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 |
|---|---|---|---|---|---|---|
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 325 | $6,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 790 | $6,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 450 | $6,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 300 | $6,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 841 | $6,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 244 | $6,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 3,042 | $6,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 357 | $6,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 300 | $6,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 686 | $6,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 541 | $6,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 600 | $6,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 342 | $6,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 576 | $6,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 833 | $6,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 3,500 | $6,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 617 | $6,000 | thousands by filing date | |
| AMBIT BIOSCIENCES CORP | 02318X100 | COM | 367 | $6,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 3,405 | $6,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 1,709 | $6,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 2,721 | $6,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 400 | $6,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 1,733 | $6,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 7,000 | $6,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 5,074 | $6,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 116 | $6,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 852 | $6,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 394 | $6,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 8,200 | $6,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 370 | $6,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,745 | $6,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 338 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 135 | $6,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 18,000 | $6,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 237 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 625 | $6,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 3,000 | $6,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90268A667 | MTH 2X DJ INTL | 172 | $6,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 4,731 | $6,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 435 | $6,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 401 | $6,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 418 | $6,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 450 | $6,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 7,000 | $6,000 | thousands by filing date | principal |
| STONEGATE MTG CORP | 86181Q300 | COM | 498 | $6,000 | thousands by filing date | |
| MOKO SOCIAL MEDIA LTD | 608458204 | Depository Receipt | 1,000 | $6,000 | thousands by filing date | |
| LAKES ENTERTAINMEN | 51206P208 | COM | 669 | $6,000 | thousands by filing date | |
| FORCEFIELD ENERGY | 34520U103 | COM | 1,000 | $6,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 80 | $5,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 100 | $5,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 121 | $5,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 2,350 | $5,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 1,000 | $5,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 348 | $5,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,965 | $5,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 1,855 | $5,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 500 | $5,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 692 | $5,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 358 | $5,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 419 | $5,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 411 | $5,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 396 | $5,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 347 | $5,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 451 | $5,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 388 | $5,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 291 | $5,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 511 | $5,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 635 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 105 | $5,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 248 | $5,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 1,327 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 318 | $5,000 | thousands by filing date | |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 445 | $5,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 481 | $5,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 732 | $5,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,058 | $5,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 522 | $5,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 347 | $5,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 718 | $5,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 291 | $5,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 319 | $5,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 363 | $5,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 245 | $5,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 400 | $5,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 7,322 | $5,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 780 | $5,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 2,456 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 367 | $5,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 500 | $5,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 2,140 | $5,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 5,600 | $5,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 2,400 | $5,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 578 | $5,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,401 | $5,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 2,250 | $5,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 333 | $5,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 38 | $5,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 805 | $5,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 717 | $5,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 2,337 | $5,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 60 | $5,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 1,213 | $5,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 292 | $5,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 244 | $5,000 | thousands by filing date | |
| MKT V. SHORT MUNI INDEX | 57060U803 | ETF | 300 | $5,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 647 | $5,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,009 | $5,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 128 | $5,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 489 | $5,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 335 | $5,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 200 | $5,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 480 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 1,658 | $5,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 457 | $5,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 244 | $5,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 311 | $5,000 | thousands by filing date | |
| AMERICAN EAGLE ENERGY | 02554F300 | COM | 1,263 | $5,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 738 | $5,000 | thousands by filing date | |
| SMTP INC | 784589202 | COM NEW | 750 | $5,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 2,550 | $5,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 197 | $5,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 1,000 | $5,000 | thousands by filing date | |
| OPOWER INC | 68375Y109 | COM | 271 | $5,000 | thousands by filing date | |
| SQUARE 1 FINL INC | 85223W101 | CL A | 241 | $5,000 | thousands by filing date | |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 309 | $5,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 151 | $4,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 38 | $4,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,058 | $4,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 335 | $4,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 624 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 200 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 150 | $4,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 178 | $4,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 200 | $4,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,245 | $4,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 242 | $4,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 100 | $4,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 209 | $4,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 288 | $4,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 980 | $4,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 250 | $4,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 746 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 329 | $4,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 155 | $4,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 180 | $4,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 485 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 300 | $4,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 166 | $4,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 690 | $4,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 324 | $4,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 559 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 100 | $4,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 1,000 | $4,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 200 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 72 | $4,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 176 | $4,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 713 | $4,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 357 | $4,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,000 | $4,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 911 | $4,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 50 | $4,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 854 | $4,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 2,831 | $4,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 350 | $4,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 3,200 | $4,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 1,076 | $4,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 5,422 | $4,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 1,429 | $4,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 750 | $4,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 1,206 | $4,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 691 | $4,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 1,060 | $4,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 531 | $4,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 318 | $4,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,630 | $4,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 50 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 175 | $4,000 | thousands by filing date | |
| ISHARES TR | 46429B770 | ISHARES INT INFL LINKED BOND | 88 | $4,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 1,769 | $4,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 289 | $4,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 281 | $4,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 3,179 | $4,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 2,500 | $4,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 164 | $4,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 486 | $4,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 620 | $4,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 241 | $4,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 523 | $4,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 1,500 | $4,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 214 | $4,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 190 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 262 | $4,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 375 | $4,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 250 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 125 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 100 | $4,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 1,746 | $4,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 500 | $4,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 1,080 | $4,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 2,800 | $4,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 402 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 76 | $4,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 321 | $4,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 207 | $4,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 181 | $4,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 212 | $4,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 324 | $4,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 2,660 | $4,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 358 | $4,000 | thousands by filing date | |
| NXT ID INC COM | 67091J107 | Stock | 1,729 | $4,000 | thousands by filing date | |
| TCP International Holdings Ltd | H84689100 | COMMON | 549 | $4,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T613 | VELSHS DLY SHTRM | 1,293 | $4,000 | thousands by filing date | |
| OMNICARE | 681904AQ1 | NOTE3 | 4,000 | $4,000 | thousands by filing date | principal |
| LEVY ACQUISITION CORP-CW18 | 52748T112 | W | 11,200 | $4,000 | thousands by filing date | call |
| UNIQURE NV | N90064101 | SHS | 364 | $3,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 155 | $3,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 246 | $3,000 | thousands by filing date | |
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| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 40 | $3,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,026 | $3,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 201 | $3,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 282 | $3,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 140 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 30 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 35 | $3,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 198 | $3,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 262 | $3,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 182 | $3,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 269 | $3,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 202 | $3,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 591 | $3,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 340 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 85 | $3,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 574 | $3,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 160 | $3,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 200 | $3,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 1,005 | $3,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 2,660 | $3,000 | thousands by filing date | |
| ROVI CORP | 779376AB8 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 1,180 | $3,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 509 | $3,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 427 | $3,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 421 | $3,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 341 | $3,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 185 | $3,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 200 | $3,000 | thousands by filing date | put |
| INTERSECT ENT INC | 46071F103 | COM | 204 | $3,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 432 | $3,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 2,159 | $3,000 | thousands by filing date | |
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| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 200 | $3,000 | thousands by filing date | |
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| Almaden Minerals Ltd | 020283107 | COM | 2,000 | $3,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 512 | $3,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 387 | $3,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 292 | $3,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 217 | $3,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 847 | $3,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 1,077 | $3,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 1,500 | $3,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 633 | $3,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 100 | $3,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 55 | $3,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 207 | $3,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 226 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 1,753 | $3,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 370 | $3,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 88 | $3,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 1,173 | $3,000 | thousands by filing date | |
| DB-X FUNDS | 233052406 | XTRAK 2040TGT DT | 99 | $3,000 | thousands by filing date | |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 5,504 | $3,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 1,479 | $3,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,031 | $3,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 332 | $3,000 | thousands by filing date | |
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| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 500 | $3,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 365 | $3,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 163 | $3,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 302 | $3,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 1,466 | $3,000 | thousands by filing date | call |
| DELCATH SYS INC | 24661P401 | Cmn | 1,631 | $3,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 424 | $3,000 | thousands by filing date | |
| IMPRIVATA INC | 45323J103 | Cmn | 207 | $3,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 1,842 | $3,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 2,364 | $3,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 89 | $2,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 853 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 100 | $2,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 108 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 51 | $2,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 128 | $2,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 273 | $2,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 3,100 | $2,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 129 | $2,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 395 | $2,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 40 | $2,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 291 | $2,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 143 | $2,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 200 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 119 | $2,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 49 | $2,000 | thousands by filing date | |
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| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 127 | $2,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 140 | $2,000 | thousands by filing date | |
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| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 156 | $2,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 168 | $2,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 328 | $2,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 196 | $2,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,118 | $2,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 1,067 | $2,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 340 | $2,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 247 | $2,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 60 | $2,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 105 | $2,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 300 | $2,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 100 | $2,000 | thousands by filing date | call |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 200 | $2,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 127 | $2,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 200 | $2,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 19,700 | $2,000 | thousands by filing date | put |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 678 | $2,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 527 | $2,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 96 | $2,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 188 | $2,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 2,036 | $2,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 230 | $2,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 104 | $2,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 286 | $2,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 1,791 | $2,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 3,087 | $2,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 1,150 | $2,000 | thousands by filing date | put |
| PROFIRE ENERGY INC | 74316X101 | COM | 511 | $2,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 500 | $2,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 742 | $2,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 2,710 | $2,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 1,068 | $2,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 1,791 | $2,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 1,000 | $2,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 400 | $2,000 | thousands by filing date | call |
| RUBICON MINERALS CORP | 780911103 | COM | 1,395 | $2,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 4,391 | $2,000 | thousands by filing date | |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 596 | $2,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 250 | $2,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 5,287 | $2,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 670 | $2,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 1,224 | $2,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 210 | $2,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 157 | $2,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 443 | $2,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 265 | $2,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 755 | $2,000 | thousands by filing date | |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 83 | $2,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 244 | $2,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 5,064 | $2,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 189 | $2,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 200 | $2,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 47 | $2,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 15 | $2,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 839 | $2,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 56 | $2,000 | thousands by filing date | |
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| PROSHARES TR | 74347X575 | SHT MSCI NEW | 100 | $2,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 25 | $2,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 900 | $2,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 138 | $2,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 223 | $2,000 | thousands by filing date | |
| SKYPEOPLE FRUIT JUICE INC | 83086T208 | COM NEW | 1,493 | $2,000 | thousands by filing date | |
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| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 57 | $2,000 | thousands by filing date | |
| SINOCOKING COAL & COKE CH IN | 829357102 | COM | 600 | $2,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 235 | $2,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 20 | $2,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 737 | $2,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 100 | $2,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 240 | $2,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 100 | $2,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 318 | $2,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 33 | $2,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 200 | $2,000 | thousands by filing date | |
| C1 FINL INC | 12591N109 | COM | 131 | $2,000 | thousands by filing date | |
| OCI RES LP | 67081B106 | COM UNIT LTD | 100 | $2,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 20 | $1,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 10 | $1,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 1,600 | $1,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 930 | $1,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 60 | $1,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 42 | $1,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 15 | $1,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 72 | $1,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 40 | $1,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 63 | $1,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 64 | $1,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 1,038 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 41 | $1,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 200 | $1,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 37 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 13 | $1,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 138 | $1,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 32 | $1,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 68 | $1,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 22 | $1,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 23 | $1,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 92 | $1,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 76 | $1,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 99 | $1,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 48 | $1,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 80 | $1,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 88 | $1,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 74 | $1,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 329 | $1,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 337 | $1,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 36 | $1,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 25 | $1,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 125 | $1,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 25 | $1,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 100 | $1,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 274 | $1,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 200 | $1,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 470 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 17 | $1,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 164 | $1,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 44 | $1,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388JAM8 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| ZION OIL & GAS INC | 989696109 | COM | 508 | $1,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 332 | $1,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 1,146 | $1,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 200 | $1,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 111 | $1,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 2,000 | $1,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 186 | $1,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 51 | $1,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 100 | $1,000 | thousands by filing date | |
| TARGACEPT INC | 87611R306 | COM | 250 | $1,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 428 | $1,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 51 | $1,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 1,150 | $1,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 101 | $1,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 1,078 | $1,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 938 | $1,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 802 | $1,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 100 | $1,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 100 | $1,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 42 | $1,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 43 | $1,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 1,137 | $1,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 95 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 30 | $1,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 700 | $1,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 500 | $1,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 43 | $1,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 110 | $1,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 630 | $1,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 326 | $1,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 1,053 | $1,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 49 | $1,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 364 | $1,000 | thousands by filing date | |
| UROPLASTY INC | 917277204 | COM NEW | 300 | $1,000 | thousands by filing date | |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 736 | $1,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 600 | $1,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 686 | $1,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 1,000 | $1,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 112 | $1,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 850 | $1,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 499 | $1,000 | thousands by filing date | |
| EVERYWARE GLOBAL INC | 300439106 | COM | 345 | $1,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 34 | $1,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 34 | $1,000 | thousands by filing date | |
| TIBCO SOFTWARE INC | 88632QAB9 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 633 | $1,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 200 | $1,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 160 | $1,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 830 | $1,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 595 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 17 | $1,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 80 | $1,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 120 | $1,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 15 | $1,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 425 | $1,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 521 | $1,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 500 | $1,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 50 | $1,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 265 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 29 | $1,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 92 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT RE | 74348A871 | COM | 33 | $1,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 1,277 | $1,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 649 | $1,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 310 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 100 | $1,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 74 | $1,000 | thousands by filing date | |
| CHINA HOUSING & LAND DEV INC | 16939V103 | COM | 728 | $1,000 | thousands by filing date | |
| STANDARD REGISTER CO | 853887206 | COM | 140 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 274 | $1,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 184 | $1,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 200 | $1,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 110 | $1,000 | 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 |