thousands by filing date | put |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 641 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 439 | $14,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 1,142 | $14,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 3,201 | $14,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 325 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 881 | $14,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 1,177 | $14,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 901 | $14,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 570 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 340 | $14,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 536 | $14,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 3,111 | $14,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 1,389 | $14,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 1,528 | $14,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 659 | $14,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 675 | $14,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 1,770 | $14,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 200 | $14,000 | thousands by filing date | put |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 3,465 | $14,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 123 | $14,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 2,146 | $14,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 1,164 | $14,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 350 | $14,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,370 | $14,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 1,100 | $14,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 3,416 | $14,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 437 | $14,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 801 | $14,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 6,639 | $14,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 2,227 | $14,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 9,000 | $14,000 | thousands by filing date | principal |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 2,180 | $14,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 6,772 | $14,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 3,000 | $14,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 1,638 | $14,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 413 | $13,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 2,056 | $13,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 313 | $13,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 522 | $13,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 279 | $13,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 734 | $13,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 1,124 | $13,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 561 | $13,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 235 | $13,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 1,565 | $13,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 932 | $13,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,044 | $13,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 587 | $13,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 1,038 | $13,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 883 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 600 | $13,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 1,682 | $13,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 905 | $13,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 1,444 | $13,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 1,115 | $13,000 | thousands by filing date | |
| GENCORP INC | 368682100 | COM | 667 | $13,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 6,046 | $13,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 918 | $13,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 919 | $13,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 500 | $13,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 527 | $13,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 1,534 | $13,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 888 | $13,000 | thousands by filing date | |
| China Recycling Energy Corp | 168913101 | Com | 7,390 | $13,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 1,418 | $13,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 101 | $13,000 | thousands by filing date | |
| PROMOTORA DE INFORMACIONES-A | 74343G204 | CMN | 6,752 | $13,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 484 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286459 | EMKTS VALU IDX | 260 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 879 | $13,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 1,586 | $13,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 863 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y355 | DLY DEV MKT BEAR | 469 | $13,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 250 | $12,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 875 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 187 | $12,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 582 | $12,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 761 | $12,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 928 | $12,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 151 | $12,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,709 | $12,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 2,219 | $12,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 3,376 | $12,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 200 | $12,000 | thousands by filing date | put |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 377 | $12,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 550 | $12,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 800 | $12,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 204 | $12,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 3,799 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 835 | $12,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 1,619 | $12,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 6,459 | $12,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 692 | $12,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 7,702 | $12,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 500 | $12,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 2,623 | $12,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 766 | $12,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 3,016 | $12,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 4,209 | $12,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 849 | $12,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 326 | $12,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 1,181 | $12,000 | thousands by filing date | |
| ENDO HEALTH SOLUTIONS INC | 29264FAB2 | BOND | 5,000 | $12,000 | thousands by filing date | principal |
| OXIGENE INC | 691828404 | COM PAR$.001 | 4,406 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 294 | $12,000 | thousands by filing date | |
| PROSHARES ULTRASHORT TECH | 74347X153 | COM | 724 | $12,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 908 | $12,000 | thousands by filing date | |
| GEEKNET INC | 36846Q203 | COM | 993 | $12,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 9,000 | $12,000 | thousands by filing date | principal |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 2,962 | $12,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 4,000 | $12,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 1,500 | $12,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 12,000 | $12,000 | thousands by filing date | principal |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 689 | $12,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 1,239 | $12,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 1,800 | $12,000 | thousands by filing date | |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 7,000 | $12,000 | thousands by filing date | principal |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 798 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 128 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 89 | $11,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 300 | $11,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 720 | $11,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 2,648 | $11,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 1,319 | $11,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,944 | $11,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 697 | $11,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 602 | $11,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 592 | $11,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 333 | $11,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 443 | $11,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 641 | $11,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 648 | $11,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 8,000 | $11,000 | thousands by filing date | principal |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 221 | $11,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 1,050 | $11,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 1,253 | $11,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 12,322 | $11,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,399 | $11,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 271 | $11,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 204 | $11,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 273 | $11,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 425 | $11,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 403 | $11,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,714 | $11,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 5,000 | $11,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 12,874 | $11,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 115 | $11,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 482 | $11,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 1,782 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 407 | $11,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 1,879 | $11,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 607 | $11,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 475 | $11,000 | thousands by filing date | |
| TOFUTTI BRANDS INC | 88906B105 | COM | 2,442 | $11,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 1,588 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A848 | CMN | 300 | $11,000 | thousands by filing date | |
| OXYGEN BIOTHERAPEUTICS INC | 69207P308 | COM PAR $0.0001 | 2,750 | $11,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 600 | $11,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 3,877 | $11,000 | thousands by filing date | |
| BORDERFREE INC | 09970L100 | COM | 671 | $11,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 365 | $10,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 370 | $10,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 317 | $10,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 800 | $10,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 100 | $10,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 280 | $10,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 351 | $10,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 302 | $10,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 489 | $10,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 1,277 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 775 | $10,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 226 | $10,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 685 | $10,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $10,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 816 | $10,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 507 | $10,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 280 | $10,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 770 | $10,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 3,924 | $10,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 1,010 | $10,000 | thousands by filing date | call |
| BANRO CORP | 066800103 | COM | 21,728 | $10,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 903 | $10,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 767 | $10,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 4,000 | $10,000 | thousands by filing date | principal |
| SILICON IMAGE INC | 82705T102 | COM | 1,999 | $10,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 4,295 | $10,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 9,473 | $10,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 4,120 | $10,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 507 | $10,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 2,836 | $10,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 26,558 | $10,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 1,176 | $10,000 | thousands by filing date | |
| FORTEGRA FINANCIAL CORP | 34954W104 | COM | 1,318 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 350 | $10,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 3,141 | $10,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 767 | $10,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 400 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 458 | $10,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 5,560 | $10,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 766 | $10,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 1,983 | $10,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 2,186 | $10,000 | thousands by filing date | |
| DIREXION DAILY JUNIOR GOLD MINERS INDEX BULL 3X ETF SHS | 25459Y611 | COM | 367 | $10,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 2,999 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 200 | $9,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 636 | $9,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 850 | $9,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 566 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 118 | $9,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 314 | $9,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 288 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 200 | $9,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 3,538 | $9,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 908 | $9,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 100 | $9,000 | thousands by filing date | put |
| PREMIER INC | 74051N102 | CL A | 294 | $9,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 408 | $9,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 613 | $9,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 668 | $9,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 1,366 | $9,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 615 | $9,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 4,458 | $9,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 8,000 | $9,000 | thousands by filing date | principal |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 241 | $9,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 283 | $9,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 671 | $9,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 652 | $9,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 9,755 | $9,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 12 | $9,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,000 | $9,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 3,090 | $9,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 5,266 | $9,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 1,136 | $9,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 907 | $9,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 380 | $9,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 4,418 | $9,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 2,274 | $9,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 304 | $9,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 6,368 | $9,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 889 | $9,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 6,211 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 110 | $9,000 | thousands by filing date | |
| INSULET CORP | 45784PAC5 | CNV | 6,000 | $9,000 | thousands by filing date | principal |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 2,393 | $9,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 2,717 | $9,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255302 | COM PAR $0.0001 | 4,823 | $9,000 | thousands by filing date | |
| VIMICRO INTL CORP | 92718N109 | ADR | 3,414 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 653 | $9,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 4,765 | $9,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 1,688 | $9,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 876 | $9,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 8,000 | $9,000 | thousands by filing date | principal |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 2,275 | $8,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 376 | $8,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 205 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 98 | $8,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 588 | $8,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 288 | $8,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 427 | $8,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 291 | $8,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 604 | $8,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 635 | $8,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 872 | $8,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 150 | $8,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 737 | $8,000 | thousands by filing date | call |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 119 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 82 | $8,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 798 | $8,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 565 | $8,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 709 | $8,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 1,276 | $8,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 500 | $8,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 787 | $8,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,010 | $8,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 1,356 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 140 | $8,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 639 | $8,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 2,868 | $8,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 1,910 | $8,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 751 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 282 | $8,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 1,539 | $8,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 96 | $8,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 6,000 | $8,000 | thousands by filing date | principal |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 582 | $8,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 650 | $8,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 984 | $8,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 2,072 | $8,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 414 | $8,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 3,500 | $8,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 451 | $8,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 1,006 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 132 | $8,000 | thousands by filing date | |
| SALESFORCE COM INC | 79466LAB0 | BOND | 3,000 | $8,000 | thousands by filing date | principal |
| BLACKROCK DEFINED OPPRTY CR | 09255Q105 | COM | 581 | $8,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 552 | $8,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 576 | $8,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 86 | $8,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 601 | $8,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 500 | $8,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751103 | SHS | 3,880 | $8,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 1,809 | $8,000 | thousands by filing date | |
| OMNICARE | 68214L201 | PFD | 100 | $8,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 3,432 | $8,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 4,300 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 200 | $8,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K105 | CL A SHS | 8,364 | $8,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 219 | $8,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 8,000 | $8,000 | thousands by filing date | principal |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 1,000 | $8,000 | thousands by filing date | |
| MGC | 921910873 | COM | 99 | $7,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 331 | $7,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 344 | $7,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 885 | $7,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 364 | $7,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 484 | $7,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 395 | $7,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 523 | $7,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 209 | $7,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 205 | $7,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 291 | $7,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 200 | $7,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 657 | $7,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 350 | $7,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 570 | $7,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 315 | $7,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 1,330 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 123 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 113 | $7,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 200 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 130 | $7,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 3,201 | $7,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 753 | $7,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 770 | $7,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 151 | $7,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 976 | $7,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 144 | $7,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 127 | $7,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 186 | $7,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 395 | $7,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 336 | $7,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 461 | $7,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 2,400 | $7,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 50 | $7,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 580 | $7,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 552 | $7,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 1,818 | $7,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 488 | $7,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 3,851 | $7,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 442 | $7,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 500 | $7,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 4,731 | $7,000 | thousands by filing date | |
| MANDALAY DIGITAL GROUP INC | 562562207 | CMN | 1,885 | $7,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718302 | COM UNIT US ML | 300 | $7,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 5,788 | $7,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 553 | $7,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 632 | $7,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 535 | $7,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 344 | $7,000 | thousands by filing date | |
| ZALICUS INC | 98887C204 | COM | 5,490 | $7,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 103 | $6,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,220 | $6,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 433 | $6,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 250 | $6,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 4,985 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 120 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 124 | $6,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 67 | $6,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 419 | $6,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 220 | $6,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 192 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 34 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 64 | $6,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 370 | $6,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 211 | $6,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 395 | $6,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 451 | $6,000 | thousands by filing date | |
| MATTRESS FIRM HLDG CORP | 57722W106 | COM | 127 | $6,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 1,189 | $6,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 2,711 | $6,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 117 | $6,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 78 | $6,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,800 | $6,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 490 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 150 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 100 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 105 | $6,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 727 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 66 | $6,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 318 | $6,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 205 | $6,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 378 | $6,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 488 | $6,000 | thousands by filing date | |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 343 | $6,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 279 | $6,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 506 | $6,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 450 | $6,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 278 | $6,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 136 | $6,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 600 | $6,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 529 | $6,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 1,000 | $6,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 5,000 | $6,000 | thousands by filing date | principal |
| BG MEDICINE INC | 08861T107 | COM | 5,466 | $6,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 627 | $6,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 2,202 | $6,000 | thousands by filing date | call |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 516 | $6,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 1,410 | $6,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 1,186 | $6,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 19 | $6,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 1,375 | $6,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 283 | $6,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 399 | $6,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 252 | $6,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 437 | $6,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 2,510 | $6,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 472 | $6,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 1,191 | $6,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 116 | $6,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 327 | $6,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 2,250 | $6,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 687 | $6,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 449 | $6,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 2,335 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 135 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 625 | $6,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 190 | $6,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 14,700 | $6,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768300 | UNIT 99/99/9999 | 347 | $6,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 615 | $6,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 4,813 | $6,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,862 | $6,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 3,412 | $6,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P135 | BIG PHARMA ETN | 125 | $6,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525202 | PFD CV SER A | 355 | $6,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 463 | $6,000 | thousands by filing date | |
| MARLIN MIDSTREAM PARTNERS LP | 57118V100 | COM UTLTD PTN IN | 315 | $6,000 | thousands by filing date | |
| VAPOR CORP NEV COM NEW | 922099205 | US SMALL AND MID-CAP EQUITIES | 1,200 | $6,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 1,000 | $6,000 | thousands by filing date | |
| VESTIN RLTY MTG II INC | 92549X300 | COM PAR | 1,462 | $6,000 | thousands by filing date | |
| AETRIUM INC | 00817R202 | COM NEW | 1,046 | $6,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 80 | $5,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 121 | $5,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 316 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 100 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 150 | $5,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 377 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 177 | $5,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 151 | $5,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 201 | $5,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 212 | $5,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 543 | $5,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 500 | $5,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 308 | $5,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 459 | $5,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 159 | $5,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,272 | $5,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 74 | $5,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 175 | $5,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 635 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 300 | $5,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 2,160 | $5,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 246 | $5,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 914 | $5,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 489 | $5,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 382 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 313 | $5,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 105 | $5,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 563 | $5,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 628 | $5,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 645 | $5,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 3,600 | $5,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 463 | $5,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 263 | $5,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 5,000 | $5,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W395 | FUND | 57 | $5,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 664 | $5,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 3,500 | $5,000 | thousands by filing date | |
| TARGACEPT INC | 87611R306 | COM | 1,255 | $5,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 889 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 100 | $5,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 197 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 175 | $5,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 383 | $5,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 539 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 367 | $5,000 | thousands by filing date | |
| SALIENT MLP & ENERGY INFRSTR | 79471T100 | COM SH BEN INT | 148 | $5,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 400 | $5,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 1,006 | $5,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,070 | $5,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 43 | $5,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 139 | $5,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 701 | $5,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 190 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 152 | $5,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 287 | $5,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 8,117 | $5,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 1,188 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-14-000125 | this filing | 2014-08-14 | acceptance time not in the bulk data set |