13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2015-03-31, filed 2015-05-14, with 7,397 holding rows worth $103,456,763,000.
- Accession
- 0000831001-15-000092
- Filer
- CIK 831001
- Filed
- 2015-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2015
A holdings report, 18,472 entries on the cover page, a total value of $103,456,763,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $103,456,763,000 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
- included managerCitigroup Inc. 028-02427
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 |
|---|---|---|---|---|---|---|
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 474 | $24,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 875 | $24,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 2,062 | $24,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 5,000 | $24,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 2,367 | $24,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 940 | $24,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 6,395 | $24,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 17,366 | $24,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 381 | $24,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,500 | $24,000 | thousands by filing date | call |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 1,771 | $24,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 2,103 | $24,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 1,554 | $24,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 352 | $24,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 8,092 | $24,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 7,420 | $24,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 3,403 | $23,000 | thousands by filing date | |
| MSC INDL DIRECT INC CL A | 553530106 | Stock | 324 | $23,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,664 | $23,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,880 | $23,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 4,480 | $23,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,438 | $23,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 429 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 665 | $23,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,715 | $23,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 796 | $23,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 2,819 | $23,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 3,844 | $23,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 1,062 | $23,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,418 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 200 | $23,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,212 | $23,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,804 | $23,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 424 | $23,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 45,000 | $23,000 | thousands by filing date | |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 550 | $23,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 34,655 | $23,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 5,053 | $23,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 1,584 | $23,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 2,646 | $23,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 962 | $23,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 2,091 | $23,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,766 | $23,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 500 | $23,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 1,819 | $23,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 959 | $23,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 1,900 | $23,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 305 | $22,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 1,108 | $22,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 350 | $22,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 27,809 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 300 | $22,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 993 | $22,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 2,286 | $22,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 683 | $22,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 1,580 | $22,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 730 | $22,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 2,086 | $22,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 2,294 | $22,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 470 | $22,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,141 | $22,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,376 | $22,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 3,837 | $22,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 4,175 | $22,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 5,756 | $22,000 | thousands by filing date | |
| WINTHROP REALTY TRUST | 976391300 | SH B | 1,395 | $22,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,942 | $22,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 3,119 | $22,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 9,000 | $22,000 | thousands by filing date | principal |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 1,600 | $22,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 13,793 | $22,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 230 | $21,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 235 | $21,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 718 | $21,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 200 | $21,000 | thousands by filing date | put |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 1,552 | $21,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,758 | $21,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 337 | $21,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 1,317 | $21,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,005 | $21,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 479 | $21,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 1,231 | $21,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 822 | $21,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 829 | $21,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 777 | $21,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 3,507 | $21,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 737 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 1,000 | $21,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 1,189 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 419 | $21,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 23,488 | $21,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 13,995 | $21,000 | thousands by filing date | |
| PROSHRE ULT DJ-UBS CRUDE OIL | 74347W650 | CMN | 3,025 | $21,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 8,000 | $21,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 2,934 | $21,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 1,084 | $21,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 3,800 | $21,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 725 | $20,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,220 | $20,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 375 | $20,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 6,250 | $20,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 3,508 | $20,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 733 | $20,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 5,510 | $20,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 1,324 | $20,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 650 | $20,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $20,000 | thousands by filing date | principal |
| EXONE CO | 302104104 | COM | 1,454 | $20,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 7,018 | $20,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 746 | $20,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 1,300 | $20,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q709 | UNIT 99/99/9999 | 750 | $20,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 357 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 1,137 | $20,000 | thousands by filing date | |
| IDREAMSKY TECHNOLOGY LIMITED | 45173K101 | SPONSORED ADS | 2,888 | $20,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 20,000 | $20,000 | thousands by filing date | principal |
| FIVE9 INC | 338307101 | COM | 3,468 | $19,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 275 | $19,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 346 | $19,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 3,318 | $19,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 2,234 | $19,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,192 | $19,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 1,486 | $19,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 1,001 | $19,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 2,195 | $19,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 1,458 | $19,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 5,559 | $19,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 494 | $19,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 842 | $19,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 1,081 | $19,000 | thousands by filing date | |
| LAKE SHORE GOLD CORP | 510728108 | COM | 23,813 | $19,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 1,340 | $19,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 2,136 | $19,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 738 | $19,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 399 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 764 | $19,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 12,433 | $19,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 632 | $19,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 1,558 | $19,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 16,450 | $19,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 1,100 | $18,000 | thousands by filing date | call |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 1,900 | $18,000 | thousands by filing date | put |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 244 | $18,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,232 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 156 | $18,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 1,049 | $18,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 1,100 | $18,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 365 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 728 | $18,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 1,013 | $18,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 965 | $18,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,342 | $18,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 716 | $18,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 1,336 | $18,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 313 | $18,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 8,164 | $18,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 13,000 | $18,000 | thousands by filing date | principal |
| VERITIV CORP | 923454102 | COM | 413 | $18,000 | thousands by filing date | call |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 1,051 | $18,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 3,595 | $18,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 4,952 | $18,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 562 | $18,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 2,164 | $18,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 800 | $18,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 1,399 | $18,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 332 | $18,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,430 | $18,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 1,419 | $18,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 984 | $18,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,190 | $18,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 1,933 | $18,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 174 | $18,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC NEW | 86852R207 | PFD STK SER A | 2,300 | $18,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 242 | $17,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 2,198 | $17,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 1,558 | $17,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 258 | $17,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 700 | $17,000 | thousands by filing date | put |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 731 | $17,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 440 | $17,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 708 | $17,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 1,450 | $17,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 557 | $17,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 2,168 | $17,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 629 | $17,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 3,268 | $17,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,411 | $17,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 3,012 | $17,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 4,229 | $17,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 3,878 | $17,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 930 | $17,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 1,759 | $17,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 8,718 | $17,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 195 | $17,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 2,236 | $17,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 325 | $17,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 3,141 | $17,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,528 | $17,000 | thousands by filing date | |
| AVOLON HLDGS LTD | G52237107 | COM | 778 | $17,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 300 | $17,000 | thousands by filing date | call |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 11,499 | $17,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 1,957 | $17,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 10,000 | $17,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E207 | Pref Stk | 880 | $17,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 1,530 | $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 | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,198 | $16,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 900 | $16,000 | thousands by filing date | put |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 1,948 | $16,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 2,043 | $16,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 650 | $16,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 368 | $16,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 2,808 | $16,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 457 | $16,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 621 | $16,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 623 | $16,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 238 | $16,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 2,558 | $16,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 523 | $16,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 100 | $16,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 4,140 | $16,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 803 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 716 | $16,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 1,026 | $16,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 932 | $16,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 610 | $16,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 1,020 | $16,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 607 | $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 | 2,285 | $16,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 800 | $16,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 788 | $16,000 | thousands by filing date | |
| MAVENIR SYS INC | 577675101 | COM | 950 | $16,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 536 | $16,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 12,000 | $16,000 | thousands by filing date | principal |
| ON DECK CAP INC | 682163100 | COM | 725 | $16,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 1,476 | $16,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 312 | $16,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 154 | $15,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 789 | $15,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 500 | $15,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 5,820 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 190 | $15,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 568 | $15,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 694 | $15,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 1,846 | $15,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 1,186 | $15,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 687 | $15,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 1,536 | $15,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 530 | $15,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 690 | $15,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 1,111 | $15,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 563 | $15,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 200 | $15,000 | thousands by filing date | put |
| APPLOVIN CORP CLASS A | 023850100 | COM | 20,815 | $15,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 15,241 | $15,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 3,948 | $15,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,463 | $15,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 8,273 | $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 | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 9,217 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 1,052 | $15,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 2,104 | $15,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 738 | $15,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 45,000 | $15,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 199 | $15,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 959 | $15,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 3,030 | $15,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 190 | $15,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 3,514 | $15,000 | thousands by filing date | call |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 750 | $15,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 611 | $15,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 1,943 | $15,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 3,658 | $15,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 562 | $15,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 16,000 | $15,000 | thousands by filing date | principal |
| STATE NATIONAL. | 85711T305 | Common Stock | 1,531 | $15,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 2,086 | $15,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 141 | $14,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 838 | $14,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 1,117 | $14,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,019 | $14,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 2,153 | $14,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 1,038 | $14,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 1,423 | $14,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 600 | $14,000 | thousands by filing date | call |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 2,041 | $14,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 548 | $14,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 898 | $14,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 1,336 | $14,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 491 | $14,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 531 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 300 | $14,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 105,000 | $14,000 | thousands by filing date | principal |
| BRIGHTCOVE INC | 10921T101 | COM | 1,958 | $14,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 1,058 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 604 | $14,000 | thousands by filing date | |
| Alamos Gold, Inc. | 011527108 | COM | 2,361 | $14,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 704 | $14,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 500 | $14,000 | thousands by filing date | put |
| RENREN INC | 759892102 | SPONSORED ADR | 5,787 | $14,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,015 | $14,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 616 | $14,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,021 | $14,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 125 | $14,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 1,700 | $14,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 984 | $14,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 1,014 | $14,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 900 | $14,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 7,144 | $14,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 1,472 | $14,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,253 | $14,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 1,267 | $14,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 633 | $14,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 998 | $14,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 5,672 | $14,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 550 | $14,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 208 | $14,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 235 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 692 | $14,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 822 | $14,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 2,732 | $14,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 558 | $14,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T597 | VELOCITY SHS EXC | 698 | $14,000 | thousands by filing date | |
| ANCHOR BANCORP WIS INC DEL | 03283P106 | COM | 429 | $14,000 | thousands by filing date | |
| JACKSONVILLE BANCORP INC FLA | 469249205 | COM NEW | 1,237 | $14,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 86 | $13,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 100 | $13,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 69 | $13,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 315 | $13,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 560 | $13,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 100 | $13,000 | thousands by filing date | call |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 470 | $13,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 614 | $13,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 599 | $13,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 154 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 434 | $13,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 1,168 | $13,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 189 | $13,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 235 | $13,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 350 | $13,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 877 | $13,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 693 | $13,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 2,000 | $13,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 1,084 | $13,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,333 | $13,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 529 | $13,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 4,976 | $13,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 554 | $13,000 | thousands by filing date | |
| MYLAN INC | 628530AJ6 | CORPORATE OBLIG | 3,000 | $13,000 | thousands by filing date | principal |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 442 | $13,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 1,000 | $13,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 10,417 | $13,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 2,924 | $13,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 1,185 | $13,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 3,749 | $13,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 1,552 | $13,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,364 | $13,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 798 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 334 | $13,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 753 | $13,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 444 | $13,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 959 | $13,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 3,251 | $13,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 2,202 | $13,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,071 | $13,000 | thousands by filing date | |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 17,000 | $13,000 | thousands by filing date | principal |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 1,600 | $13,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 100 | $12,000 | thousands by filing date | put |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 200 | $12,000 | thousands by filing date | call |
| Q2 HLDGS INC COM | 74736L109 | Stock | 590 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 162 | $12,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 629 | $12,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 86 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 241 | $12,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 664 | $12,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 1,430 | $12,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 533 | $12,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 794 | $12,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 890 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 825 | $12,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 440 | $12,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 206 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 250 | $12,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 243 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 235 | $12,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 1,780 | $12,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 1,554 | $12,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,277 | $12,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 1,083 | $12,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 1,298 | $12,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 6,447 | $12,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 843 | $12,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $12,000 | thousands by filing date | call |
| EMERALD OIL INC | 29101U209 | COM NEW | 16,609 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 500 | $12,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 402 | $12,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,424 | $12,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 2,523 | $12,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 651 | $12,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 538 | $12,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 9,279 | $12,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP II | 14056V204 | UNIT | 1,169 | $12,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 11,100 | $12,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 2,518 | $12,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 750 | $12,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 971 | $12,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 696 | $12,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 890 | $12,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 516 | $12,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 642 | $12,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 3,155 | $12,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 1,777 | $11,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 124 | $11,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 469 | $11,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 129 | $11,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,146 | $11,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 749 | $11,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 1,011 | $11,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 399 | $11,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 441 | $11,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 1,394 | $11,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 434 | $11,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 762 | $11,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 211 | $11,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 250 | $11,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 317 | $11,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 567 | $11,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 673 | $11,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 895 | $11,000 | thousands by filing date | |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 794 | $11,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 77 | $11,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 2,309 | $11,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 1,619 | $11,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 587 | $11,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 268 | $11,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,464 | $11,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 337 | $11,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 1,501 | $11,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 800 | $11,000 | thousands by filing date | call |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 1,424 | $11,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 676 | $11,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 21,700 | $11,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 1,667 | $11,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 717 | $11,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 398 | $11,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 4,997 | $11,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 867 | $11,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 2,547 | $11,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 279 | $11,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 400 | $11,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 118 | $11,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 2,659 | $11,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 2,215 | $11,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 4,371 | $11,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 206 | $10,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 165 | $10,000 | thousands by filing date | call |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 646 | $10,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,826 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 202 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 500 | $10,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 661 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 1,000 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 600 | $10,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 1,269 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 210 | $10,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 594 | $10,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 463 | $10,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 583 | $10,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 678 | $10,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 688 | $10,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 97 | $10,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 374 | $10,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,210 | $10,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 1,362 | $10,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 3,242 | $10,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 684 | $10,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 563 | $10,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,000 | $10,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 2,497 | $10,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 1,220 | $10,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 3,268 | $10,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 11,326 | $10,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 1,402 | $10,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 2,368 | $10,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 427 | $10,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 71 | $10,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 1,990 | $10,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 4,000 | $10,000 | thousands by filing date | principal |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 513 | $10,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 3,706 | $10,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 1,200 | $10,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 4,000 | $10,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 574 | $10,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 801 | $10,000 | thousands by filing date | |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 923 | $10,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 850 | $9,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 355 | $9,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 871 | $9,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 289 | $9,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-15-000092 | this filing | 2015-05-14 | acceptance time not in the bulk data set |