13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-13, with 7,853 holding rows worth $106,849,433,000.
- Accession
- 0000831001-15-000195
- Filer
- CIK 831001
- Filed
- 2015-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 18,418 entries on the cover page, a total value of $106,849,433,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $106,849,433,000 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 managerCitigroup 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 |
|---|---|---|---|---|---|---|
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 6,029 | $46,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 45,000 | $46,000 | thousands by filing date | principal |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 135,100 | $46,000 | thousands by filing date | put |
| GOODRICH PETE CORP | 382410405 | COM NEW | 78,800 | $46,000 | thousands by filing date | call |
| DWS Mun Income Tr | 25160C106 | COM | 3,528 | $46,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 3,310 | $45,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 2,583 | $45,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 495 | $45,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 3,095 | $45,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 4,000 | $45,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 389 | $45,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 300 | $45,000 | thousands by filing date | call |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 819 | $45,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,417 | $45,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 3,600 | $45,000 | thousands by filing date | call |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 1,625 | $45,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 62,000 | $45,000 | thousands by filing date | principal |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 3,387 | $45,000 | thousands by filing date | |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 1,364 | $45,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 830 | $44,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 2,528 | $44,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 858 | $44,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 1,359 | $44,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 300 | $44,000 | thousands by filing date | put |
| OFS CAPITAL CORP | 67103B100 | COM | 4,308 | $44,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 5,164 | $44,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 3,197 | $44,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 8,428 | $44,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 3,050 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 670 | $44,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 7,449 | $44,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 2,300 | $44,000 | thousands by filing date | call |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 300 | $43,000 | thousands by filing date | put |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 2,928 | $43,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 900 | $43,000 | thousands by filing date | put |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 838 | $43,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 2,470 | $43,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 32,000 | $43,000 | thousands by filing date | principal |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 4,922 | $43,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 2,200 | $43,000 | thousands by filing date | put |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 12,901 | $43,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 2,898 | $43,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 1,898 | $43,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 2,505 | $43,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 6,598 | $43,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 7,195 | $43,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 20,000 | $43,000 | thousands by filing date | principal |
| KEMPER CORP COM | 488401100 | Stock | 1,188 | $42,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 1,061 | $42,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 1,840 | $42,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 1,201 | $42,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 3,445 | $42,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 41,000 | $42,000 | thousands by filing date | principal |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 9,700 | $42,000 | thousands by filing date | call |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 3,713 | $42,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 5,331 | $42,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,952 | $42,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 400 | $41,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 1,115 | $41,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 1,500 | $41,000 | thousands by filing date | put |
| RINGCENTRAL INC | 76680R206 | CL A | 2,243 | $41,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 2,774 | $41,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 400 | $41,000 | thousands by filing date | call |
| U S CONCRETE INC | 90333L201 | COM | 846 | $41,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 1,800 | $41,000 | thousands by filing date | put |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 8,109 | $41,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,816 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,968 | $41,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 1,208 | $41,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 2,531 | $41,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 1,851 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 1,000 | $41,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 2,983 | $41,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 300 | $40,000 | thousands by filing date | put |
| BECTON DICKINSON & CO | 075887109 | COM | 300 | $40,000 | thousands by filing date | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 33,300 | $40,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 1,880 | $40,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 965 | $40,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 1,560 | $40,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 1,724 | $40,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 1,708 | $40,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 7,660 | $40,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 8,881 | $40,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 2,356 | $40,000 | thousands by filing date | |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 784 | $40,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 1,300 | $40,000 | thousands by filing date | put |
| CORE LABORATORIES N V | N22717107 | COM | 400 | $40,000 | thousands by filing date | put |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 34,000 | $40,000 | thousands by filing date | principal |
| CRAY INC | 225223304 | COM NEW | 2,042 | $40,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 1,454 | $40,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 910 | $40,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 8,601 | $40,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 3,110 | $40,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 18,874 | $40,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 39,000 | $40,000 | thousands by filing date | principal |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 1,843 | $40,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 2,000 | $40,000 | thousands by filing date | call |
| KFORCE INC COM | 493732101 | Stock | 1,483 | $39,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 1,446 | $39,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 1,502 | $39,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 5,406 | $39,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 3,155 | $39,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 792 | $39,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 4,248 | $39,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 2,094 | $39,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 1,246 | $39,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 1,192 | $39,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 379 | $39,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 4,760 | $39,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 14,900 | $39,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 1,723 | $38,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 1,317 | $38,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 3,718 | $38,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 4,284 | $38,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 1,768 | $38,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 2,900 | $38,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 2,978 | $38,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 766 | $38,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 750 | $38,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 8,000 | $38,000 | thousands by filing date | call |
| ZOES KITCHEN INC | 98979J109 | COM | 968 | $38,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 1,634 | $38,000 | thousands by filing date | |
| RACKSPACE HOSTING INC | 750086100 | COM | 1,545 | $38,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 4,900 | $38,000 | thousands by filing date | put |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 922 | $38,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A441 | NUVN CALI MUNI | 1,600 | $38,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 755 | $37,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 932 | $37,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 1,100 | $37,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 2,068 | $37,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 3,703 | $37,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 1,325 | $37,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 100 | $37,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 3,357 | $37,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 19,833 | $37,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 13,575 | $37,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 9,900 | $37,000 | thousands by filing date | put |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 9,056 | $37,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 6,500 | $36,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 1,272 | $36,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 9,897 | $36,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 625 | $36,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 4,710 | $36,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 1,879 | $36,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 4,307 | $36,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 1,933 | $36,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 1,664 | $36,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 1,679 | $36,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 783 | $36,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 995 | $36,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 2,146 | $36,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 1,629 | $36,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 1,103 | $36,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 12,979 | $36,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 10,000 | $36,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 1,600 | $36,000 | thousands by filing date | put |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 5,675 | $36,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 2,231 | $36,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 118,900 | $36,000 | thousands by filing date | call |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 309 | $35,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 725 | $35,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 384 | $35,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 2,130 | $35,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 9,484 | $35,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 2,300 | $35,000 | thousands by filing date | put |
| PIMCO MUN INCOME FD | 72200R107 | COM | 2,455 | $35,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 4,590 | $35,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 2,308 | $35,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 3,002 | $35,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 3,454 | $35,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 2,075 | $35,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 16,500 | $35,000 | thousands by filing date | call |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 902 | $35,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 782 | $35,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 78,800 | $35,000 | thousands by filing date | call |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 2,511 | $35,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 967 | $35,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 1,335 | $35,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 2,930 | $35,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,698 | $35,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 650 | $34,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 1,356 | $34,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 293 | $34,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 2,040 | $34,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 10,918 | $34,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 6,000 | $34,000 | thousands by filing date | call |
| VOC ENERGY TR | 91829B103 | TR UNIT | 9,150 | $34,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 482 | $34,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 1,188 | $34,000 | thousands by filing date | call |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 7,719 | $34,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 2,500 | $34,000 | thousands by filing date | put |
| PARK STERLING CORP | 70086Y105 | COM | 5,054 | $34,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 3,915 | $34,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 1,643 | $34,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 2,039 | $34,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 1,005 | $34,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 27,000 | $34,000 | thousands by filing date | principal |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 1,271 | $33,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 1,688 | $33,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 5,546 | $33,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 3,037 | $33,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 566 | $33,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 1,105 | $33,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 5,799 | $33,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 1,513 | $33,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 1,940 | $33,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 3,235 | $33,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 13,070 | $33,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 12,823 | $33,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 4,746 | $33,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 2,028 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,405 | $33,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 400 | $32,000 | thousands by filing date | call |
| EHEALTH INC | 28238P109 | COM | 2,469 | $32,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 725 | $32,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 14,851 | $32,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 2,567 | $32,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 420 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 553 | $32,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 2,729 | $32,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 12,035 | $32,000 | thousands by filing date | |
| LDR HLDG CORP | 50185U105 | COM | 931 | $32,000 | thousands by filing date | |
| CEB INC | 125134106 | COM | 469 | $32,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 571 | $31,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 3,236 | $31,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 14,345 | $31,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 836 | $31,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 982 | $31,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,400 | $31,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 1,657 | $31,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 2,991 | $31,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 18,071 | $31,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 2,268 | $31,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 2,418 | $31,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 7,109 | $31,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 6,653 | $31,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 4,800 | $31,000 | thousands by filing date | call |
| Deutsche Global High Income | 25158V108 | 0 | 4,100 | $31,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 315 | $30,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 400 | $30,000 | thousands by filing date | call |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 4,657 | $30,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 263 | $30,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,267 | $30,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 1,117 | $30,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 523 | $30,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 2,242 | $30,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 465 | $30,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 2,968 | $30,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 100 | $30,000 | thousands by filing date | call |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 4,945 | $30,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 2,207 | $30,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 800 | $30,000 | thousands by filing date | put |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 5,484 | $30,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 2,500 | $30,000 | thousands by filing date | call |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 1,200 | $30,000 | thousands by filing date | put |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 1,050 | $30,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,000 | $30,000 | thousands by filing date | call |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 28,791 | $30,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 16,400 | $30,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 7,000 | $30,000 | thousands by filing date | call |
| AES TR III | 00808N202 | PFD CV 6.75% | 604 | $30,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 216 | $30,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 2,112 | $30,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 869 | $30,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 1,276 | $30,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 529 | $30,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 4,026 | $30,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 1,011 | $30,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 875 | $30,000 | thousands by filing date | put |
| AMAYA INC | 02314M108 | COM | 1,675 | $30,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 6,361 | $30,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 30,000 | $30,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y157 | DLYJR GL MNR3X N | 4,002 | $30,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 1,131 | $29,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 5,907 | $29,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 2,373 | $29,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 5,051 | $29,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 808 | $29,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 615 | $29,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 2,445 | $29,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 1,626 | $29,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 2,127 | $29,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 10,000 | $29,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 2,924 | $29,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 2,774 | $29,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 982 | $29,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 513 | $29,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U703 | UNIT 04/01/2013 | 519 | $29,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 909 | $29,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,850 | $29,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 5,708 | $29,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 28,000 | $29,000 | thousands by filing date | principal |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 21,275 | $29,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 7,664 | $28,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 7,589 | $28,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 1,800 | $28,000 | thousands by filing date | put |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 396 | $28,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 800 | $28,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 699 | $28,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 1,291 | $28,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,245 | $28,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,825 | $28,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 1,140 | $28,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 1,321 | $28,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 2,237 | $28,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 1,436 | $28,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 1,220 | $28,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,066 | $28,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 2,241 | $28,000 | thousands by filing date | |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 28,000 | $28,000 | thousands by filing date | principal |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 19,890 | $28,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 2,262 | $28,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 11,736 | $28,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,404 | $28,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 1,165 | $28,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 2,419 | $28,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,883 | $28,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 2,032 | $28,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 279 | $28,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 2,102 | $27,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 664 | $27,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 1,200 | $27,000 | thousands by filing date | put |
| WESBANCO INC | 950810101 | COM | 867 | $27,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 2,422 | $27,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 1,794 | $27,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 733 | $27,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 2,032 | $27,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 892 | $27,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 545 | $27,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,600 | $27,000 | thousands by filing date | call |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 2,122 | $27,000 | thousands by filing date | |
| HOMEAWAY INC | 43739Q100 | COM | 1,000 | $27,000 | thousands by filing date | put |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 1,675 | $27,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,000 | $27,000 | thousands by filing date | call |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 5,810 | $27,000 | thousands by filing date | |
| CENTRAL GOLDTRUST | 153546106 | TR U | 688 | $27,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,138 | $27,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 1,036 | $27,000 | thousands by filing date | |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 9,000 | $27,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,469 | $27,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 3,322 | $27,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 20,000 | $27,000 | thousands by filing date | principal |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 1,516 | $27,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 3,200 | $26,000 | thousands by filing date | call |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 406 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,832 | $26,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 1,112 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,614 | $26,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 1,922 | $26,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 2,569 | $26,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 1,647 | $26,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 2,127 | $26,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,005 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 771 | $26,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 1,233 | $26,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 900 | $26,000 | thousands by filing date | call |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 1,160 | $26,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 1,250 | $26,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 994 | $26,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 702 | $26,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 10,771 | $26,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 1,730 | $26,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 1,859 | $26,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 2,234 | $26,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 8,460 | $26,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 1,024 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIC BD INVST TR | 09249K107 | COM | 1,822 | $26,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 2,682 | $26,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 600 | $26,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 2,149 | $26,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 5,750 | $26,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 1,470 | $25,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 1,200 | $25,000 | thousands by filing date | put |
| BANCORP INC DEL | 05969A105 | COM | 3,228 | $25,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 713 | $25,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 1,795 | $25,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 1,949 | $25,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 1,707 | $25,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 1,732 | $25,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 101,793 | $25,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 1,123 | $25,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,020 | $25,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 3,500 | $25,000 | thousands by filing date | call |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 1,000 | $25,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 4,027 | $25,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 11,496 | $25,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 761 | $25,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 14,713 | $25,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 5,460 | $25,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 6,039 | $25,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 800 | $25,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 750 | $25,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 2,644 | $25,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,904 | $25,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 1,166 | $25,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 1,126 | $25,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 3,200 | $25,000 | thousands by filing date | call |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 1,869 | $25,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 490 | $25,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 1,863 | $25,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 24,000 | $25,000 | thousands by filing date | principal |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 1,000 | $25,000 | thousands by filing date | |
| QUOTIENT LTD | G73268123 | *W EXP 10/30/201 | 9,918 | $25,000 | thousands by filing date | call |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 783 | $24,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 8,700 | $24,000 | thousands by filing date | call |
| MAGNA INTL INC COM | 559222401 | Stock | 500 | $24,000 | thousands by filing date | call |
| LADDER CAP CORP CL A | 505743104 | REIT | 1,657 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 497 | $24,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 2,504 | $24,000 | thousands by filing date | |
| ICU MED INC | 44930G107 | COM | 222 | $24,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 1,683 | $24,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,757 | $24,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,074 | $24,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 4,263 | $24,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 1,885 | $24,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,046 | $24,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 800 | $24,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,100 | $24,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 798 | $24,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 1,471 | $24,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 11,300 | $24,000 | thousands by filing date | put |
| CONNS INC | 208242107 | COM | 1,000 | $24,000 | thousands by filing date | put |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1,634 | $24,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 27,792 | $24,000 | thousands by filing date | |
| GREATBATCH INC | 39153L106 | COM | 421 | $24,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 69,700 | $24,000 | thousands by filing date | call |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 1,149 | $24,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 21,000 | $24,000 | thousands by filing date | principal |
| BARRACUDA NETWORKS INC | 068323104 | COM | 1,577 | $24,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T621 | EXCHTRADE MIDTER | 694 | $24,000 | thousands by filing date | |
| MGC | 921910873 | COM | 351 | $23,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 300 | $23,000 | thousands by filing date | put |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 1,570 | $23,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 740 | $23,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 300 | $23,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 38,000 | $23,000 | thousands by filing date | put |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 1,322 | $23,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 732 | $23,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 6,686 | $23,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 1,915 | $23,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,230 | $23,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 2,273 | $23,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 1,040 | $23,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 2,397 | $23,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 2,929 | $23,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 491 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 200 | $23,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 8,588 | $23,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 1,736 | $23,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 1,017 | $23,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 3,700 | $23,000 | thousands by filing date | call |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,459 | $23,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 590 | $23,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 1,200 | $23,000 | thousands by filing date | call |
| ABAXIS INC | 002567105 | COM | 542 | $23,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 1,200 | $23,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,612 | $23,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 20,000 | $23,000 | thousands by filing date | principal |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 361 | $23,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 7,335 | $23,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 8,007 | $23,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 300 | $22,000 | thousands by filing date | put |
| WW GRAINGER INC COM | 384802104 | Stock | 100 | $22,000 | thousands by filing date | call |
| REPLIGEN CORP COM | 759916109 | Stock | 807 | $22,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 400 | $22,000 | thousands by filing date | put |
| RYDER SYS INC COM | 783549108 | Stock | 300 | $22,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 493 | $22,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 3,800 | $22,000 | thousands by filing date | call |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 1,339 | $22,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,550 | $22,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 1,000 | $22,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,715 | $22,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 9,010 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 807 | $22,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,088 | $22,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 6,601 | $22,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 861 | $22,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 41,439 | $22,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 331 | $22,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 3,676 | $22,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 28,289 | $22,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 5,932 | $22,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 673 | $22,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 3,018 | $22,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 394 | $22,000 | thousands by filing date | |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 8,000 | $22,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 2,934 | $22,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 576 | $22,000 | thousands by filing date | |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 8,000 | $22,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 552 | $21,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 700 | $21,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 350 | $21,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 600 | $21,000 | thousands by filing date | put |
| RE MAX HLDGS INC | 75524W108 | CL A | 583 | $21,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 500 | $21,000 | thousands by filing date | call |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 1,627 | $21,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 212 | $21,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 2,024 | $21,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 1,064 | $21,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 1,725 | $21,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-15-000195 | this filing | 2015-11-13 | acceptance time not in the bulk data set |