13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-13, with 6,399 holding rows worth $235,094,301,000.
- Accession
- 0000895421-14-000231
- Filer
- CIK 895421
- Filed
- 2014-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 24,564 entries on the cover page, a total value of $235,094,301,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $235,094,301,000 with VALUE read as thousands by filing date, 13F file number 028-03432. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK MORGAN STANLEY AG028-11352
- included managerMORGAN STANLEY & CO INTERNATIONAL PLC028-04312
- included managerMORGAN STANLEY & CO. LLC028-11873
- included managerMorgan Stanley Canada LTD028-13197
- included managerMorgan Stanley Capital Services LLC028-11865
- included managerMorgan Stanley Equity Services INC028-12963
- included managerMorgan Stanley Hedging Co. Ltd028-11350
- included managerMORGAN STANLEY INVESTMENT MANAGEMENT CO028-11366
- included managerMORGAN STANLEY INVESTMENT MANAGEMENT INC028-11866
- included managerMorgan Stanley Investment Management LTD028-11867
- included managerMorgan Stanley Private Bank, National Association028-14586
- included managerMORGAN STANLEY SMITH BARNEY LLC028-13935
- included managerMorgan Stanley Strategic Investments, Inc028-12509
- included managerMorgan Stanley Uruguay Ltda.028-11533
- included managerMORGAN STANLEY PRIVATE WEALTH MANAGEMENT Ltd028-14364
- included managerMORGAN STANLEY AIP GP LP028-14710
- included managerMSRESS III Manager, L.L.C.
- included managerFundlogic Sas
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 |
|---|---|---|---|---|---|---|
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 32,616 | $66,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 4,109 | $66,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 17,641 | $65,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 4,956 | $65,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 29,078 | $65,000 | thousands by filing date | |
| GENTIVA HEALTH SERVICES | 37247A102 | COM | 5,271 | $65,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 38,487 | $65,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 2,150 | $65,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 12,000 | $64,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 13,478 | $64,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 22,156 | $64,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 38,748 | $64,000 | thousands by filing date | |
| ISHARES TARGET DATE 2015 INDEX FUND | 464289305 | ETF | 1,703 | $64,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 3,874 | $64,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 6,876 | $63,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 8,507 | $63,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 56,900 | $63,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 3,063 | $63,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 9,297 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74347R727 | PSHS ULTRA INDL | 596 | $62,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 16,577 | $62,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 35,898 | $62,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 7,179 | $62,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 4,087 | $62,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 10,071 | $62,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219LAH2 | CORPORATE OBLIG | 56,000 | $61,000 | thousands by filing date | principal |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 2,483 | $61,000 | thousands by filing date | |
| ALCOA INC | 013817AT8 | NOTE 5.250% 3/1 | 37,000 | $61,000 | thousands by filing date | principal |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 46,544 | $61,000 | thousands by filing date | |
| New Century Bancorp, Inc. | 64353M100 | Common Stock | 9,099 | $61,000 | thousands by filing date | |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 2,983 | $60,000 | thousands by filing date | |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 43,000 | $60,000 | thousands by filing date | principal |
| CAMAC ENERGY INC | 131745101 | COM | 40,586 | $60,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 33,275 | $60,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 7,353 | $60,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 2,984 | $60,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 35,219 | $59,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 6,556 | $59,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 9,946 | $59,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 6,751 | $59,000 | thousands by filing date | |
| CHINA GERUI ADVANCED MATERIA | G21101103 | CMN | 46,593 | $59,000 | thousands by filing date | |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 11,000 | $59,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 1,022 | $58,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 52,000 | $58,000 | thousands by filing date | principal |
| PALMETTO BANCSHARES INC | 697062206 | COM | 4,482 | $58,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 4,706 | $58,000 | thousands by filing date | |
| UNITEK GLOBAL SVCS INC | 91324T302 | COM | 34,750 | $58,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,450 | $57,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 3,447 | $57,000 | thousands by filing date | |
| DYNAMICS RESEARCH CORP | 268057106 | COM | 5,000 | $57,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 23,358 | $57,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 9,872 | $57,000 | thousands by filing date | |
| NTS RLTY HLDGS LTD PARTNERSH | 629422106 | PARTSHIP UNITS | 7,851 | $57,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 7,900 | $56,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 29,850 | $56,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 2,178 | $55,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 1,653 | $55,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 10,866 | $55,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 4,751 | $55,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 10,653 | $55,000 | thousands by filing date | |
| PIKE ELEC CORP | 721283109 | COM | 5,131 | $55,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 59,365 | $55,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 23,956 | $55,000 | thousands by filing date | |
| FIRST W VA BANCORP INC | 337493100 | COM | 3,417 | $55,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 4,000 | $54,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 2,350 | $54,000 | thousands by filing date | |
| Meru Networks, Inc. | 59047Q103 | COM | 12,500 | $54,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 12,600 | $53,000 | thousands by filing date | |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 1,792 | $53,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 8,302 | $53,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 2,232 | $53,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 2,292 | $53,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 17,500 | $53,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 4,000 | $52,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 35,000 | $52,000 | thousands by filing date | principal |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,446 | $52,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 41,774 | $52,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 3,580 | $52,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E481 | GLB X CDA PFD | 4,220 | $52,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 6,490 | $52,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 34,123 | $51,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 7,000 | $51,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 26,750 | $51,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 3,846 | $51,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 8,350 | $51,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B720 | KBW INS PORT | 777 | $51,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 7,319 | $50,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 3,224 | $50,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 114,350 | $50,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,832 | $50,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 14,757 | $50,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 6,755 | $50,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 47,000 | $50,000 | thousands by filing date | principal |
| USEC INC | 90333E207 | COMMON | 7,580 | $50,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 8,187 | $50,000 | thousands by filing date | |
| CHINA HYDROELECTRIC CP-ADS | 16949D101 | COM | 18,700 | $50,000 | thousands by filing date | |
| ISHARES INC | 464286467 | EMKTS GRW IDX | 906 | $50,000 | thousands by filing date | |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 50,000 | $50,000 | thousands by filing date | principal |
| AROTECH CORP | 042682203 | COM NEW | 14,362 | $50,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 4,310 | $50,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 9,697 | $50,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 5,000 | $49,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 4,796 | $49,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 10,213 | $49,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E234 | GBX PUREGOLD NEW | 5,000 | $49,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q736 | FDMTL EMKLODBT | 2,260 | $49,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 2,495 | $49,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,704 | $48,000 | thousands by filing date | |
| FIRSTBANK CORPORATION | 33761G104 | COMMON STOCK | 2,473 | $48,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 35,157 | $48,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 34,000 | $48,000 | thousands by filing date | principal |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 47,000 | $48,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 1,650 | $48,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 2,261 | $48,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 2,192 | $48,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 5,700 | $47,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 3,546 | $47,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 20,391 | $47,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 3,718 | $47,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 9,634 | $47,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,061 | $46,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 16,762 | $46,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 1,036 | $46,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 26,142 | $46,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 33,568 | $46,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 2,513 | $46,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 647 | $45,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 3,789 | $45,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 19,837 | $45,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 13,601 | $45,000 | thousands by filing date | |
| ZYGO CORP | 989855101 | COM | 3,091 | $45,000 | thousands by filing date | |
| COMMTOUCH SOFTWARE LTD | M25596202 | SHS NEW | 14,382 | $45,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 2,150 | $45,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 2,945 | $45,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 4,743 | $44,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 43,000 | $44,000 | thousands by filing date | principal |
| BODY CENTRAL CORP | 09689U102 | COM | 11,249 | $44,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 11,579 | $44,000 | thousands by filing date | |
| GSE HOLDING INC | 36191X100 | COM | 21,075 | $44,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 12,899 | $44,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 10,981 | $44,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 26,371 | $44,000 | thousands by filing date | |
| MANAGEMENT NETWORK GROUP INC | 561693201 | COM | 16,000 | $44,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 1,639 | $44,000 | thousands by filing date | |
| OXYGEN BIOTHERAPEUTICS INC | 69207P308 | COM PAR $0.0001 | 9,687 | $44,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 7,328 | $44,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 1,590 | $43,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 4,054 | $43,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 42,000 | $43,000 | thousands by filing date | principal |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 37,328 | $43,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 153,192 | $43,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R759 | CDA BD IDX FD | 464 | $43,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 4,535 | $43,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 6,700 | $42,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 14,300 | $42,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 5,284 | $42,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAB6 | DBCV 2.750% 8/1 | 40,000 | $42,000 | thousands by filing date | principal |
| HARVEST CAP CR CORP | 41753F109 | COM | 2,800 | $42,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 21,642 | $42,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 1,873 | $42,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q742 | CMN | 1,325 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 2,103 | $42,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 654 | $41,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,400 | $41,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 4,325 | $41,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 3,604 | $41,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 2,477 | $41,000 | thousands by filing date | |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 2,025 | $41,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 2,155 | $41,000 | thousands by filing date | |
| GYRODYNE CO AMER INC | 403820103 | COM | 3,217 | $41,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 26,360 | $41,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 20,000 | $41,000 | thousands by filing date | principal |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 3,730 | $41,000 | thousands by filing date | |
| HEADWATERS INC | 42210PAD4 | CORPORATE OBLIG | 40,000 | $40,000 | thousands by filing date | principal |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 7,020 | $40,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 5,539 | $40,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 5,040 | $40,000 | thousands by filing date | |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 21,398 | $40,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 28,364 | $40,000 | thousands by filing date | |
| Coeur D'Alene | 192108ar9 | CONV BOND | 40,000 | $40,000 | thousands by filing date | principal |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 9,534 | $39,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 14,827 | $39,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 236,225 | $39,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AK1 | NOTE 3.375% 7/1 | 30,000 | $39,000 | thousands by filing date | principal |
| DAEGIS INC | 233720101 | COM | 32,773 | $39,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,521 | $39,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 5,554 | $38,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 8,702 | $38,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 2,519 | $38,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 3,341 | $38,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 32,000 | $38,000 | thousands by filing date | principal |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 32,427 | $38,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 16,186 | $38,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 4,558 | $38,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 4,410 | $38,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 7,339 | $38,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 6,923 | $38,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 5,456 | $38,000 | thousands by filing date | |
| ISHARES TR | 464288547 | RETAIL CAP IDX | 1,080 | $38,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 1,900 | $38,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R585 | RUSSIA SMALLCP | 874 | $38,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 40,064 | $37,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | 36869MAA3 | NOTE 5.000% 8/1 | 71,000 | $37,000 | thousands by filing date | principal |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 2,231 | $37,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 22,982 | $37,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 7,069 | $37,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 7,809 | $37,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 5,000 | $37,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 959 | $37,000 | thousands by filing date | |
| BCSB BANCORP INC | 055367106 | COM | 1,415 | $37,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 3,616 | $37,000 | thousands by filing date | |
| CHINA MOBILE GAMES & ENTERTAINMENT LTD | 16952T100 | COM | 1,474 | $37,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,649 | $37,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 12,683 | $36,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 36,000 | $36,000 | thousands by filing date | principal |
| FOOD TECHNOLOGY SERVICE INC | 344798202 | COM NEW | 5,000 | $36,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 2,550 | $36,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 11,779 | $36,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 2,800 | $36,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 14,702 | $36,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 2,768 | $36,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 8,200 | $36,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 2,171 | $36,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 6,076 | $35,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 11,717 | $35,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 451 | $35,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 26,508 | $35,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 2,621 | $35,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 1,080 | $35,000 | thousands by filing date | |
| ISHARES INC | 464286368 | MSCI GL SL MET | 1,743 | $35,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 494 | $35,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 4,500 | $35,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 2,685 | $35,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T613 | VELSHS DLY SHTRM | 4,688 | $35,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 988 | $34,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 2,949 | $34,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 1,430 | $34,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 12,480 | $34,000 | thousands by filing date | |
| GLOBAL GEOPHYSICAL SERVICES | 37946S107 | COM | 20,798 | $34,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 5,739 | $34,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,729 | $34,000 | thousands by filing date | |
| Jacksonville Bancorp, Inc. (IL) | 46924R106 | Common Stock | 1,751 | $34,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 1,212 | $34,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 4,781 | $34,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 6,900 | $34,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 6,615 | $33,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 12,543 | $33,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 25,954 | $33,000 | thousands by filing date | |
| SWS GROUP INC | 78503N107 | COM | 5,407 | $33,000 | thousands by filing date | |
| VOCUS INC | 92858J108 | COM | 2,919 | $33,000 | thousands by filing date | |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 1,140 | $33,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 29,200 | $33,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 6,200 | $33,000 | thousands by filing date | |
| AMER MUN INCOME PORT INC | 027649102 | COM | 2,491 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 400 | $32,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 9,700 | $32,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 14,046 | $32,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 2,300 | $32,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 2,280 | $32,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 20,000 | $32,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 31,000 | $32,000 | thousands by filing date | principal |
| URANIUM RESOURCES INC | 916901606 | COM | 10,632 | $32,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 2,600 | $32,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 2,600 | $32,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895101 | CLB | 3,521 | $32,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 585 | $32,000 | thousands by filing date | |
| CHIPOTLE MEXICAN GRILL INC | 73937B738 | COM | 646 | $32,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,628 | $31,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 5,267 | $31,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,914 | $31,000 | thousands by filing date | |
| SCHAWK INC | 806373106 | CL A | 2,058 | $31,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 55,958 | $31,000 | thousands by filing date | |
| COMMUNITY BANK SHARES/IN | 203599105 | COMMON | 1,594 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y439 | DLY TECBEARX NEW | 1,500 | $31,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 31,000 | $31,000 | thousands by filing date | principal |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 12,100 | $31,000 | thousands by filing date | |
| ZOOM TECHNOLOGIES INC | 98976E400 | COMMON STOCK | 6,596 | $31,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 1,762 | $31,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 524 | $30,000 | thousands by filing date | |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 25,000 | $30,000 | thousands by filing date | principal |
| ZION OIL & GAS INC | 989696109 | COM | 21,200 | $30,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 36,000 | $30,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 5,543 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 1,000 | $30,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 715 | $30,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,562 | $29,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 2,100 | $29,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 3,305 | $29,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 31,000 | $29,000 | thousands by filing date | principal |
| CERES INC | 156773103 | COM | 21,603 | $29,000 | thousands by filing date | |
| AMBOW ED HLDG LTD | 02322P101 | ADR REPSTG CL A | 30,061 | $29,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 10,050 | $29,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 1,528 | $28,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 3,626 | $28,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 2,572 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 1,081 | $28,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 14,013 | $28,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 28,000 | $28,000 | thousands by filing date | principal |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 13,000 | $28,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 22,500 | $28,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 28,000 | $28,000 | thousands by filing date | principal |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 3,400 | $27,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 3,875 | $27,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863AL4 | CORPORATE OBLIG | 27,000 | $27,000 | thousands by filing date | principal |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 20,000 | $27,000 | thousands by filing date | principal |
| GFI GROUP INC | 361652209 | COM | 6,944 | $27,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 1,504 | $27,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 19,311 | $27,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 41,092 | $27,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 1,087 | $27,000 | thousands by filing date | |
| NORTHGATE MINERALS CORP | 666416AB8 | NOTE 3.500%10/0 | 28,000 | $27,000 | thousands by filing date | principal |
| SI FINL GROUP INC MD | 78425V104 | COM | 2,245 | $27,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 2,844 | $26,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 11,224 | $26,000 | thousands by filing date | |
| ISHARES MSCI | 464289545 | UTILTS IDX FD | 603 | $26,000 | thousands by filing date | |
| FIRST TRUST VALUE LINE EQUITY | 336919105 | COM | 1,018 | $26,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 10,000 | $26,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 3,324 | $25,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 3,100 | $25,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 65,210 | $25,000 | thousands by filing date | |
| INTEGRATED ELECTRICAL SERVIC | 45811E301 | COM | 4,555 | $25,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 4,691 | $25,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 1,417 | $25,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 1,120 | $25,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 14,170 | $25,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 478 | $24,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 24,000 | $24,000 | thousands by filing date | principal |
| PIMCO ETF TR | 72201R767 | GERM BD IDX FD | 230 | $24,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 11,514 | $23,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,216 | $23,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,700 | $23,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 2,907 | $23,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 1,087 | $23,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,798 | $23,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,007 | $23,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 42,905 | $23,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 6,635 | $23,000 | thousands by filing date | |
| COLUMBIA LG CAP GROWTH ETF | 19761R307 | COM | 581 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 1,383 | $23,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 1,601 | $22,000 | thousands by filing date | |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 4,794 | $22,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 11,092 | $22,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 28,000 | $22,000 | thousands by filing date | principal |
| ISHARES S&P TARGET DATE 2030 | 464289602 | CMN | 515 | $22,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 2,200 | $22,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 3,953 | $22,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 1,450 | $22,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 854 | $21,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 2,667 | $21,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 1,632 | $21,000 | thousands by filing date | |
| NET SERVICOS DE COMUNICACAO | 64109T201 | SPONSD ADR NEW | 2,159 | $21,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 5,767 | $21,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 601 | $21,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 900 | $21,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 21,000 | $21,000 | thousands by filing date | principal |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 14,000 | $21,000 | thousands by filing date | principal |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 1,352 | $21,000 | thousands by filing date | |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 398 | $21,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 273 | $20,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 2,000 | $20,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 6,608 | $20,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 1,067 | $20,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 1,430 | $20,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 3,338 | $20,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 7,000 | $20,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 2,632 | $20,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 3,394 | $20,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 5,126 | $20,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,328 | $20,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 9,763 | $20,000 | thousands by filing date | |
| SPORT CHALET INC | 849163209 | CL A | 17,912 | $20,000 | thousands by filing date | |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 3,013 | $20,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 1,500 | $20,000 | thousands by filing date | |
| ISHARES TR | 464289594 | CMN | 375 | $20,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 4,000 | $20,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 19,000 | $20,000 | thousands by filing date | principal |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 3,451 | $20,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 3,199 | $19,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,119 | $19,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 3,305 | $19,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,941 | $19,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 2,500 | $19,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 33,474 | $19,000 | thousands by filing date | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 18,000 | $19,000 | thousands by filing date | principal |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 4,136 | $19,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 6,983 | $19,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,575 | $19,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 7,000 | $19,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 200 | $19,000 | thousands by filing date | |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 245,888 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 290 | $19,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 4,073 | $19,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 4,336 | $18,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 775 | $18,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 1,500 | $18,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,290 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 120 | $18,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 700 | $18,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 4,400 | $18,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 13,317 | $18,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 3,975 | $18,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 15,550 | $18,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 23,800 | $18,000 | thousands by filing date | |
| AVIS BUDGET GROUP | 053774AB1 | NOTE 3.500%10/0 | 7,000 | $18,000 | thousands by filing date | principal |
| AMBIENT CORP | 02318N201 | COM | 6,980 | $18,000 | thousands by filing date | |
| RIVER VY BANCORP | 768475105 | COM | 680 | $18,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 8,701 | $17,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 1,065 | $17,000 | thousands by filing date | |
| ENCORE ENERGY CORP F | 97717W174 | COM | 750 | $17,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,500 | $17,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 2,103 | $17,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 5,500 | $17,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 13,900 | $17,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 32,067 | $17,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 1,250 | $17,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 9,030 | $17,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 15,000 | $17,000 | thousands by filing date | principal |
| ORBIT INTERNATIONAL CORP | 685559304 | COM | 5,000 | $17,000 | thousands by filing date | |
| METROCORP BANCSHARES INC | 591650106 | COM | 1,112 | $17,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 12,149 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 700 | $17,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102XAG0 | CNV | 17,000 | $17,000 | thousands by filing date | principal |
| PIMCO ETF TR | 72201R734 | FORN CURR STRT | 355 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 500 | $17,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 17,000 | $17,000 | thousands by filing date | |
| World Energy Solutions Inc. | 98145W208 | COM | 4,000 | $17,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 4,950 | $17,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 800 | $17,000 | thousands by filing date | |
| DB-X FUNDS | 233052307 | XTRAK 2030TGT DT | 631 | $17,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 1,105 | $17,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,500 | $16,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,144 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 204 | $16,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 5,653 | $16,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 10,250 | $16,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 4,324 | $16,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R742 | AUSTRALIA BD | 180 | $16,000 | thousands by filing date | |
| FIRST FED BNCSHS OF ARKANSAS | 32020F303 | COM | 1,887 | $16,000 | thousands by filing date | |
| JEFFERSON BANCSHARES INC/TN | 472375104 | COMMON | 2,500 | $16,000 | thousands by filing date | |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 9,000 | $16,000 | thousands by filing date | principal |
| COMMAND SEC CORP | 20050L100 | COM | 7,981 | $16,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255302 | COM PAR $0.0001 | 5,560 | $16,000 | thousands by filing date | |
| ISHARES TR | 46429B374 | ALCO ASIA INFO | 500 | $16,000 | thousands by filing date | |
| FIRST TR ISE GLBL PLAT INDX | 33737C104 | COM | 1,274 | $16,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 8,143 | $16,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 16,000 | $16,000 | thousands by filing date | principal |
| LGL GROUP INC | 50186A108 | COM | 2,810 | $15,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 15,000 | $15,000 | thousands by filing date | principal |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 14,000 | $15,000 | thousands by filing date | principal |
| S&W SEED COMPANY COM | 785135104 | COM | 2,150 | $15,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 7,500 | $15,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 2,411 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A524 | S&P MTG FIN | 280 | $15,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 6,900 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 627 | $15,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 1,800 | $15,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,045 | $15,000 | thousands by filing date | |
| CMS BANCORP INC | 12600U102 | COM | 1,622 | $15,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 2,354 | $15,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 36,281 | $14,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 4,696 | $14,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 20,000 | $14,000 | thousands by filing date | principal |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 29,503 | $14,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 13,553 | $14,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748WAB4 | NOTE 2.375%10/1 | 14,000 | $14,000 | thousands by filing date | principal |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 1,249 | $14,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,400 | $14,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 36,500 | $14,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,400 | $14,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,030 | $14,000 | thousands by filing date | |
| ONEIDA FINL CORP MD | 682479100 | COM | 1,150 | $14,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M662 | GUGG ENH CRE BN | 285 | $14,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 845 | $14,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 4,501 | $14,000 | thousands by filing date | |
| CHYRONHEGO CORP | 171607104 | COM | 6,500 | $14,000 | thousands by filing date | |
| SELECTICA INC | 816288203 | COM | 2,176 | $14,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 6,300 | $14,000 | thousands by filing date | |
| FREESEAS INC | Y26496300 | SHS PAR 0.001NEW | 5,700 | $14,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,800 | $13,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 345 | $13,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 38,569 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 340 | $13,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 21,629 | $13,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 100 | $13,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 5,963 | $13,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461837 | EGS CHIN INF ETF | 721 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 725 | $13,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 3,035 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 813 | $13,000 | thousands by filing date | |
| CRUMBS BAKE SHOP | 228803102 | COM | 16,101 | $13,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,002 | $13,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 798 | $13,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 2,255 | $13,000 | thousands by filing date | |
| NTS INC NEV COM | 62943b105 | COM | 6,400 | $13,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 3,007 | $13,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 2,042 | $12,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 20,000 | $12,000 | thousands by filing date | principal |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,850 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 400 | $12,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 6,000 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-14-000231 | this filing | 2014-02-13 | acceptance time not in the bulk data set |