13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 6,838 holding rows worth $260,206,652,000.
- Accession
- 0000895421-14-000486
- Filer
- CIK 895421
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 25,165 entries on the cover page, a total value of $260,206,652,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $260,206,652,000 with VALUE read as thousands by filing date, 13F file number 028-03432. A later restatement replaced it, so the quarter does not use it. 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 AIP GP LP028-14710
- included managerMSRESS III Manager, L.L.C.028-15868
- included managerFundlogic Sas028-15873
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 |
|---|---|---|---|---|---|---|
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 8,123 | $20,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 1,274 | $20,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 4,335 | $20,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $20,000 | thousands by filing date | principal |
| RICHMONT MINES INC | 76547T106 | COM | 10,241 | $20,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 12,347 | $20,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 6,475 | $20,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 17,988 | $20,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 965 | $20,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 4,468 | $20,000 | thousands by filing date | |
| World Energy Solutions Inc. | 98145W208 | COM | 4,022 | $20,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 11,161 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q736 | FDMTL EMKLODBT | 982 | $20,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 2,472 | $20,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 1,392 | $20,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 3,141 | $20,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| GEOPARK LTD USD SHS | G38327105 | Stock | 2,000 | $19,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 4,550 | $19,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 2,913 | $19,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,948 | $19,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 2,399 | $19,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 2,605 | $19,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 25,200 | $19,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,835 | $19,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 754 | $19,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 5,508 | $19,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 10,095 | $19,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,542 | $19,000 | thousands by filing date | |
| QC HLDGS INC | 74729T101 | COM | 10,030 | $19,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,048 | $19,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 370 | $19,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063209 | ADR NEW | 504 | $19,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 3,000 | $18,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 1,600 | $18,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 2,785 | $18,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,659 | $18,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 4,011 | $18,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 5,592 | $18,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,955 | $18,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 12,458 | $18,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,611 | $18,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 822 | $18,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 32,000 | $18,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 2,517 | $18,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 5,832 | $18,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 6,097 | $18,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 10,910 | $18,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 12,804 | $18,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 8,378 | $18,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 8,802 | $18,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 20,000 | $18,000 | thousands by filing date | principal |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 19,000 | $18,000 | thousands by filing date | principal |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 17,000 | $18,000 | thousands by filing date | principal |
| AGILYSYS INC | 00847J105 | COM | 1,424 | $17,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 713 | $17,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 5,610 | $17,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,303 | $17,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,276 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 591 | $17,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 27,983 | $17,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397184 | RIGHT 10/20/2014 | 279,308 | $17,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,026 | $17,000 | thousands by filing date | |
| ENCORE ENERGY CORP F | 97717W174 | COM | 750 | $17,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 17,000 | $17,000 | thousands by filing date | principal |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 4,500 | $17,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 8,377 | $17,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 16,000 | $17,000 | thousands by filing date | principal |
| PALMETTO BANCSHARES INC | 697062206 | COM | 1,261 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 1,125 | $17,000 | thousands by filing date | |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 9,000 | $17,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y439 | DLY TECBEARX NEW | 1,300 | $17,000 | thousands by filing date | |
| DIREXION | 25459Y728 | SHS ETF TR S\&P.* VOL RES | 283 | $17,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 200 | $17,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A309 | COM PAR$.00001 | 8,936 | $17,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 350 | $17,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 868 | $16,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 722 | $16,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 4,760 | $16,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 6,894 | $16,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 7,740 | $16,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 14,375 | $16,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 23,618 | $16,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 2,631 | $16,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 10,275 | $16,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,032 | $16,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 147 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 500 | $16,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 21,100 | $16,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 9,035 | $16,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 1,732 | $16,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 17,000 | $16,000 | thousands by filing date | principal |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 57,758 | $16,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D203 | UNIT 06/11/2019 | 1,500 | $16,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 14,059 | $15,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 8,500 | $15,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 14,000 | $15,000 | thousands by filing date | principal |
| MFS CALIF MUN FD | 59318C106 | COM | 1,400 | $15,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 45,358 | $15,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 2,000 | $15,000 | thousands by filing date | |
| RIVER VY BANCORP | 768475105 | COM | 684 | $15,000 | thousands by filing date | |
| CHYRONHEGO CORP | 171607104 | COM | 5,027 | $15,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 11,197 | $15,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 3,410 | $15,000 | thousands by filing date | |
| COLUMBIA LG CAP GROWTH ETF | 19761R307 | COM | 356 | $15,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 17,000 | $15,000 | thousands by filing date | principal |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 1,215 | $15,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 4,642 | $14,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 3,742 | $14,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 3,403 | $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 |
| NEOPHOTONICS CORP | 64051T100 | COM | 4,167 | $14,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 16,989 | $14,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 600 | $14,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 5,000 | $14,000 | thousands by filing date | principal |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 2,275 | $14,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 1,551 | $14,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 14,000 | $14,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 14,000 | $14,000 | thousands by filing date | principal |
| GLOBEIMMUNE INC | 37957B100 | COM | 2,010 | $14,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 3,250 | $13,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 490 | $13,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,000 | $13,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 2,807 | $13,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 37,340 | $13,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 4,361 | $13,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 10,000 | $13,000 | thousands by filing date | principal |
| ESB FINANCIAL CORP | 26884F102 | COM | 1,131 | $13,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 316 | $13,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 12,000 | $13,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A524 | S&P MTG FIN | 255 | $13,000 | thousands by filing date | |
| PROSHARES ULTRASHORT RE | 74348A871 | COM | 800 | $13,000 | thousands by filing date | |
| ISHARES TR | 464289503 | S&P TARGET 25 | 310 | $13,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 801 | $13,000 | thousands by filing date | |
| State Investors Bancorp, Inc. | 857030100 | Common Stock | 804 | $13,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 1,771 | $13,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 1,003 | $13,000 | thousands by filing date | |
| ISHARES TR | 464289800 | S&P TARGET 40 | 285 | $13,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 7,171 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 200 | $13,000 | thousands by filing date | |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 883 | $13,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,586 | $12,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,635 | $12,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,213 | $12,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 2,347 | $12,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 3,728 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 334 | $12,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 17,746 | $12,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 9,576 | $12,000 | thousands by filing date | |
| DEALERTRACK TECHNOLOGIES INC | 242309AB8 | NOTE 1.500% 3/1 | 9,000 | $12,000 | thousands by filing date | principal |
| PHARMATHENE INC | 71714G102 | COM | 7,000 | $12,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 2,300 | $12,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 8,001 | $12,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 10,000 | $12,000 | thousands by filing date | principal |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 15,000 | $12,000 | thousands by filing date | principal |
| RLJ ENTMT INC | 74965F104 | COM | 3,106 | $12,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 1,104 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 546 | $12,000 | thousands by filing date | |
| HAMPDEN BANCORP INC | 40867E107 | COM | 725 | $12,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,000 | $12,000 | thousands by filing date | |
| FIRST AMERICAN MN MUN INC II | 31849P104 | CMN | 818 | $12,000 | thousands by filing date | |
| ISHARES TR | 464289404 | S&P TARGET 20 | 310 | $12,000 | thousands by filing date | |
| ISHARES TR | 46429B432 | MSCI SING SMCP | 429 | $12,000 | thousands by filing date | |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 13,000 | $12,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 12,000 | $12,000 | thousands by filing date | principal |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 4,000 | $12,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 460 | $11,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 5,000 | $11,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 595 | $11,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 5,027 | $11,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 9,000 | $11,000 | thousands by filing date | principal |
| EXAR CORP | 300645108 | COMMON STOCK | 1,289 | $11,000 | thousands by filing date | |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 839 | $11,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,380 | $11,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 1,196 | $11,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 20,000 | $11,000 | thousands by filing date | principal |
| RADIAN GROUP INC | 750236AN1 | NOTE 2.250% 3/0 | 8,000 | $11,000 | thousands by filing date | principal |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,600 | $11,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 1,077 | $11,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 10,000 | $11,000 | thousands by filing date | principal |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 14,724 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 690 | $11,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 962 | $11,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 2,031 | $11,000 | thousands by filing date | |
| SELECTICA INC | 816288203 | COM | 1,860 | $11,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVTS COR | 76131N119 | WTS | 4,150 | $11,000 | thousands by filing date | |
| DORAL FINL CORP COM | 25811P852 | COM | 1,657 | $11,000 | thousands by filing date | |
| ISHARES TR | 464289701 | S&P TARGET 35 | 250 | $11,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 250 | $11,000 | thousands by filing date | |
| AMERICAN EAGLE ENERGY | 02554F300 | COM | 2,525 | $11,000 | thousands by filing date | |
| BACTERIN INTL HLDGS INC | 05644R200 | COM NEW | 2,560 | $11,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 1,529 | $10,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 362 | $10,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,858 | $10,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 400 | $10,000 | thousands by filing date | |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 3,564 | $10,000 | thousands by filing date | |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 400 | $10,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 430 | $10,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 2,089 | $10,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L209 | US MC TRENDP ETN | 293 | $10,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 600 | $10,000 | thousands by filing date | |
| ONEIDA FINL CORP MD | 682479100 | COM | 762 | $10,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 1,800 | $10,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 365 | $10,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 4,740 | $10,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 4,587 | $10,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 1,519 | $10,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 2,500 | $10,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 8,000 | $10,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 10,000 | $10,000 | thousands by filing date | principal |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 11,000 | $10,000 | thousands by filing date | principal |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 5,848 | $10,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,281 | $9,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 559 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 6,753 | $9,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,100 | $9,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS INC | 05334DAA5 | NOTE 1.500% 7/1 | 7,000 | $9,000 | thousands by filing date | principal |
| FORD MTR CO DEL | 345370CN8 | NOTE 4.250%11/1 | 5,000 | $9,000 | thousands by filing date | principal |
| NANOSPHERE INC | 63009F105 | COM | 16,348 | $9,000 | thousands by filing date | |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 3,050 | $9,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 300 | $9,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 2,300 | $9,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 3,000 | $9,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 8,050 | $9,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 592 | $9,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 1,335 | $9,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 4,011 | $9,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 803 | $9,000 | thousands by filing date | |
| PIZZA INN HOLDINGS INC | 725846109 | COM | 1,163 | $9,000 | thousands by filing date | |
| STARZ | 85571Q201 | COM | 267 | $9,000 | thousands by filing date | |
| NOVAGOLD RES INC | 66987EAA5 | NOTE 5.500% 5/0 | 9,000 | $9,000 | thousands by filing date | principal |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 567 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 300 | $9,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 9,000 | $9,000 | thousands by filing date | principal |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 8,000 | $9,000 | thousands by filing date | principal |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 1,763 | $8,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 600 | $8,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 500 | $8,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 592 | $8,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 506 | $8,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 226 | $8,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 250 | $8,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 5,267 | $8,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 4,819 | $8,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 509 | $8,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 463 | $8,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 3,237 | $8,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 8,165 | $8,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 2,007 | $8,000 | thousands by filing date | |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 70 | $8,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 8,723 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X120 | ULT MSCIBZL CAPP | 200 | $8,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 639 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 400 | $8,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 9,092 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 326 | $8,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 532 | $8,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 776 | $8,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 1,852 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 200 | $8,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 963 | $8,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 270 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 150 | $7,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,534 | $7,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 17,201 | $7,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 3,007 | $7,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,015 | $7,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 474 | $7,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 100 | $7,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 7,000 | $7,000 | thousands by filing date | principal |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 401 | $7,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 501 | $7,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 164 | $7,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 655 | $7,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 2,775 | $7,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 4,000 | $7,000 | thousands by filing date | principal |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 12,000 | $7,000 | thousands by filing date | principal |
| GOLDFIELD CORP | 381370105 | COM | 3,642 | $7,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 8,730 | $7,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 708 | $7,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 791 | $7,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 3,000 | $7,000 | thousands by filing date | |
| ALCO STORES INC | 001600105 | COM | 3,725 | $7,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 1,231 | $7,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 1,017 | $7,000 | thousands by filing date | |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 233,346 | $7,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 2,423 | $7,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 3,615 | $7,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 3,974 | $7,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 2,304 | $7,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 2,521 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 260 | $7,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,120 | $7,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 1,013 | $7,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 3,743 | $7,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 608 | $6,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 825 | $6,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 390 | $6,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,000 | $6,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 5,000 | $6,000 | thousands by filing date | principal |
| LOCAL CORP | 53954W104 | COM | 3,039 | $6,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 5,230 | $6,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 1,170 | $6,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 3,400 | $6,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 5,000 | $6,000 | thousands by filing date | principal |
| RAND LOGISTICS INC | 752182105 | COM | 1,028 | $6,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 1,958 | $6,000 | thousands by filing date | |
| FIRST CLOVER LEAF FINANCIAL | 31969M105 | COM | 638 | $6,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 1,100 | $6,000 | thousands by filing date | |
| CMS BANCORP INC | 12600U102 | COM | 503 | $6,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 277 | $6,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 6,314 | $6,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 239 | $6,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 132 | $6,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 2,569 | $6,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 600 | $6,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 700 | $6,000 | thousands by filing date | |
| MYOS CORP | 554051201 | Cmn | 441 | $6,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 5,577 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 221 | $5,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 3,820 | $5,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 900 | $5,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 378 | $5,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 513 | $5,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 356 | $5,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,072 | $5,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,185 | $5,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 853 | $5,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 300 | $5,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,723 | $5,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 5,520 | $5,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 1,746 | $5,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 5,489 | $5,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 265 | $5,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 5,000 | $5,000 | thousands by filing date | principal |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 3,348 | $5,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 5,000 | $5,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 6,429 | $5,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 4,010 | $5,000 | thousands by filing date | |
| IKANOS COMMUNICATIONS INC | 45173E105 | COM | 14,300 | $5,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 217 | $5,000 | thousands by filing date | |
| COMSTOCK HOLDING COMPANIES | 205684103 | CL A | 4,000 | $5,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 1,000 | $5,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 2,000 | $5,000 | thousands by filing date | principal |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 484 | $5,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,266 | $5,000 | thousands by filing date | |
| LAPORTE BANCORP INC MD | 516651106 | COM | 424 | $5,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 6,000 | $5,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 287 | $5,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 2,000 | $5,000 | thousands by filing date | |
| NAUGATUCK VY FINL CORP MD | 63906P107 | COM | 686 | $5,000 | thousands by filing date | |
| FIRST FED NORTHN MICH BANCOR | 32021X105 | COM | 1,005 | $5,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 2,484 | $5,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,333 | $5,000 | thousands by filing date | |
| SINOCOKING COAL & COKE CH IN | 829357102 | COM | 1,436 | $5,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 667 | $5,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 747 | $5,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 1,929 | $5,000 | thousands by filing date | |
| Escalera Resources Co | 296064108 | Ordinary Shares | 2,524 | $5,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F861 | UNIT 09/01/2016 | 100 | $5,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 8,401 | $4,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 177 | $4,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 900 | $4,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 538 | $4,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 3,960 | $4,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 5,865 | $4,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 3,672 | $4,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 6,150 | $4,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 3,000 | $4,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 233 | $4,000 | thousands by filing date | |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 1,500 | $4,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 9,596 | $4,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 108 | $4,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 347 | $4,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 2,380 | $4,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 1,950 | $4,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 193 | $4,000 | thousands by filing date | |
| CHINA SUNERGY CO LTD | 16942X302 | SPONSORED ADR NE | 1,417 | $4,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 3,000 | $4,000 | thousands by filing date | principal |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 122 | $4,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 4,500 | $4,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 1,639 | $4,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 863 | $4,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 1,000 | $4,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 3,965 | $4,000 | thousands by filing date | |
| PEERLESS SYS CORP COM | 705536100 | COM | 956 | $4,000 | thousands by filing date | |
| ACORN INTL INC | 004854105 | SPON ADR | 2,000 | $4,000 | thousands by filing date | |
| NB & T FINL GROUP INC | 62874M104 | COM | 156 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 30 | $4,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 666 | $4,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 500 | $4,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 704 | $4,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 1,035 | $4,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 4,000 | $4,000 | thousands by filing date | principal |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 141 | $4,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 820 | $4,000 | thousands by filing date | |
| ASCENT SOLAR TECHNOLOGIES IN | 043635309 | COM NEW | 1,945 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y561 | DLY JR GMNR BEAR | 250 | $4,000 | thousands by filing date | |
| REGADO BIOSCIENCE INC | 75874Q107 | COM | 3,629 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X815 | ULTRA MDCAP400 | 31 | $3,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 1,000 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 135 | $3,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 238 | $3,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 607 | $3,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 200 | $3,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 2,000 | $3,000 | thousands by filing date | principal |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 31,202 | $3,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 189 | $3,000 | thousands by filing date | |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 899 | $3,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 2,000 | $3,000 | thousands by filing date | principal |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 3,000 | $3,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 2,814 | $3,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 5,500 | $3,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 2,300 | $3,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| ISRAMCO INC | 465141406 | COM | 22 | $3,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 5,000 | $3,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 1,394 | $3,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 579 | $3,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 2,040 | $3,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 1,000 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 68 | $3,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 2,062 | $3,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 2,000 | $3,000 | thousands by filing date | |
| SUTRON CORP | 869380105 | COM | 559 | $3,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 175 | $3,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 103,255 | $3,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 577 | $3,000 | thousands by filing date | |
| VBI VACCINES INC CDA | 91790E102 | Stock | 1,033 | $3,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 2,000 | $3,000 | thousands by filing date | principal |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 846 | $3,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 1,631 | $3,000 | thousands by filing date | |
| AETRIUM INC | 00817R202 | COM NEW | 602 | $3,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U404 | COM PAR$ | 948 | $3,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,800 | $2,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 572 | $2,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 588 | $2,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 494 | $2,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 924 | $2,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 852 | $2,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 530 | $2,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 312 | $2,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 104 | $2,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 115 | $2,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 190 | $2,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 2,037 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 65 | $2,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 2,926 | $2,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 124 | $2,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 3,311 | $2,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 2,500 | $2,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 600 | $2,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 453 | $2,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 922 | $2,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 1,036 | $2,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 570 | $2,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 40 | $2,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 632 | $2,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 467 | $2,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC | 127387AJ7 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| OCONEE FED FINL CORP | 675607105 | COM | 123 | $2,000 | thousands by filing date | |
| REVETT MINERALS INC | 761505205 | COM NEW | 1,380 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y462 | DLY CHINBR3X NEW | 100 | $2,000 | thousands by filing date | |
| CERES INC | 156773103 | COM | 5,200 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288232 | S&P NUCIDX ETF | 40 | $2,000 | thousands by filing date | |
| ISHARES TR | 46432FAD9 | 2016 INVTGR BD | 24 | $2,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 104 | $2,000 | thousands by filing date | |
| STANDARD REGISTER CO | 853887206 | COM | 440 | $2,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 112 | $2,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 6,573 | $2,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 400 | $2,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 178 | $2,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A113 | WTS | 35 | $2,000 | thousands by filing date | |
| MADISON COUNTY FINANCIAL INC | 556777100 | COM | 97 | $2,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 365 | $2,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 245 | $2,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 279 | $2,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 1,013 | $2,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R308 | COM NEW | 1,131 | $2,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 436 | $2,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C303 | COM NEW | 1,199 | $2,000 | thousands by filing date | |
| Ivanhoe Energy Inc | 465790509 | Common Stock | 1,345 | $2,000 | thousands by filing date | |
| SUNGY MOBILE LTD | 86737M100 | ADR | 325 | $2,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 3,354 | $2,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 100 | $1,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 1,099 | $1,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 52 | $1,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 108 | $1,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 54 | $1,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 186 | $1,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 135 | $1,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 250 | $1,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 155 | $1,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 107 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 25 | $1,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 65 | $1,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 131 | $1,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 17 | $1,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 100 | $1,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 238 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-14-000486 | this filing | 2014-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-14-000526 | base | 2014-12-16 | acceptance time not in the bulk data set |