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 |
|---|---|---|---|---|---|---|
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 400 | $9,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 181 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 154 | $9,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 488 | $9,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 650 | $9,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 690 | $9,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 1,129 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 300 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 660 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 875 | $9,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 528 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 199 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 98 | $9,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 591 | $9,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 200 | $9,000 | thousands by filing date | put |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 559 | $9,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 1,664 | $9,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,000 | $9,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 199 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 190 | $9,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 5,668 | $9,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 42,750 | $9,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 1,029 | $9,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 1,453 | $9,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 645 | $9,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 708 | $9,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 423 | $9,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,244 | $9,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 852 | $9,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 1,510 | $9,000 | thousands by filing date | |
| Amedica Corporation | 023435100 | COM | 24,915 | $9,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 315 | $9,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 600 | $9,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,014 | $9,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 1,023 | $9,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 15,052 | $9,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 876 | $9,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 532 | $9,000 | thousands by filing date | |
| FORCEFIELD ENERGY | 34520U103 | COM | 1,098 | $9,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 100 | $8,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 2,081 | $8,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 305 | $8,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 683 | $8,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 470 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 550 | $8,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 400 | $8,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 100 | $8,000 | thousands by filing date | put |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 548 | $8,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 195 | $8,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 544 | $8,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,057 | $8,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 620 | $8,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 476 | $8,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 1,025 | $8,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 1,800 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 137 | $8,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 3,000 | $8,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 235 | $8,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 758 | $8,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,106 | $8,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 266 | $8,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 529 | $8,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 100 | $8,000 | thousands by filing date | call |
| DEALERTRACK TECHNOLOGIES INC | 242309AB8 | NOTE 1.500% 3/1 | 7,000 | $8,000 | thousands by filing date | principal |
| HEALTHWAYS INC | 422245100 | COM | 454 | $8,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 186 | $8,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 658 | $8,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 421 | $8,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 7,542 | $8,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 3,000 | $8,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 664 | $8,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 12,953 | $8,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 284 | $8,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 3,129 | $8,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 600 | $8,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 500 | $8,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 533 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 150 | $8,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 1,179 | $8,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 8,751 | $8,000 | thousands by filing date | |
| BLACKROCK DEFINED OPPRTY CR | 09255Q105 | COM | 611 | $8,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 110 | $8,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 105 | $8,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 209 | $8,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 724 | $8,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 310 | $8,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 853 | $8,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 564 | $8,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 2,888 | $8,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 8,000 | $8,000 | thousands by filing date | principal |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 747 | $8,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 1,319 | $8,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C200 | COM NEW | 482 | $8,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 2,106 | $7,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 504 | $7,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 121 | $7,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 512 | $7,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 137 | $7,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,000 | $7,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 2,142 | $7,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 662 | $7,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 349 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 360 | $7,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 1,257 | $7,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 1,075 | $7,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 280 | $7,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 675 | $7,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 483 | $7,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 1,375 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 210 | $7,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 200 | $7,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 1,003 | $7,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 2,892 | $7,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 1,120 | $7,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 583 | $7,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 152 | $7,000 | thousands by filing date | put |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 1,964 | $7,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 58 | $7,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 463 | $7,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 427 | $7,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 968 | $7,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 500 | $7,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 10,000 | $7,000 | thousands by filing date | principal |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 3,150 | $7,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 530 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 159 | $7,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 2,818 | $7,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 3,771 | $7,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 421 | $7,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 1,792 | $7,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 660 | $7,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 185 | $7,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 952 | $7,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 16,441 | $7,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 182 | $7,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 224 | $7,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 5,000 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 458 | $7,000 | thousands by filing date | |
| MARKET VECTORS TREASURY-HEDG | 57061R775 | HI YLD TREA BD | 300 | $7,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 2,420 | $7,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 346 | $7,000 | thousands by filing date | |
| HOMEINNS HOTEL GROUP | 43742E102 | SPONSORED ADR | 300 | $7,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 332 | $7,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 2,000 | $7,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 2,434 | $7,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 267 | $7,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 4,024 | $7,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 7,000 | $7,000 | thousands by filing date | principal |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 703 | $7,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 1,380 | $7,000 | thousands by filing date | |
| Capnia, Inc. | 14066L105 | Common | 1,156 | $7,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T621 | EXCHTRADE MIDTER | 192 | $7,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 55 | $6,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 121 | $6,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 2,350 | $6,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 303 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 120 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 124 | $6,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 238 | $6,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 279 | $6,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 361 | $6,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 308 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 82 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 191 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 105 | $6,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 262 | $6,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,004 | $6,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 331 | $6,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 2,100 | $6,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 488 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,600 | $6,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 326 | $6,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 260 | $6,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 87 | $6,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 400 | $6,000 | thousands by filing date | put |
| Tremor Video | 89484Q100 | Common Stock | 2,769 | $6,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 2,903 | $6,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 3,313 | $6,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 116 | $6,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 800 | $6,000 | thousands by filing date | |
| HUBBELL INC -CL A | 443510102 | CL A | 60 | $6,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 1,400 | $6,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 500 | $6,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 200 | $6,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 117 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 132 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 180 | $6,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 5,009 | $6,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 1,703 | $6,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,878 | $6,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 1,510 | $6,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 2,719 | $6,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 277 | $6,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 690 | $6,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 826 | $6,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 1,429 | $6,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 6,000 | $6,000 | thousands by filing date | principal |
| NEFF CORP COM CL A | 640094207 | Stock | 629 | $6,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 530 | $6,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605116 | Cmn | 4,779 | $6,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 797 | $6,000 | thousands by filing date | |
| YODLEE INC | 98600P201 | COM | 421 | $6,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 80 | $5,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 100 | $5,000 | thousands by filing date | call |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 624 | $5,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 265 | $5,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 871 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 177 | $5,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 544 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $5,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 500 | $5,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 100 | $5,000 | thousands by filing date | put |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 243 | $5,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 305 | $5,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 252 | $5,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 373 | $5,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 186 | $5,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 273 | $5,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 209 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 152 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 101 | $5,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 609 | $5,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 790 | $5,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 399 | $5,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 85 | $5,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 385 | $5,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 223 | $5,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 61 | $5,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 900 | $5,000 | thousands by filing date | put |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 465 | $5,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,245 | $5,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 551 | $5,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 582 | $5,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 692 | $5,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 13,052 | $5,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 622 | $5,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 145 | $5,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 284 | $5,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 5,000 | $5,000 | thousands by filing date | principal |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 3,836 | $5,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 331 | $5,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 606 | $5,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 367 | $5,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 307 | $5,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 5,442 | $5,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 7,000 | $5,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 260 | $5,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 284 | $5,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 978 | $5,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 60 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 135 | $5,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 190 | $5,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 93 | $5,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 165 | $5,000 | thousands by filing date | |
| COMMUNITY BANK SHARES/IN | 203599105 | COMMON | 189 | $5,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 200 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 320 | $5,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 320 | $5,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 4,000 | $5,000 | thousands by filing date | principal |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 5,000 | $5,000 | thousands by filing date | principal |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 87 | $4,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 151 | $4,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 100 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 71 | $4,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,541 | $4,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 302 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 40 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 200 | $4,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 200 | $4,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 119 | $4,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 798 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 146 | $4,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 118 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 280 | $4,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 288 | $4,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 156 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 329 | $4,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 275 | $4,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 653 | $4,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 361 | $4,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 158 | $4,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,098 | $4,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 485 | $4,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 199 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 125 | $4,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 578 | $4,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,361 | $4,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 308 | $4,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 50 | $4,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 404 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 100 | $4,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 192 | $4,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 83 | $4,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,000 | $4,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 272 | $4,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 11,000 | $4,000 | thousands by filing date | principal |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 841 | $4,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 69 | $4,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 958 | $4,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 388 | $4,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 1,414 | $4,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 6,282 | $4,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,192 | $4,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,630 | $4,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 1,322 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 82 | $4,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 1,165 | $4,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 459 | $4,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 200 | $4,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 2,957 | $4,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 5,964 | $4,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 6,483 | $4,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 228 | $4,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 694 | $4,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 879 | $4,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 359 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 625 | $4,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 1,037 | $4,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,053 | $4,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 250 | $4,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 155 | $4,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 4,739 | $4,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 355 | $4,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 3,500 | $4,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 2,256 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q736 | FDMTL EMKLODBT | 230 | $4,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 1,177 | $4,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 1,915 | $4,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 1,040 | $4,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 1,393 | $4,000 | thousands by filing date | |
| SINOCOKING COAL & COKE CH IN | 829357102 | COM | 1,791 | $4,000 | thousands by filing date | |
| CHINA MOBILE GAMES & ENTERTAINMENT LTD | 16952T100 | COM | 225 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 76 | $4,000 | thousands by filing date | |
| JOURNAL MEDIA GROUP INC | 48114A109 | COM | 457 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 86 | $4,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 574 | $4,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 378 | $4,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 576 | $4,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 325 | $4,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 382 | $4,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 438 | $4,000 | thousands by filing date | |
| BACTERIN INTL HLDGS INC | 05644R200 | COM NEW | 999 | $4,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 1,906 | $4,000 | thousands by filing date | |
| GLBR 2.25 06/18 | 302693AB2 | Bond 30/360P2 U | 5,000 | $4,000 | thousands by filing date | principal |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 325 | $4,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 357 | $4,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 1,564 | $4,000 | thousands by filing date | |
| TCP International Holdings Ltd | H84689100 | COMMON | 2,226 | $4,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 4,405 | $4,000 | thousands by filing date | |
| IMPRIVATA INC | 45323J103 | Cmn | 323 | $4,000 | thousands by filing date | |
| MOL GLOBAL INC | 60845Q105 | Depository Receipt | 1,544 | $4,000 | thousands by filing date | |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 408 | $4,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 250 | $3,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 357 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 51 | $3,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 498 | $3,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 100 | $3,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 62 | $3,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 100 | $3,000 | thousands by filing date | put |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 434 | $3,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 77 | $3,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 269 | $3,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 138 | $3,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 192 | $3,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 441 | $3,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,118 | $3,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 663 | $3,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 85 | $3,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 197 | $3,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 64 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 206 | $3,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 4,970 | $3,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 2 | $3,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 270 | $3,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 719 | $3,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 599 | $3,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 200 | $3,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 200 | $3,000 | thousands by filing date | call |
| CLEARONE INC | 18506U104 | COM | 297 | $3,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 533 | $3,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 2,472 | $3,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 200 | $3,000 | thousands by filing date | call |
| PHARMATHENE INC | 71714G102 | COM | 2,000 | $3,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 1,582 | $3,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 2,231 | $3,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 564 | $3,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 50 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 200 | $3,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 200 | $3,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 150 | $3,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 500 | $3,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 375 | $3,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 2,596 | $3,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 466 | $3,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 3,360 | $3,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 2,688 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 41 | $3,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 69 | $3,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 1,040 | $3,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 1,683 | $3,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 1,672 | $3,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 788 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 107 | $3,000 | thousands by filing date | |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 68 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 29 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W122 | COM | 252 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 631 | $3,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 525 | $3,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 117 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 202 | $3,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 3,342 | $3,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 3,363 | $3,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 419 | $3,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 297 | $3,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 230 | $3,000 | thousands by filing date | |
| NXT ID INC COM | 67091J107 | Stock | 987 | $3,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 552 | $3,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 1,000 | $3,000 | thousands by filing date | |
| SIGNAL GENETICS INC | 826640104 | Cmn | 1,325 | $3,000 | thousands by filing date | |
| C1 FINL INC | 12591N109 | COM | 207 | $3,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 2,194 | $3,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 65 | $2,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,299 | $2,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 182 | $2,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 69 | $2,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 135 | $2,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 116 | $2,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 330 | $2,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 47 | $2,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 79 | $2,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 40 | $2,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 100 | $2,000 | thousands by filing date | call |
| VERICEL CORP | 92346J108 | COM | 500 | $2,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 200 | $2,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 128 | $2,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 89 | $2,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 235 | $2,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 129 | $2,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 165 | $2,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 132 | $2,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 30 | $2,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 221 | $2,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 328 | $2,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 109 | $2,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 150 | $2,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 50 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 43 | $2,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 247 | $2,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 178 | $2,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 223 | $2,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 202 | $2,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 450 | $2,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 414 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 94 | $2,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 127 | $2,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 176 | $2,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 100 | $2,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 200 | $2,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 259 | $2,000 | thousands by filing date | |
| SL INDS INC | 784413106 | COMMON STOCK | 58 | $2,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 43 | $2,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 2,660 | $2,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| LUNA INNOVATIONS INC | 550351100 | COM | 1,480 | $2,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 1,550 | $2,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 15 | $2,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 2,787 | $2,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 3,160 | $2,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 220 | $2,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 179 | $2,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 1,241 | $2,000 | thousands by filing date | |
| RAYONIER TRS HLDGS INC | 75508AAC0 | NOTE 4.500% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 3,948 | $2,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,000 | $2,000 | thousands by filing date | call |
| NEUSTAR INC | 64126X201 | CL A | 100 | $2,000 | thousands by filing date | put |
| NEUSTAR INC | 64126X201 | CL A | 100 | $2,000 | thousands by filing date | call |
| Almaden Minerals Ltd | 020283107 | COM | 2,000 | $2,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 100 | $2,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 6,013 | $2,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 2,140 | $2,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 1,383 | $2,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 3,450 | $2,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 1,000 | $2,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 18 | $2,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 827 | $2,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 4,842 | $2,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 385 | $2,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 672 | $2,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 148 | $2,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 1,500 | $2,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 134 | $2,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 1,002 | $2,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 31,000 | $2,000 | thousands by filing date | principal |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 461 | $2,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 292 | $2,000 | thousands by filing date | |
| AMTRUST FINANCIAL SERVICES I | 032359AC5 | NOTE 5.500%12/1 | 1,000 | $2,000 | thousands by filing date | principal |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 15 | $2,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 144 | $2,000 | 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 |