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 |
|---|---|---|---|---|---|---|
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,201 | $17,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 5,753 | $17,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 1,823 | $17,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 416 | $17,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 4,037 | $17,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 318 | $17,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 794 | $17,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 1,278 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 553 | $17,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 400 | $17,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 693 | $17,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 206 | $17,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 14,000 | $17,000 | thousands by filing date | principal |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,430 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 382 | $17,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 1,074 | $17,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 956 | $17,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 1,714 | $17,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 200 | $16,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 4,441 | $16,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 1,477 | $16,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 1,104 | $16,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 1,500 | $16,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 895 | $16,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 128 | $16,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,343 | $16,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,168 | $16,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 1,671 | $16,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 494 | $16,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 1,088 | $16,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 563 | $16,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 129 | $16,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 1,200 | $16,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 991 | $16,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 940 | $16,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 2,944 | $16,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 865 | $16,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 1,036 | $16,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 534 | $16,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 2,999 | $16,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 9,363 | $16,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 123 | $16,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 2,008 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 716 | $16,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 963 | $16,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 1,474 | $16,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 6,800 | $16,000 | thousands by filing date | call |
| ALIMERA SCIENCES INC | 016259103 | COM | 3,011 | $16,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 625 | $16,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 2,188 | $16,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 539 | $16,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,562 | $16,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 1,235 | $16,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,133 | $15,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 439 | $15,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 500 | $15,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 1,757 | $15,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 967 | $15,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 237 | $15,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 545 | $15,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 3,024 | $15,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 665 | $15,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 565 | $15,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,820 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 359 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 300 | $15,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 138,175 | $15,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 788 | $15,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 607 | $15,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 1,756 | $15,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,164 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 500 | $15,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $15,000 | thousands by filing date | principal |
| REACHLOCAL INC | 75525F104 | COM | 4,109 | $15,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 4,220 | $15,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 2,074 | $15,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 591 | $15,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 6,269 | $15,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 5,370 | $15,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 4,085 | $15,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $15,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 195 | $15,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 506 | $15,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 1,075 | $15,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 702 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 692 | $15,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 190 | $15,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 6,064 | $15,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 2,955 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 271 | $14,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 125 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 100 | $14,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 797 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 207 | $14,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 406 | $14,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 1,195 | $14,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 2,318 | $14,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 841 | $14,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 777 | $14,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,143 | $14,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 2,164 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 317 | $14,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 2,811 | $14,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 1,701 | $14,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 600 | $14,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 2,408 | $14,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 2,541 | $14,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 668 | $14,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 2,036 | $14,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 1,245 | $14,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 2,221 | $14,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 2,899 | $14,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 2,562 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 500 | $14,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 727 | $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 | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 1,000 | $14,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 4,041 | $14,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 1,868 | $14,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 482 | $14,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 1,736 | $14,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,329 | $14,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 929 | $14,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 381 | $14,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 2,214 | $14,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 1,419 | $14,000 | thousands by filing date | call |
| SESEN BIO, INC. | 286221106 | COM | 1,256 | $14,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605116 | Cmn | 4,779 | $14,000 | thousands by filing date | |
| BIOFUEL ENERGY CORP | 09064Y117 | RIGHT 10/17/2014 | 4,700 | $14,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 2,523 | $13,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 631 | $13,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 1,341 | $13,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 789 | $13,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 1,004 | $13,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,000 | $13,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 1,702 | $13,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 1,211 | $13,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 384 | $13,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 1,019 | $13,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 757 | $13,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 2,900 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 600 | $13,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 9,157 | $13,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 1,738 | $13,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 5,947 | $13,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 492 | $13,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $13,000 | thousands by filing date | call |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 952 | $13,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 689 | $13,000 | thousands by filing date | |
| SALIENT MLP & ENERGY INFRSTR | 79471T100 | COM SH BEN INT | 383 | $13,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 4,376 | $13,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 500 | $13,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 777 | $13,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 270 | $13,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 16,000 | $13,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 453 | $13,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 11,100 | $13,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 238 | $13,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 1,047 | $13,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 1,986 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 444 | $13,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H102 | COM | 4,000 | $13,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 426,583 | $13,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 3,044 | $13,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 596 | $13,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 746 | $12,000 | thousands by filing date | |
| MSC INDL DIRECT INC CL A | 553530106 | Stock | 147 | $12,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 350 | $12,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 535 | $12,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,179 | $12,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,064 | $12,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 885 | $12,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 569 | $12,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 743 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 820 | $12,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,419 | $12,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 148 | $12,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 460 | $12,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 264 | $12,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 235 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 250 | $12,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 498 | $12,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 100 | $12,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 611 | $12,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 1,384 | $12,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 1,720 | $12,000 | thousands by filing date | |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 473 | $12,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 3,299 | $12,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 985 | $12,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 3,302 | $12,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 10,800 | $12,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 949 | $12,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 8,722 | $12,000 | thousands by filing date | |
| ESB FINANCIAL CORP | 26884F102 | COM | 1,065 | $12,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 476 | $12,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 801 | $12,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 352 | $12,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 3,448 | $12,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 38,593 | $12,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 326 | $12,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 1,400 | $12,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 585 | $12,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 485 | $12,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 770 | $12,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 4,000 | $12,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 2,840 | $12,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 639 | $12,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 1,442 | $12,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 939 | $12,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 839 | $12,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 972 | $12,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 250 | $11,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 200 | $11,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 552 | $11,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 169 | $11,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 100 | $11,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 870 | $11,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 900 | $11,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 725 | $11,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 313 | $11,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 873 | $11,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 633 | $11,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 402 | $11,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 585 | $11,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 774 | $11,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 811 | $11,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 272 | $11,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 916 | $11,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 800 | $11,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 490 | $11,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 887 | $11,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 817 | $11,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,598 | $11,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 675 | $11,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 774 | $11,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 271 | $11,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 3,491 | $11,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 342 | $11,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 722 | $11,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 286 | $11,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,065 | $11,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 778 | $11,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 4,801 | $11,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 3,673 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 500 | $11,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 3,047 | $11,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 1,304 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 758 | $11,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 11,184 | $11,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 1,793 | $11,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 444 | $11,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 609 | $11,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 9,000 | $11,000 | thousands by filing date | principal |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 475 | $11,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 884 | $11,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 4,102 | $11,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 573 | $11,000 | thousands by filing date | call |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 2,750 | $11,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 843 | $11,000 | thousands by filing date | |
| DIREXION DAILY JUNIOR GOLD MINERS INDEX BULL 3X ETF SHS | 25459Y611 | COM | 890 | $11,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 730 | $11,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 696 | $11,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 614 | $11,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 1,361 | $11,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 219 | $10,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 100 | $10,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 265 | $10,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 415 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 490 | $10,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 300 | $10,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 55 | $10,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 758 | $10,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 351 | $10,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 1,450 | $10,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 1,035 | $10,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 435 | $10,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 534 | $10,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,948 | $10,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 3,196 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 548 | $10,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 400 | $10,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 547 | $10,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 1,269 | $10,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 235 | $10,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $10,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 648 | $10,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 2,500 | $10,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 534 | $10,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 1,821 | $10,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 371 | $10,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 497 | $10,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 5,220 | $10,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 5,109 | $10,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 1,237 | $10,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 5,627 | $10,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 766 | $10,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 703 | $10,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 1,256 | $10,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 482 | $10,000 | thousands by filing date | |
| T.G.C. INDUSTRIES INC | 872417308 | COM | 2,697 | $10,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 219 | $10,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 686 | $10,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 3,617 | $10,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 500 | $10,000 | thousands by filing date | |
| ISHARES TR | 464289107 | S&P TARGET RET | 300 | $10,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 1,502 | $10,000 | thousands by filing date | |
| MONTAGE TECHNOLOGY GROUP LTD | G6209T105 | SHS | 485 | $10,000 | thousands by filing date | |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 10,000 | $10,000 | thousands by filing date | principal |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 574 | $10,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 3,330 | $10,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 1,620 | $10,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 669 | $9,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 498 | $9,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 817 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 201 | $9,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 478 | $9,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 500 | $9,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 491 | $9,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 610 | $9,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 578 | $9,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 757 | $9,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 368 | $9,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 684 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 775 | $9,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 805 | $9,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 580 | $9,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 779 | $9,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 500 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 322 | $9,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 1,689 | $9,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,280 | $9,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 4,750 | $9,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,815 | $9,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,000 | $9,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 1,549 | $9,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 1,484 | $9,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 545 | $9,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 796 | $9,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 1,366 | $9,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 1,000 | $9,000 | thousands by filing date | put |
| RF MICRODEVICES INC | 749941100 | COM | 800 | $9,000 | thousands by filing date | call |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 2,206 | $9,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 2,399 | $9,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 599 | $9,000 | thousands by filing date | |
| PROGRESSIVE WASTE SOLUTIONS | 74339G101 | COM | 335 | $9,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 239 | $9,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 380 | $9,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 4,000 | $9,000 | thousands by filing date | principal |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 2,592 | $9,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 719 | $9,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 2,773 | $9,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 1,805 | $9,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 266 | $9,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 568 | $9,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 4,000 | $9,000 | thousands by filing date | principal |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 72 | $9,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 367 | $9,000 | thousands by filing date | |
| ENDO HEALTH SOLUTIONS INC | 29264FAB2 | BOND | 4,000 | $9,000 | thousands by filing date | principal |
| STONEGATE BANK | 861811107 | COM | 347 | $9,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 2,017 | $9,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 988 | $9,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 852 | $9,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 611 | $9,000 | thousands by filing date | |
| ZS PHARMA INC | 98979G105 | Common Stock | 237 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 127 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 118 | $8,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 214 | $8,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 300 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 200 | $8,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 878 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 504 | $8,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 600 | $8,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 213 | $8,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 334 | $8,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 503 | $8,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 450 | $8,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 814 | $8,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 694 | $8,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 200 | $8,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 150 | $8,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 594 | $8,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397184 | RIGHT 10/20/2014 | 145,258 | $8,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 223 | $8,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 576 | $8,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 970 | $8,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 669 | $8,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 5,700 | $8,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 8,000 | $8,000 | thousands by filing date | principal |
| EXACTECH INC | 30064E109 | COM | 339 | $8,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 276 | $8,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 342 | $8,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 2,388 | $8,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 5,353 | $8,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 581 | $8,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 778 | $8,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,400 | $8,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 42,750 | $8,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 1,104 | $8,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 1,100 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 132 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 458 | $8,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P127 | RBS OIL TRNDPL | 400 | $8,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 500 | $8,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 3,500 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 552 | $8,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 400 | $8,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 1,000 | $8,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 2,624 | $8,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 321 | $8,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 569 | $8,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 655 | $8,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 813 | $8,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 99 | $7,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 227 | $7,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 5,003 | $7,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 846 | $7,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 271 | $7,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 741 | $7,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 620 | $7,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 541 | $7,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 980 | $7,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 2,711 | $7,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 387 | $7,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 372 | $7,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 200 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 82 | $7,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 713 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 216 | $7,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 5,000 | $7,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 561 | $7,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 289 | $7,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 538 | $7,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 478 | $7,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 692 | $7,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,208 | $7,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 671 | $7,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 540 | $7,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 770 | $7,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 777 | $7,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 271 | $7,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892507 | CV 8% CUM PFD-D | 279 | $7,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 719 | $7,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 8,859 | $7,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 659 | $7,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 425 | $7,000 | thousands by filing date | |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 540 | $7,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 800 | $7,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 1,888 | $7,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 327 | $7,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 635 | $7,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 1,379 | $7,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 348 | $7,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 1,642 | $7,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 3,001 | $7,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 4,397 | $7,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 322 | $7,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 552 | $7,000 | thousands by filing date | |
| POSTROCK ENERGY CORP | 737525105 | COM | 5,850 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 200 | $7,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 466 | $7,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 756 | $7,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 457 | $7,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 790 | $7,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 453 | $7,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 517 | $7,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 354 | $7,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 845 | $7,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 8,000 | $7,000 | thousands by filing date | principal |
| GLOBEIMMUNE INC | 37957B100 | COM | 1,000 | $7,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 2,296 | $7,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 1,168 | $7,000 | thousands by filing date | |
| BORDERFREE INC | 09970L100 | COM | 511 | $7,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 200 | $6,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 98 | $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 | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 389 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 34 | $6,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 464 | $6,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 685 | $6,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 451 | $6,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 917 | $6,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 330 | $6,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 201 | $6,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 282 | $6,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 682 | $6,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 132 | $6,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 837 | $6,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 138 | $6,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 1,279 | $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 | 617 | $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 | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 902 | $6,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 450 | $6,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 1,239 | $6,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 778 | $6,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 441 | $6,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 50,800 | $6,000 | thousands by filing date | call |
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 |