13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 7,190 holding rows worth $114,380,964,000.
- Accession
- 0000831001-14-000179
- Filer
- CIK 831001
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 16,962 entries on the cover page, a total value of $114,380,964,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $114,380,964,000 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 |
|---|---|---|---|---|---|---|
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 1,477 | $38,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 595 | $38,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 3,600 | $38,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 1,538 | $37,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 4,217 | $37,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 2,172 | $37,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 3,572 | $37,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 793 | $37,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 1,875 | $37,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 3,667 | $37,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 18,059 | $37,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 1,941 | $37,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 2,645 | $37,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 1,753 | $37,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 3,339 | $37,000 | thousands by filing date | |
| AMREIT INC | 03216B208 | CL B | 1,628 | $37,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 1,559 | $37,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 952 | $37,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 4,351 | $36,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,742 | $36,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 8,200 | $36,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 1,542 | $36,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 1,104 | $36,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,481 | $36,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2,672 | $36,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 2,569 | $36,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 5,688 | $36,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 3,044 | $36,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 3,595 | $36,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 1,089 | $36,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 1,737 | $36,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 10,523 | $36,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 4,491 | $36,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 3,964 | $36,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 1,500 | $36,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 7,865 | $36,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 2,600 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 1,197 | $35,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 3,199 | $35,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 1,460 | $35,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 1,201 | $35,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 2,526 | $35,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 748 | $35,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 2,916 | $35,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 562 | $35,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 1,004 | $35,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 3,105 | $35,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 2,345 | $35,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 2,007 | $35,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 8,485 | $35,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 2,868 | $35,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 1,158 | $35,000 | thousands by filing date | |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 9,000 | $35,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 2,969 | $35,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 2,725 | $35,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 3,088 | $34,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 1,032 | $34,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 1,812 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 443 | $34,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 4,667 | $34,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 10,096 | $34,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 647 | $34,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 6,044 | $34,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 2,316 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,740 | $34,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 3,765 | $34,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 1,031 | $34,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 2,234 | $34,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 2,511 | $34,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 916 | $34,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 3,557 | $34,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,395 | $34,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 563 | $34,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 2,848 | $34,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 17,500 | $34,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 2,569 | $34,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 5,519 | $33,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 451 | $33,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 897 | $33,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 650 | $33,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 5,961 | $33,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 4,992 | $33,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 6,178 | $33,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 2,139 | $33,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 300 | $33,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 1,560 | $33,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 4,463 | $33,000 | thousands by filing date | |
| GENCORP INC | 368682100 | COM | 2,084 | $33,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 3,457 | $33,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,994 | $33,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 488 | $33,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 1,053 | $33,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 2,295 | $33,000 | thousands by filing date | |
| BIOFUEL ENERGY CORP | 09064Y307 | COM | 5,163 | $33,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 2,174 | $32,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 860 | $32,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 2,347 | $32,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 4,419 | $32,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 1,683 | $32,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 6,656 | $32,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 1,756 | $32,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 564 | $32,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 882 | $32,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 1,013 | $32,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 2,894 | $32,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 1,284 | $32,000 | thousands by filing date | |
| VALARIS ORD | 920355104 | COM | 402 | $32,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 3,546 | $32,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 3,158 | $32,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 2,648 | $32,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 1,308 | $32,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 1,409 | $32,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 1,871 | $32,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 3,726 | $32,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 7,612 | $32,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 1,318 | $32,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 2,083 | $32,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 600 | $31,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,243 | $31,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 2,594 | $31,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,491 | $31,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 3,405 | $31,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 1,114 | $31,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,284 | $31,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 1,812 | $31,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 895 | $31,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 429 | $31,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 974 | $31,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,063 | $31,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 2,113 | $31,000 | thousands by filing date | call |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 11,370 | $31,000 | thousands by filing date | |
| SYMMETRY MEDICAL INC | 871546206 | COM | 3,086 | $31,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,495 | $31,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 2,916 | $31,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 2,476 | $31,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 840 | $31,000 | thousands by filing date | |
| TEKMIRA PHARMACEUTICALS COR | 87911B209 | COM NEW | 1,482 | $31,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 4,936 | $31,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 1,451 | $31,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 3,439 | $30,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 2,816 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 1,100 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 510 | $30,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 1,444 | $30,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 600 | $30,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 6,174 | $30,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 2,403 | $30,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 1,150 | $30,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 3,082 | $30,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 873 | $30,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 950 | $30,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 4,152 | $30,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 2,423 | $30,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 1,893 | $30,000 | thousands by filing date | |
| BIO REFERENCE LABS INC | 09057G602 | COM | 1,083 | $30,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 12,921 | $30,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,725 | $30,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 26,000 | $30,000 | thousands by filing date | principal |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 2,286 | $30,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 966 | $29,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 1,763 | $29,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 602 | $29,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 3,020 | $29,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 1,488 | $29,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 1,300 | $29,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 819 | $29,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 1,328 | $29,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 2,965 | $29,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 4,892 | $29,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 13,601 | $29,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 1,008 | $29,000 | thousands by filing date | |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 750 | $29,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 2,117 | $29,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 14,433 | $29,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 1,071 | $29,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 2,222 | $29,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 2,001 | $29,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 3,429 | $29,000 | thousands by filing date | |
| ANACOR PHARMACEUTICALS INC | 032420101 | COM | 1,202 | $29,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 4,885 | $29,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 2,575 | $29,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 4,221 | $29,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 5,819 | $29,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 2,086 | $29,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 5,403 | $29,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 24,000 | $29,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 1,155 | $29,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 2,826 | $28,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 964 | $28,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 708 | $28,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 1,605 | $28,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 2,067 | $28,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 4,280 | $28,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 3,544 | $28,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 1,750 | $28,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 830 | $28,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 3,275 | $28,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 1,135 | $28,000 | thousands by filing date | |
| Susser Petroleum Partners, LP | 869239103 | LTD | 500 | $28,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 2,433 | $28,000 | thousands by filing date | |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 2,376 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 1,056 | $28,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 3,339 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 1,243 | $28,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 5,865 | $28,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,750 | $28,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 742 | $28,000 | thousands by filing date | |
| Coupons Com Inc | 22265J102 | Common Stock | 2,334 | $28,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 1,813 | $27,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 1,252 | $27,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 789 | $27,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 1,822 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 1,881 | $27,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 1,935 | $27,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 757 | $27,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 554 | $27,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 1,820 | $27,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 665 | $27,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 1,700 | $27,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 1,151 | $27,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 2,186 | $27,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 1,895 | $27,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 712 | $27,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 2,485 | $27,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 4,828 | $27,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 690 | $27,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,002 | $27,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 4,304 | $27,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 1,875 | $27,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 1,238 | $27,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 27,000 | $27,000 | thousands by filing date | principal |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 1,500 | $26,000 | thousands by filing date | put |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 702 | $26,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 2,693 | $26,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 604 | $26,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 2,224 | $26,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 393 | $26,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,137 | $26,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,168 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 360 | $26,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 2,193 | $26,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 268 | $26,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 599 | $26,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 3,011 | $26,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 26,000 | $26,000 | thousands by filing date | principal |
| QLOGIC CORP | 747277101 | COM | 2,800 | $26,000 | thousands by filing date | call |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 1,290 | $26,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 1,683 | $26,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 12,000 | $26,000 | thousands by filing date | principal |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 2,489 | $26,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 2,000 | $26,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 29,000 | $26,000 | thousands by filing date | principal |
| OPHTHOTECH CORP | 683745103 | COM | 657 | $26,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 5,245 | $26,000 | thousands by filing date | |
| KOFAX LTD | G5307C105 | COM USD | 3,321 | $26,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 1,540 | $25,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 2,007 | $25,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 2,002 | $25,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 5,201 | $25,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,034 | $25,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 694 | $25,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 13,137 | $25,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 2,354 | $25,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 958 | $25,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 3,625 | $25,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 2,301 | $25,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 2,149 | $25,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 8,162 | $25,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 2,118 | $25,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 4,176 | $25,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 2,222 | $25,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 2,334 | $25,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 21,700 | $25,000 | thousands by filing date | call |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 1,718 | $25,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 895 | $25,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 1,113 | $25,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 3,234 | $25,000 | thousands by filing date | |
| REVENUESHARES ADR | 761396605 | ADR FD | 626 | $25,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 907 | $25,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $25,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 1,058 | $25,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 23,000 | $25,000 | thousands by filing date | principal |
| ACTUA CORPORATION | 005094107 | COM | 1,554 | $25,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 26,000 | $25,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A335 | COM | 588 | $25,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 485 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 411 | $24,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 1,524 | $24,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 2,752 | $24,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 2,032 | $24,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 1,773 | $24,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,230 | $24,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 1,190 | $24,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 3,000 | $24,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 2,807 | $24,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 900 | $24,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 882 | $24,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 414 | $24,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 455 | $24,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 5,000 | $24,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,480 | $24,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 2,505 | $24,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,930 | $24,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 19,062 | $24,000 | thousands by filing date | |
| VOLCANO CORPORATION | 928645100 | COM | 2,295 | $24,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 16,713 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $24,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 1,509 | $24,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 2,000 | $24,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 2,330 | $24,000 | thousands by filing date | |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 970 | $24,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 900 | $24,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA | 153443AH9 | NOTE 5.000%11/1 | 25,000 | $24,000 | thousands by filing date | principal |
| NUVEEN GA DIVID | 67072B107 | COM | 1,828 | $24,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 2,688 | $24,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 1,221 | $23,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,443 | $23,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,705 | $23,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 2,928 | $23,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,155 | $23,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 5,596 | $23,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 659 | $23,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 1,373 | $23,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 1,631 | $23,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 2,060 | $23,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 1,689 | $23,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 1,967 | $23,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 1,737 | $23,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 926 | $23,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 3,275 | $23,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 2,200 | $23,000 | thousands by filing date | put |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 3,063 | $23,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 8,573 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 870 | $23,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 22,000 | $23,000 | thousands by filing date | principal |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 876 | $23,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 1,875 | $23,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 1,515 | $23,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 500 | $23,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 1,832 | $23,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 803 | $23,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 10,000 | $23,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 6,304 | $22,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 754 | $22,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 2,940 | $22,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 1,115 | $22,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,723 | $22,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 1,751 | $22,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 1,596 | $22,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 3,182 | $22,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 1,283 | $22,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 6,168 | $22,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 1,620 | $22,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 589 | $22,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 1,881 | $22,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 1,571 | $22,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,096 | $22,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 11,034 | $22,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 1,029 | $22,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 2,771 | $22,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 473 | $22,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 2,647 | $22,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 1,453 | $22,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 2,461 | $22,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,412 | $22,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 746 | $22,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 4,220 | $22,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 1,679 | $22,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 17,400 | $22,000 | thousands by filing date | |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 891 | $22,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 3,500 | $22,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 1,590 | $22,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 2,050 | $22,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 1,600 | $22,000 | thousands by filing date | |
| ISHARES TR | 464289800 | S&P TARGET 40 | 500 | $22,000 | thousands by filing date | |
| IDREAMSKY TECHNOLOGY LIMITED | 45173K101 | SPONSORED ADS | 1,292 | $22,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 529 | $21,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 311 | $21,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 350 | $21,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 500 | $21,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 3,439 | $21,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 873 | $21,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 3,219 | $21,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 916 | $21,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 762 | $21,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 2,002 | $21,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 775 | $21,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,123 | $21,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 4,966 | $21,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,348 | $21,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 3,647 | $21,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 593 | $21,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 2,000 | $21,000 | thousands by filing date | call |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1,051 | $21,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,629 | $21,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 2,199 | $21,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 9,001 | $21,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 1,195 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 1,000 | $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 | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 212 | $21,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 3,836 | $21,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 812 | $21,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 2,125 | $21,000 | thousands by filing date | |
| MAVENIR SYS INC | 577675101 | COM | 1,688 | $21,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 17,000 | $21,000 | thousands by filing date | principal |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 11,499 | $21,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 672 | $21,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 7,720 | $21,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 3,000 | $21,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 725 | $20,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 230 | $20,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 242 | $20,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 375 | $20,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,500 | $20,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 1,192 | $20,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 2,280 | $20,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 961 | $20,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,330 | $20,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 722 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 434 | $20,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 816 | $20,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 660 | $20,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 2,159 | $20,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 32,700 | $20,000 | thousands by filing date | put |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 1,343 | $20,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 200 | $20,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 650 | $20,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 1,824 | $20,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M571 | GUGG CRP BD 2014 | 939 | $20,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 1,650 | $20,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 2,164 | $20,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 3,547 | $20,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 2,164 | $20,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 834 | $20,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 6,916 | $20,000 | thousands by filing date | |
| PROSHARES TR SHORT QQQ (PSQ) | 74347R602 | ETF | 1,264 | $20,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,377 | $20,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 450 | $20,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 2,891 | $20,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 2,925 | $19,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 2,157 | $19,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 769 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 300 | $19,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 1,651 | $19,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 823 | $19,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,837 | $19,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 261 | $19,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 2,997 | $19,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,193 | $19,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D571 | EXCHANGE TRADED | 1,151 | $19,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 13,000 | $19,000 | thousands by filing date | principal |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 3,724 | $19,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 3,806 | $19,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 2,575 | $19,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 27,903 | $19,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 1,500 | $19,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 709 | $19,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 1,143 | $19,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 1,373 | $19,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 800 | $19,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 11,789 | $18,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 1,222 | $18,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 2,490 | $18,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 209 | $18,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 716 | $18,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 700 | $18,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 2,702 | $18,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 2,543 | $18,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 929 | $18,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 13,043 | $18,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,807 | $18,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 1,937 | $18,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 24,000 | $18,000 | thousands by filing date | principal |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 1,307 | $18,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 263 | $18,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 186 | $18,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 515 | $18,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 1,500 | $17,000 | thousands by filing date | put |
| NVE CORP COM NEW | 629445206 | Stock | 260 | $17,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 1,562 | $17,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 1,461 | $17,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 1,421 | $17,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 816 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 339 | $17,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 289 | $17,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 1,780 | $17,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,077 | $17,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 1,050 | $17,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 590 | $17,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 973 | $17,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 1,486 | $17,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 359 | $17,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 3,483 | $17,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 55 | $17,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 3,744 | $17,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-14-000179 | this filing | 2014-11-14 | acceptance time not in the bulk data set |