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 |
|---|---|---|---|---|---|---|
| VIVUS INC | 928551100 | COM | 10,679 | $31,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 1,105 | $31,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 3,088 | $30,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 3,737 | $30,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 3,091 | $30,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 2,372 | $30,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 27,000 | $30,000 | thousands by filing date | principal |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 18,533 | $30,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 2,073 | $30,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 8,827 | $30,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 2,000 | $30,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 9,459 | $30,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 2,032 | $30,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 2,398 | $30,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 2,272 | $30,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 48,631 | $30,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 563 | $30,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 1,678 | $30,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 2,349 | $30,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 2,232 | $30,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 1,472 | $30,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 1,580 | $30,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 2,528 | $30,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 2,614 | $29,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 1,427 | $29,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 5,975 | $29,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 1,502 | $29,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 1,935 | $29,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 4,127 | $29,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,986 | $29,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 5,726 | $29,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 3,673 | $29,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 3,933 | $29,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 3,831 | $29,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 2,000 | $29,000 | thousands by filing date | call |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 614 | $29,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 2,050 | $29,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 5,399 | $29,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,000 | $29,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 5,585 | $29,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 742 | $29,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 2,417 | $29,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 1,145 | $29,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 3,020 | $28,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 878 | $28,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 4,414 | $28,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 784 | $28,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 898 | $28,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 946 | $28,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 1,082 | $28,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 3,925 | $28,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 1,267 | $28,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 7,873 | $28,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 815 | $28,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 9,027 | $28,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 6,116 | $28,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 2,000 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 1,071 | $28,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 9,942 | $28,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,994 | $28,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 2,127 | $28,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,695 | $28,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 793 | $28,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 24,000 | $28,000 | thousands by filing date | principal |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 23,000 | $28,000 | thousands by filing date | principal |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 23,000 | $28,000 | thousands by filing date | principal |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 3,529 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 300 | $27,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 9,156 | $27,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 3,619 | $27,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,130 | $27,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,833 | $27,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,997 | $27,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 1,151 | $27,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 790 | $27,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 6,213 | $27,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 653 | $27,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 6,316 | $27,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 3,763 | $27,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 14,359 | $27,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 1,055 | $27,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 445 | $27,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 1,302 | $27,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,831 | $27,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 1,500 | $27,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 1,471 | $26,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 1,652 | $26,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 519 | $26,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 604 | $26,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 1,700 | $26,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 4,217 | $26,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 3,531 | $26,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 1,518 | $26,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 986 | $26,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 1,491 | $26,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 26,000 | $26,000 | thousands by filing date | principal |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 9,962 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $26,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 2,625 | $26,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 2,000 | $26,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 6,784 | $26,000 | thousands by filing date | |
| OI SA-ADR | 670851401 | Com | 8,120 | $26,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 5,000 | $26,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 22,000 | $26,000 | thousands by filing date | principal |
| ISHARES TR | 464288430 | ASIA 50 ETF | 524 | $25,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 4,854 | $25,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,550 | $25,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 1,733 | $25,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 3,367 | $25,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 2,006 | $25,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 2,092 | $25,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 10,000 | $25,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 1,706 | $25,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 4,712 | $25,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 2,581 | $25,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,709 | $25,000 | thousands by filing date | |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 25,000 | $25,000 | thousands by filing date | principal |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 1,731 | $25,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,883 | $25,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,183 | $25,000 | thousands by filing date | |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 1,038 | $25,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 2,165 | $25,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 803 | $24,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 1,200 | $24,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 5,605 | $24,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 847 | $24,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 1,309 | $24,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,693 | $24,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 1,220 | $24,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,872 | $24,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,702 | $24,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 3,315 | $24,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 1,157 | $24,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 5,000 | $24,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,412 | $24,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 934 | $24,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,724 | $24,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 1,339 | $24,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,719 | $24,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 1,048 | $24,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,508 | $24,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 2,211 | $24,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 1,000 | $24,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 2,065 | $24,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 1,023 | $24,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 700 | $23,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 1,231 | $23,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,005 | $23,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,230 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 200 | $23,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 3,397 | $23,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,826 | $23,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 9,072 | $23,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 200 | $23,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 15,000 | $23,000 | thousands by filing date | principal |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 1,775 | $23,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,484 | $23,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 2,220 | $23,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 863 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 990 | $23,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 18,051 | $23,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 3,606 | $23,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 4,354 | $23,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 529 | $22,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 350 | $22,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,393 | $22,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 1,648 | $22,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 1,366 | $22,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 1,402 | $22,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,331 | $22,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,446 | $22,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 5,752 | $22,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 454 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 1,000 | $22,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 3,499 | $22,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 3,058 | $22,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 158 | $22,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,936 | $22,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 4,669 | $22,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 8,000 | $22,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 500 | $22,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 1,082 | $22,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 1,509 | $22,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 1,886 | $22,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 2,106 | $22,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 230 | $21,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 2,132 | $21,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,465 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 440 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 300 | $21,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 1,983 | $21,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 1,297 | $21,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 414 | $21,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,553 | $21,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,418 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 434 | $21,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,199 | $21,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 5,943 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 814 | $21,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 19,071 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 419 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 932 | $21,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 264 | $21,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 742 | $21,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,410 | $21,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 994 | $21,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 2,116 | $21,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 3,642 | $21,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 725 | $20,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,948 | $20,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 375 | $20,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,867 | $20,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 1,781 | $20,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 1,117 | $20,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 2,245 | $20,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 2,460 | $20,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,531 | $20,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,865 | $20,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 15 | $20,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 650 | $20,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 20,281 | $20,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 746 | $20,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,504 | $20,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 789 | $20,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 151 | $20,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 293 | $20,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| WHEELER REIT | 963025101 | COM | 5,140 | $20,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 843 | $20,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 7,358 | $20,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 1,692 | $20,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 1,824 | $20,000 | thousands by filing date | |
| IMPRIVATA INC | 45323J103 | Cmn | 1,592 | $20,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 6,339 | $20,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 1,333 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 128 | $19,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 1,386 | $19,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 544 | $19,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,136 | $19,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 2,174 | $19,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 800 | $19,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 494 | $19,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 446 | $19,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,401 | $19,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 1,147 | $19,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 14,236 | $19,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 200 | $19,000 | thousands by filing date | put |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 2,100 | $19,000 | thousands by filing date | put |
| ANADIGICS INC | 032515108 | COM | 25,861 | $19,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 1,281 | $19,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 11,028 | $19,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 2,700 | $19,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 1,353 | $19,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 3,047 | $19,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 1,515 | $19,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,274 | $19,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 1,304 | $19,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 6,605 | $19,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 212 | $18,000 | thousands by filing date | |
| MSC INDL DIRECT INC CL A | 553530106 | Stock | 223 | $18,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 2,344 | $18,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 222 | $18,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 1,500 | $18,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 852 | $18,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,769 | $18,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 845 | $18,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 716 | $18,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 1,906 | $18,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 313 | $18,000 | thousands by filing date | |
| CYBERONICS | 23251P102 | COMMON STOCK | 313 | $18,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 2,965 | $18,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 13,000 | $18,000 | thousands by filing date | principal |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 16,000 | $18,000 | thousands by filing date | principal |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $18,000 | thousands by filing date | principal |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 37,580 | $18,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 267 | $18,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 5,106 | $18,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 318 | $18,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 6,381 | $18,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 800 | $18,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 800 | $18,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 8,398 | $18,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 10,940 | $18,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,413 | $18,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 1,059 | $18,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 1,299 | $17,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 1,111 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 540 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 360 | $17,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,063 | $17,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,969 | $17,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 346 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 1,065 | $17,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 2,150 | $17,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 4,014 | $17,000 | thousands by filing date | |
| WINTHROP REALTY TRUST | 976391300 | SH B | 1,104 | $17,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 1,282 | $17,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,430 | $17,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 1,419 | $17,000 | thousands by filing date | call |
| Market Vectors Small Cap India | 57061r551 | COM | 363 | $17,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 984 | $17,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 5,771 | $17,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 1,223 | $17,000 | thousands by filing date | |
| YODLEE INC | 98600P201 | COM | 1,355 | $17,000 | thousands by filing date | |
| Sphere 3D Corp. | 84841Q109 | COM | 2,932 | $17,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 421 | $16,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 1,233 | $16,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 1,596 | $16,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 15,766 | $16,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 2,653 | $16,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 1,090 | $16,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 237 | $16,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 1,228 | $16,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 995 | $16,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 556 | $16,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 727 | $16,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 466 | $16,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,265 | $16,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 23,346 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 716 | $16,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 2,073 | $16,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 10,253 | $16,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 500 | $16,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 3,310 | $16,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 4,282 | $16,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 1,530 | $16,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 30,000 | $16,000 | thousands by filing date | principal |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 1,276 | $16,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 140 | $15,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 500 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 100 | $15,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,997 | $15,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,144 | $15,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 125 | $15,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 1,798 | $15,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 804 | $15,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 1,702 | $15,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 700 | $15,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 850 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 296 | $15,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 76,200 | $15,000 | thousands by filing date | call |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 700 | $15,000 | thousands by filing date | put |
| MARINE PRODS CORP | 568427108 | cs | 1,822 | $15,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 206 | $15,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 952 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 500 | $15,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 1,100 | $15,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 1,212 | $15,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 2,100 | $15,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 742 | $15,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 896 | $15,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 412 | $15,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 2,188 | $15,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 400 | $15,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 958 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X883 | GLB RL RETURN | 357 | $15,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 190 | $15,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 11,499 | $15,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,131 | $15,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 1,014 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y561 | DLY JR GMNR BEAR | 977 | $15,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 300 | $14,000 | thousands by filing date | put |
| CRITEO S A SPONS ADS | 226718104 | ADR | 338 | $14,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 504 | $14,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 693 | $14,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 2,318 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 434 | $14,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 1,967 | $14,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 223 | $14,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 565 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 921 | $14,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 230 | $14,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 2,410 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 300 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 604 | $14,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 8,426 | $14,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 200 | $14,000 | thousands by filing date | put |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 1,000 | $14,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $14,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 805 | $14,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 5,512 | $14,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 550 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 692 | $14,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 617 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 959 | $14,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 1,000 | $14,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 1,027 | $14,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 3,091 | $13,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 460 | $13,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 350 | $13,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 954 | $13,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 972 | $13,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 250 | $13,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 1,079 | $13,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 851 | $13,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 1,252 | $13,000 | thousands by filing date | |
| ABAXIS INC | 002567105 | COM | 227 | $13,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $13,000 | thousands by filing date | call |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 850 | $13,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 10,801 | $13,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 2,139 | $13,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 22,115 | $13,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 3,006 | $13,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 533 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 381 | $13,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,126 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 444 | $13,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 2,656 | $13,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 1,800 | $13,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 10,000 | $13,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 1,200 | $13,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 250 | $12,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 660 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 200 | $12,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 100 | $12,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 875 | $12,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 739 | $12,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,000 | $12,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 1,033 | $12,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 900 | $12,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 785 | $12,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 1,193 | $12,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 2,298 | $12,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 1,064 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 250 | $12,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 757 | $12,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 308 | $12,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 800 | $12,000 | thousands by filing date | put |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 275 | $12,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 668 | $12,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 875 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 500 | $12,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 8,047 | $12,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 326 | $12,000 | thousands by filing date | |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 1,226 | $12,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 2,547 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 81 | $12,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 9,000 | $12,000 | thousands by filing date | principal |
| RSP PERMIAN INC | 74978Q105 | COM | 490 | $12,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 2,073 | $12,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 894 | $12,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 1,030 | $12,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F861 | UNIT 09/01/2016 | 213 | $12,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 1,883 | $12,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 1,334 | $11,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 332 | $11,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 1,502 | $11,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 1,538 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 1,128 | $11,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 572 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 505 | $11,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 3,232 | $11,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 235 | $11,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 800 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 244 | $11,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 662 | $11,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 895 | $11,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 292 | $11,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 794 | $11,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 1,379 | $11,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 1,467 | $11,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 36,000 | $11,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 500 | $11,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 769 | $11,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,100 | $11,000 | thousands by filing date | call |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 798 | $11,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 3,134 | $11,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 1,500 | $11,000 | thousands by filing date | |
| C1 FINL INC | 12591N109 | COM | 585 | $11,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 1,941 | $11,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 700 | $10,000 | thousands by filing date | put |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 203 | $10,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 929 | $10,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 300 | $10,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 400 | $10,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 737 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 210 | $10,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 732 | $10,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 633 | $10,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 737 | $10,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 998 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 175 | $10,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,385 | $10,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 526 | $10,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 271 | $10,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 1,648 | $10,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 8,561 | $10,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 10,306 | $10,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 400 | $10,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 400 | $10,000 | thousands by filing date | |
| IDREAMSKY TECHNOLOGY LIMITED | 45173K101 | SPONSORED ADS | 570 | $10,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 937 | $10,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 574 | $10,000 | thousands by filing date | |
| USCF ETF TR | 90290T106 | STK SPLT IDX FD | 650 | $10,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC NEW | 86852R207 | PFD STK SER A | 2,009 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 78 | $9,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 600 | $9,000 | thousands by filing date | put |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 4,150 | $9,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 3,087 | $9,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 1,127 | $9,000 | 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 |