13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-17, with 7,247 holding rows worth $111,975,823,000.
- Accession
- 0000831001-15-000039
- Filer
- CIK 831001
- Filed
- 2015-02-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 18,074 entries on the cover page, a total value of $111,975,823,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $111,975,823,000 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 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 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 managerCitigroup Private Equity LP028-16666
- 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 |
|---|---|---|---|---|---|---|
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 74,000 | $68,000 | thousands by filing date | principal |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 7,734 | $68,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 682 | $67,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 733 | $67,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 3,300 | $67,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 2,638 | $67,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 3,888 | $67,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 4,288 | $67,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 3,306 | $67,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 41,501 | $67,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 28,277 | $67,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 1,480 | $66,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 7,844 | $66,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 18,611 | $66,000 | thousands by filing date | |
| ICU MED INC | 44930G107 | COM | 799 | $66,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 641 | $66,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 3,449 | $66,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 3,399 | $66,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 17,021 | $66,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 2,600 | $66,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AH5 | NOTE 3.250% 4/0 | 64,000 | $66,000 | thousands by filing date | principal |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 20,000 | $66,000 | thousands by filing date | principal |
| ASHFORD INC | 044104107 | COM | 698 | $66,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 588 | $65,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 5,616 | $65,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 15,852 | $65,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 3,352 | $65,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 5,139 | $65,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 4,773 | $65,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 3,900 | $64,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 1,844 | $64,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 6,374 | $64,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 2,363 | $64,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 4,200 | $64,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 3,865 | $64,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 52,000 | $64,000 | thousands by filing date | principal |
| JINPAN INTL LTD | G5138L100 | ORD | 10,000 | $64,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 72,963 | $64,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 3,811 | $64,000 | thousands by filing date | |
| PENFORD CORP | 707051108 | COM | 3,404 | $64,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 10,092 | $64,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 7,127 | $64,000 | thousands by filing date | |
| LIBERTY INTERACTIVE LLC | 530610AC8 | DEB 0.750 3/3 | 45,000 | $64,000 | thousands by filing date | principal |
| VANGUARD STAR FDS | 921909768 | COM | 1,302 | $63,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 1,294 | $63,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 2,100 | $63,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 3,796 | $63,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 2,303 | $63,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 789 | $63,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 2,852 | $63,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 1,798 | $63,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 2,083 | $63,000 | thousands by filing date | |
| MADISON SQUARE GARDEN CO | 55826P100 | CL A | 852 | $63,000 | thousands by filing date | |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 5,441 | $63,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 40,280 | $63,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 600 | $63,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 2,452 | $63,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 2,206 | $63,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 41,000 | $63,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 1,833 | $62,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 6,228 | $62,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 2,207 | $62,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 44,982 | $62,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 6,886 | $62,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 5,169 | $62,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 1,263 | $61,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 5,000 | $61,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 11,624 | $61,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 5,691 | $61,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 57,981 | $61,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 4,170 | $61,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 24,292 | $61,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 2,167 | $61,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 842 | $60,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 2,781 | $60,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 5,639 | $60,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 12,311 | $60,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 7,606 | $60,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 10,500 | $60,000 | thousands by filing date | call |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 7,811 | $60,000 | thousands by filing date | |
| FMSA HLDGS INC | 30255X106 | COM | 8,713 | $60,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 382 | $59,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 3,061 | $59,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 4,332 | $59,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 2,500 | $59,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 3,592 | $59,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 2,885 | $59,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 3,785 | $59,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 2,119 | $59,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,081 | $59,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 2,530 | $59,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 1,225 | $59,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 2,111 | $59,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 9,766 | $59,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 1,760 | $58,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 7,064 | $58,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 12,636 | $58,000 | thousands by filing date | |
| Cynosure, Inc. | 232577205 | COM | 2,115 | $58,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 977 | $58,000 | thousands by filing date | |
| TRIQUINT SEMICONDUCTOR INC | 89674K103 | COM | 2,100 | $58,000 | thousands by filing date | call |
| BIO REFERENCE LABS INC | 09057G602 | COM | 1,803 | $58,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 2,200 | $58,000 | thousands by filing date | put |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 18,094 | $58,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 11,397 | $58,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 2,163 | $58,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 61,000 | $58,000 | thousands by filing date | principal |
| BMC Stock Holdings Inc | 86101X104 | COM | 3,802 | $58,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 1,427 | $57,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 10,464 | $57,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 1,300 | $57,000 | thousands by filing date | put |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 2,250 | $57,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 45,000 | $57,000 | thousands by filing date | principal |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 12,247 | $57,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 1,641 | $57,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 4,325 | $57,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 4,472 | $57,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 543 | $57,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 27,711 | $57,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC | 795435106 | COM | 500 | $57,000 | thousands by filing date | put |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 6,994 | $57,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 2,367 | $57,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 27,323 | $57,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 2,270 | $57,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 9,184 | $57,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,331 | $56,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 1,042 | $56,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 450 | $56,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 4,050 | $56,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 2,884 | $56,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 1,064 | $56,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 2,988 | $56,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 4,049 | $56,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 2,401 | $56,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 61,000 | $56,000 | thousands by filing date | principal |
| OMNICELL COM COM | 68213N109 | Stock | 1,665 | $55,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 10,347 | $55,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 1,786 | $55,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 4,257 | $55,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 5,988 | $55,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 73,119 | $55,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 2,404 | $55,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 5,293 | $55,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 1,875 | $55,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 15,000 | $55,000 | thousands by filing date | principal |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 2,573 | $54,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 6,607 | $54,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 1,040 | $54,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 3,099 | $54,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 3,642 | $54,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 5,307 | $54,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 1,527 | $54,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 6,690 | $54,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 8,383 | $54,000 | thousands by filing date | |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 47,000 | $54,000 | thousands by filing date | principal |
| STATE NATIONAL. | 85711T305 | Common Stock | 4,572 | $54,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 1,380 | $53,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 523 | $53,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 3,958 | $53,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS INC | 05334DAA5 | NOTE 1.500% 7/1 | 36,000 | $53,000 | thousands by filing date | principal |
| RTI BIOLOGICS INC | 74975N105 | COM | 10,186 | $53,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 8,826 | $53,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 6,048 | $53,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 4,572 | $53,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 3,000 | $53,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 1,793 | $53,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 3,725 | $52,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 2,215 | $52,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 4,150 | $52,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 922 | $52,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 5,305 | $52,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017117 | UNIT 99/99/9999 | 846 | $52,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 1,372 | $52,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 5,894 | $52,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 3,617 | $52,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 28,620 | $52,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 5,585 | $52,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 29,000 | $52,000 | thousands by filing date | call |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 3,142 | $52,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 51,000 | $52,000 | thousands by filing date | principal |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 55,000 | $52,000 | thousands by filing date | principal |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 6,693 | $52,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 194 | $51,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 2,558 | $51,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 7,545 | $51,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 4,332 | $51,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 3,498 | $51,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 5,166 | $51,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 630 | $51,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 7,013 | $51,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 3,190 | $51,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 2,000 | $51,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 4,530 | $51,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 1,715 | $51,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 71,000 | $51,000 | thousands by filing date | principal |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 4,813 | $51,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 1,935 | $50,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,729 | $50,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 3,626 | $50,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 5,889 | $50,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 5,329 | $50,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 1,355 | $50,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 5,699 | $50,000 | thousands by filing date | |
| SWS GROUP INC | 78503N107 | COM | 7,264 | $50,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 3,033 | $50,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 4,100 | $50,000 | thousands by filing date | put |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 57,233 | $50,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 3,014 | $50,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 3,582 | $50,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 3,474 | $49,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 4,750 | $49,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,602 | $49,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 594 | $49,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 1,000 | $49,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 47,000 | $49,000 | thousands by filing date | principal |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 3,525 | $49,000 | thousands by filing date | |
| PHARMACYCLICS INC | 716933106 | COM | 400 | $49,000 | thousands by filing date | put |
| PAREXEL INTL CORP | 699462107 | COM | 871 | $49,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 7,752 | $49,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 39,130 | $49,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 14,000 | $49,000 | thousands by filing date | principal |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 3,997 | $49,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 3,364 | $49,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 3,664 | $49,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,940 | $48,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 239,526 | $48,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 2,981 | $48,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 1,550 | $48,000 | thousands by filing date | |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 1,177 | $48,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 352 | $48,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 527 | $48,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 10,000 | $48,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 24,252 | $48,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 3,257 | $47,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 3,337 | $47,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,863 | $47,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 4,294 | $47,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 23,392 | $47,000 | thousands by filing date | |
| ARRIS GROUP INC | 04270V106 | COM | 1,523 | $47,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 3,195 | $47,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 5,126 | $47,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 2,714 | $47,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 871 | $46,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 2,309 | $46,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 826 | $46,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 4,615 | $46,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 2,671 | $46,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 1,477 | $46,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 8,654 | $46,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 996 | $46,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 7,188 | $46,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 2,918 | $46,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 3,842 | $46,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 3,007 | $46,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 5,000 | $46,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 30,535 | $46,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 32,862 | $46,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 1,593 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 2,095 | $46,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 1,222 | $46,000 | thousands by filing date | |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 41,000 | $46,000 | thousands by filing date | principal |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 1,170 | $46,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 3,042 | $45,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 900 | $45,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 7,900 | $45,000 | thousands by filing date | call |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 477 | $45,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 3,197 | $45,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,138 | $45,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 1,121 | $45,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 5,788 | $45,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,712 | $45,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 3,508 | $45,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 2,988 | $45,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 27,276 | $45,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 44,000 | $45,000 | thousands by filing date | principal |
| OMNICARE | 681904AQ1 | NOTE3 | 38,000 | $45,000 | thousands by filing date | principal |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 3,301 | $44,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 2,005 | $44,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 1,300 | $44,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 1,597 | $44,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 5,700 | $44,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 2,549 | $44,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 2,905 | $44,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 1,575 | $44,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 2,034 | $44,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,531 | $44,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 10,970 | $44,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 14,882 | $44,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 3,472 | $44,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 11,110 | $44,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 12,391 | $44,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,492 | $44,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 813 | $43,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 1,416 | $43,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 2,422 | $43,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 1,542 | $43,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 2,600 | $43,000 | thousands by filing date | put |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 2,287 | $43,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 1,632 | $43,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 4,147 | $43,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 1,000 | $43,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 42,000 | $43,000 | thousands by filing date | principal |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 40,000 | $43,000 | thousands by filing date | principal |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 4,300 | $43,000 | thousands by filing date | |
| REED ELSEVIER PLC-SPONS ADR | 758205207 | SPON | 619 | $43,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 1,515 | $43,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 2,671 | $43,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 378 | $43,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 1,563 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 721 | $42,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 3,683 | $42,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 1,200 | $42,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 4,393 | $42,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 16,217 | $42,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 133 | $42,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 9,969 | $42,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 1,370 | $42,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 18,000 | $42,000 | thousands by filing date | put |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 475 | $42,000 | thousands by filing date | |
| MAVENIR SYS INC | 577675101 | COM | 3,099 | $42,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 3,724 | $42,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 650 | $41,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 8,166 | $41,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 228 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 302 | $41,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 1,598 | $41,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 29,507 | $41,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 9,772 | $41,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 553 | $41,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 45,200 | $41,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 4,032 | $41,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 2,269 | $41,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,713 | $41,000 | thousands by filing date | |
| ANCHOR BANCORP WIS INC DEL | 03283P106 | COM | 1,187 | $41,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 2,188 | $40,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 895 | $40,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 4,872 | $40,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 769 | $40,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 2,515 | $40,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 17,518 | $40,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 2,600 | $40,000 | thousands by filing date | call |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 3,236 | $40,000 | thousands by filing date | |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 22,640 | $40,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 2,292 | $40,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 2,924 | $40,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 7,836 | $40,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 24,016 | $40,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 3,101 | $40,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,000 | $40,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 2,802 | $40,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 725 | $39,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 869 | $39,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 3,247 | $39,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 1,102 | $39,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 2,271 | $39,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 2,601 | $39,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 645 | $39,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,762 | $39,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 1,476 | $39,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 5,740 | $39,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 10,614 | $39,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 8,580 | $39,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 1,773 | $39,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 4,660 | $39,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 596 | $39,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 6,173 | $39,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 4,296 | $39,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,795 | $39,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 3,386 | $38,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 4,745 | $38,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 23,833 | $38,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 12,101 | $38,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 3,890 | $38,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 2,952 | $38,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 10,502 | $38,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 1,877 | $38,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 3,450 | $38,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 3,223 | $38,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 41,000 | $38,000 | thousands by filing date | principal |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 2,895 | $38,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 716 | $37,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 479 | $37,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 2,188 | $37,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 2,531 | $37,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 1,023 | $37,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 3,876 | $37,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 5,002 | $37,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 3,323 | $37,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,481 | $37,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 995 | $37,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 3,753 | $37,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 4,248 | $37,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 3,563 | $37,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 2,053 | $37,000 | thousands by filing date | |
| LIFE TIME FITNESS INC | 53217R207 | COM | 664 | $37,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 1,022 | $37,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 951 | $37,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 4,400 | $37,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 1,743 | $37,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,645 | $37,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 1,500 | $37,000 | thousands by filing date | |
| INTEROIL CORP | 460951AC0 | NOTE 2.750%11/1 | 37,000 | $37,000 | thousands by filing date | principal |
| SFX ENTMT INC | 784178303 | COM | 8,146 | $37,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 2,798 | $37,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 2,600 | $36,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 3,129 | $36,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 3,499 | $36,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,255 | $36,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 2,128 | $36,000 | thousands by filing date | call |
| NEONODE INC | 64051M402 | COM NEW | 10,771 | $36,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 2,627 | $36,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 2,173 | $36,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 9,496 | $36,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,260 | $36,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 2,182 | $36,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 10,000 | $36,000 | thousands by filing date | principal |
| ADEPTUS HEALTH | 006855100 | Common Stock | 963 | $36,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 7,934 | $36,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 6,214 | $35,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 702 | $35,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 8,916 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 1,875 | $35,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 1,560 | $35,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 4,040 | $35,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 1,839 | $35,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 3,300 | $35,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 33,405 | $35,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 5,193 | $35,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 15,054 | $35,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 4,543 | $35,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 2,400 | $34,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 581 | $34,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 4,182 | $34,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 710 | $34,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 400 | $34,000 | thousands by filing date | put |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 470 | $34,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 2,735 | $34,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,571 | $34,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 2,003 | $34,000 | thousands by filing date | |
| MWI VETERINARY SUPPLY INC | 55402X105 | COM | 201 | $34,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 4,035 | $34,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 19,398 | $34,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 3,676 | $34,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 8,171 | $34,000 | thousands by filing date | |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 9,000 | $34,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 3,770 | $34,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 1,104 | $34,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 12,595 | $34,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 5,084 | $33,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 1,486 | $33,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 761 | $33,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 2,030 | $33,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 1,556 | $33,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 3,747 | $33,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 2,237 | $33,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 13,654 | $33,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 1,509 | $33,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 12,213 | $33,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 1,200 | $33,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 1,994 | $33,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 4,484 | $33,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,924 | $33,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,188 | $33,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,750 | $33,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 2,025 | $33,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 1,699 | $32,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 922 | $32,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 2,100 | $32,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 1,245 | $32,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 6,044 | $32,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 3,000 | $32,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 2,200 | $32,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 1,102 | $32,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,822 | $32,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 4,200 | $32,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 11,825 | $32,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 490 | $32,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 1,452 | $32,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 1,044 | $32,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 2,102 | $32,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 985 | $32,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 1,514 | $32,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 1,667 | $32,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 5,863 | $32,000 | thousands by filing date | |
| SQUARE 1 FINL INC | 85223W101 | CL A | 1,307 | $32,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 900 | $31,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,183 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 1,100 | $31,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 1,917 | $31,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 2,047 | $31,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 1,920 | $31,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 3,064 | $31,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 1,175 | $31,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 6,683 | $31,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 561 | $31,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D571 | EXCHANGE TRADED | 7,664 | $31,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 3,755 | $31,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 1,860 | $31,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1,662 | $31,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 27,525 | $31,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 2,145 | $31,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-15-000039 | this filing | 2015-02-17 | acceptance time not in the bulk data set |