13F-HR/A filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR/A for the quarter ended 2013-12-31, filed 2014-02-24, with 5,851 holding rows worth $139,106,013,000.
- Accession
- 0000948046-14-000045
- Filer
- CIK 948046
- Filed
- 2014-02-24
- 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, amendment of type restatement, 17,152 entries on the cover page, a total value of $139,106,013,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $139,106,013,000 with VALUE read as thousands by filing date, 13F file number 028-10103. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerDeutsche Bank Trust Co Americas028-13777
- included managerBT ALEX BROWN INC /028-05033
- included managerDWS Investment GmbH028-10152
- included managerDEUTSCHE ASSET MANAGEMENT LTD028-10154
- included managerDeutsche Asset Management Investmentgesellshaft028-10155
- included managerDEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC028-10249
- included managerRREEF AMERICA LLC028-04760
- included managerDeutsche Asset Management Schwiez028-11401
- included managerDEUTSCHE BANK NATIONAL TRUST CO028-11997
- included managerDeutsche Bank Trust CO Delaware028-11998
- included managerDeutsche Bank Trust Company, National Association028-12000
- included managerOppenheim Asset Management Services S.a.r.l028-13923
- included managerOppenheim Kapitalanagegessellschaft mbH028-13920
- included managerFrankfurt-Trust Invest Luxembourg AG028-13918
- included managerFrankfurt-Trust Investment Gesellschaft mit beschrankter Haftung028-13919
- included managerAbbey Life Assurance Co Ltd.028-13916
- included managerPharma/Wealth Management Co S.A028-13921
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 |
|---|---|---|---|---|---|---|
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 110,000 | $115,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 1,702 | $114,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 1,661 | $113,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 11,184 | $113,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 17,200 | $113,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 4,667 | $113,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 14,812 | $113,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 21,905 | $113,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 6,180 | $112,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 4,339 | $111,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 11,909 | $111,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 5,517 | $110,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 9,791 | $110,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 5,000 | $110,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 4,405 | $110,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 108,000 | $110,000 | thousands by filing date | principal |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 5,621 | $110,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 81,758 | $110,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 59,517 | $109,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 55,000 | $108,000 | thousands by filing date | principal |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 6,307 | $107,000 | thousands by filing date | put |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 6,156 | $107,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 24,657 | $107,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 2,258 | $107,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 7,549 | $106,000 | thousands by filing date | |
| AMBASSADORS GROUP INC | 023177108 | COM | 22,987 | $106,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 75,852 | $106,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 3,975 | $106,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 4,494 | $106,000 | thousands by filing date | |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 100,000 | $106,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 3,710 | $105,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 5,885 | $105,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 6,599 | $105,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 2,050 | $105,000 | thousands by filing date | |
| Susser Petroleum Partners, LP | 869239103 | LTD | 3,184 | $105,000 | thousands by filing date | |
| CBEYOND INC | 149847105 | COM | 15,300 | $105,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 6,125 | $104,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 12,699 | $104,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 4,130 | $104,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 5,172 | $103,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 62,000 | $103,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 4,377 | $103,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 100,000 | $103,000 | thousands by filing date | principal |
| DICE HOLDINGS INC | 253017107 | COM | 14,339 | $103,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 12,910 | $102,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 8,290 | $102,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 8,863 | $102,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 5,226 | $102,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 2,000 | $101,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 3,764 | $101,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 2,037 | $101,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 7,400 | $101,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 3,100 | $101,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 343 | $101,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 7,350 | $101,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 2,850 | $101,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,200 | $100,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 10,000 | $100,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 3,057 | $100,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 14,123 | $100,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 14,207 | $100,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 3,718 | $100,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 10,500 | $99,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 2,202 | $99,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 100,000 | $99,000 | thousands by filing date | principal |
| Galena Biopharma Inc | 363256108 | COM | 20,108 | $99,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 3,520 | $98,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 15,002 | $98,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 5,567 | $98,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 12,940 | $98,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 6,123 | $97,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 1,054 | $97,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 1,136 | $97,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 12,258 | $97,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 10,087 | $97,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 5,750 | $96,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 1,417 | $96,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 79,123 | $96,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 8,070 | $95,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 10,936 | $95,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 5,520 | $94,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 10,528 | $94,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 23,891 | $94,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 14,999 | $94,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 8,623 | $93,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 26,484 | $93,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 26,664 | $93,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 4,800 | $93,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 5,135 | $93,000 | thousands by filing date | |
| HICKORYTECH CORP | 429060106 | COM | 7,278 | $93,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 908 | $92,000 | thousands by filing date | |
| FLOW INTL CORP | 343468104 | COM | 23,029 | $92,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 11,898 | $92,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 4,176 | $91,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 5,799 | $91,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 6,300 | $91,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 11,435 | $91,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 177,692 | $91,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 7,368 | $91,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 5,868 | $91,000 | thousands by filing date | |
| COLLABRIUM JAPAN ACQUISITN C | G2266G128 | UNIT 99/99/9999 | 8,564 | $91,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 5,472 | $90,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 17,126 | $90,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 11,200 | $90,000 | thousands by filing date | |
| Call - MTB $73.86 Exp 12/23/2018 | 55261F112 | Warrants | 2,100 | $90,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 5,301 | $89,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 17,501 | $89,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 725 | $89,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 100,000 | $89,000 | thousands by filing date | principal |
| PAMT CORP | 693149106 | COMMON STOCK | 4,248 | $88,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 21,040 | $87,000 | thousands by filing date | call |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 5,904 | $87,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 9,170 | $87,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 16,951 | $87,000 | thousands by filing date | |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 4,781 | $87,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 6,069 | $86,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 2,905 | $86,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 700 | $85,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 4,396 | $85,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 1,398 | $85,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,816 | $85,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 5,764 | $85,000 | thousands by filing date | |
| RECEPTOS, INC. | 756207106 | COMMON STOCK | 2,947 | $85,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 45,071 | $85,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 10,137 | $85,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 744 | $84,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 11,640 | $84,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 19,239 | $84,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 6,447 | $84,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 77,112 | $84,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 2,021 | $84,000 | thousands by filing date | |
| TECHE HLDG CO | 878330109 | COM | 1,704 | $84,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 2,469 | $84,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 6,197 | $83,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 3,208 | $83,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 6,843 | $83,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 2,807 | $82,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 7,150 | $82,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 4,600 | $82,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 2,200 | $82,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 1,650 | $82,000 | thousands by filing date | |
| DOLLAR FINANCIAL CORP 2.875% CB 6/30/2027 - REGIST | 256664AB9 | Bond | 85,000 | $82,000 | thousands by filing date | principal |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 7,600 | $82,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 12,362 | $81,000 | thousands by filing date | call |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 16,109 | $81,000 | thousands by filing date | |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 4,067 | $81,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 69,933 | $81,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 57,200 | $81,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 91,700 | $80,000 | thousands by filing date | call |
| Heritage Commerce Corp | 426927109 | Common Stock | 9,788 | $80,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 3,365 | $80,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 46,268 | $80,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 19,933 | $79,000 | thousands by filing date | put |
| ARGAN INC | 04010E109 | COM | 2,888 | $79,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 17,200 | $79,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 3,473 | $79,000 | thousands by filing date | |
| MAGNETEK INC | 559424403 | COMMON STOCK | 3,300 | $79,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 1,303 | $79,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 1,700 | $79,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 2,700 | $78,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 1,725 | $78,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 5,440 | $78,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 7,944 | $78,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 7,750 | $78,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 2,293 | $77,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 6,788 | $77,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 38,655 | $77,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 1,400 | $77,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 2,059 | $77,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 241,097 | $77,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 1,550 | $77,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 7,303 | $76,000 | thousands by filing date | call |
| ARBOR REALTY TRUST INC | 038923108 | COM | 11,537 | $76,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 3,696 | $76,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 4,810 | $76,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 10,122 | $76,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 2,088 | $76,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 41,460 | $76,000 | thousands by filing date | |
| CHART ACQUISITION CORP | 161151113 | *W EXP 12/19/201 | 153,998 | $76,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 14,567 | $76,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 27,125 | $75,000 | thousands by filing date | put |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 4,825 | $75,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 3,286 | $75,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 49,611 | $74,000 | thousands by filing date | call |
| GRAHAM CORP | 384556106 | COM | 2,054 | $74,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 840 | $74,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 4,350 | $74,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 2,800 | $74,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 750 | $73,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 2,691 | $73,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 3,715 | $73,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 3,169 | $73,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 37,514 | $73,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 210,600 | $73,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 2,172 | $72,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 3,357 | $72,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 11,776 | $72,000 | thousands by filing date | call |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 4,602 | $72,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 31,204 | $72,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 11,335 | $71,000 | thousands by filing date | call |
| TRAVELZOO | 89421Q205 | CMN | 3,373 | $71,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 3,500 | $71,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 15,224 | $71,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 35,873 | $71,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 23,139 | $71,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 35,662 | $70,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 1,238 | $70,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 1,672 | $70,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 11,750 | $70,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 64,000 | $70,000 | thousands by filing date | principal |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 8,518 | $69,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 3,515 | $69,000 | thousands by filing date | |
| AQUASITION CORP | Y0192H111 | *W EXP 99/99/999 | 297,831 | $69,000 | thousands by filing date | |
| Albany Molecular Research Conv | 012423AA7 | CONV | 75,000 | $69,000 | thousands by filing date | principal |
| Bristol-Myers Squibb Company | 110122108 | COM | 8,359 | $68,000 | thousands by filing date | call |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 8,474 | $68,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 8,092 | $68,000 | thousands by filing date | call |
| MOSYS INC COM | 619718109 | COM | 12,606 | $68,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 6,826 | $68,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 18,380 | $67,000 | thousands by filing date | call |
| ENERGY FUELS INC | 292671708 | COM NEW | 11,800 | $67,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 9,548 | $67,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 2,600 | $67,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 1,860 | $67,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 4,800 | $67,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 22,083 | $67,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 4,224 | $66,000 | thousands by filing date | put |
| RADIAN GROUP INC COM | 750236101 | Stock | 18,467 | $66,000 | thousands by filing date | call |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 3,300 | $66,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 1,500 | $66,000 | thousands by filing date | |
| CRUMBS BAKE SHOP | 228803102 | COM | 82,014 | $66,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 1,700 | $65,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 11,721 | $65,000 | thousands by filing date | call |
| CASELLA WASTE SYS INC | 147448104 | CL A | 11,261 | $65,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 2,100 | $65,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 4,034 | $65,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 2,818 | $65,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 1,296 | $65,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,426 | $65,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 11,994 | $64,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 3,700 | $64,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 7,236 | $64,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,668 | $64,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 3,640 | $64,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 1,402 | $64,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 5,634 | $64,000 | thousands by filing date | call |
| Transition Therapeutics, Inc. | 893716209 | COM | 11,260 | $64,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 4,637 | $64,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 13,970 | $64,000 | thousands by filing date | |
| ZALECORPNEW | 988858106 | COM | 4,048 | $63,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 3,670 | $63,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 1,270 | $63,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 3,700 | $63,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 2,821 | $63,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 1,200 | $63,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 2,250 | $63,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 8,819 | $63,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 7,821 | $63,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 8,208 | $63,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 4,609 | $63,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 14,503 | $63,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 8,853 | $63,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 1,800 | $63,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 51,587 | $63,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 6,101 | $62,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 2,137 | $62,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 2,000 | $62,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 60,879 | $62,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 4,145 | $62,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 112,800 | $62,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 11,334 | $62,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 1,570 | $62,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 2,800 | $62,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 4,385 | $62,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 1,510 | $61,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 5,650 | $61,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 4,513 | $61,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 6,500 | $61,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 6,567 | $61,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 1,200 | $61,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 7,225 | $61,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 60,000 | $61,000 | thousands by filing date | principal |
| CAFEPRESS INC | 12769A103 | COM | 9,722 | $61,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 22,700 | $60,000 | thousands by filing date | call |
| ASTA FUNDING INC | 046220109 | COM | 7,238 | $60,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 2,500 | $60,000 | thousands by filing date | |
| KOFAX LTD | G5307C105 | COM USD | 8,079 | $60,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 33,228 | $59,000 | thousands by filing date | put |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 10,278 | $59,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,569 | $59,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AE1 | DBCV 5.500%10/1 | 30,000 | $59,000 | thousands by filing date | principal |
| BOINGO WIRELESS INC | 09739C102 | COM | 9,300 | $59,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 59,500 | $59,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 3,620 | $59,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 2,125 | $59,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 815 | $58,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 3,328 | $58,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 24,778 | $57,000 | thousands by filing date | call |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 7,688 | $57,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 2,000 | $57,000 | thousands by filing date | call |
| CITIZENS INC | 174740100 | COMMON STOCK | 6,580 | $57,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,700 | $57,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 3,031 | $57,000 | thousands by filing date | put |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 3,582 | $57,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 1,399 | $57,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 38,000 | $57,000 | thousands by filing date | principal |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 37,200 | $56,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 1,660 | $56,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 1,100 | $56,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 4,935 | $56,000 | thousands by filing date | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 6,627 | $56,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 2,000 | $56,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 5,574 | $55,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 2,050 | $55,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 8,465 | $55,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 22,780 | $55,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 8,482 | $55,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 6,136 | $55,000 | thousands by filing date | |
| FIRST FED NORTHN MICH BANCOR | 32021X105 | COM | 10,300 | $55,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 13,280 | $55,000 | thousands by filing date | |
| Cogo Group, Inc. | G9363W104 | COM | 23,800 | $55,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 4,308 | $54,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 2,794 | $54,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 2,629 | $54,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 7,530 | $54,000 | thousands by filing date | |
| DOLAN CO/THE | 25659P402 | COM | 79,432 | $54,000 | thousands by filing date | |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 1,500 | $54,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 2,000 | $54,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 7,785 | $54,000 | thousands by filing date | |
| NUVEEN CA INVT QUALITY MUN F | 67062A101 | COM | 4,200 | $54,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 4,805 | $54,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 8,302 | $53,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 1,666 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 2,430 | $52,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 1,575 | $52,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 8,825 | $52,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 3,054 | $52,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 6,804 | $52,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 14,620 | $52,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 13,890 | $52,000 | thousands by filing date | call |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 1,150 | $52,000 | thousands by filing date | |
| KEATING CAPITAL INC | 48722R106 | COM | 8,598 | $52,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 25,131 | $51,000 | thousands by filing date | put |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 1,166 | $51,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 50,000 | $51,000 | thousands by filing date | principal |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 2,250 | $51,000 | thousands by filing date | |
| REVETT MINERALS INC | 761505205 | COM NEW | 71,049 | $51,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 1,500 | $51,000 | thousands by filing date | |
| MANDALAY DIGITAL GROUP INC | 562562207 | CMN | 19,800 | $51,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 20,117 | $50,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 579 | $50,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 822 | $50,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 2,870 | $50,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,929 | $50,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 1,499 | $50,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 17,000 | $50,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 2,000 | $50,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 2,190 | $50,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 2,393 | $50,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 3,500 | $50,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 3,582 | $50,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 13,650 | $49,000 | thousands by filing date | call |
| Vanguard Energy ETF | 92204A306 | SHS | 395 | $49,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 4,996 | $49,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 5,100 | $49,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 6,100 | $49,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 2,500 | $49,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 5,100 | $49,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 4,613 | $49,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 7,827 | $49,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 18,711 | $49,000 | thousands by filing date | |
| ARABIAN AMERICAN DEVELOPMENT | 038465100 | COM | 4,030 | $49,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 3,400 | $48,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 3,875 | $48,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 2,507 | $48,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 7,014 | $48,000 | thousands by filing date | |
| FIRSTBANK CORPORATION | 33761G104 | COMMON STOCK | 2,500 | $48,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 4,000 | $48,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 6,757 | $48,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 7,570 | $48,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 2,500 | $48,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 3,907 | $47,000 | thousands by filing date | call |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 2,047 | $47,000 | thousands by filing date | |
| AMERICAN PACIFIC CORP | 028740108 | COM | 1,295 | $47,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,300 | $47,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 1,860 | $47,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 500 | $46,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 8,729 | $46,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 7,468 | $46,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 9,710 | $46,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 3,672 | $46,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 3,687 | $46,000 | thousands by filing date | |
| L N B BANCORP INC | 502100100 | COM | 4,658 | $46,000 | thousands by filing date | |
| AMBOW ED HLDG LTD | 02322P101 | ADR REPSTG CL A | 39,762 | $46,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 1,700 | $45,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 9,427 | $45,000 | thousands by filing date | call |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 1,725 | $45,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 1,382 | $45,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 7,901 | $45,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 737 | $45,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 1,674 | $44,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 107,900 | $44,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 3,350 | $44,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 2,419 | $44,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 1,652 | $44,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 3,350 | $44,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 3,736 | $44,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 1,790 | $44,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 3,607 | $44,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 1,700 | $44,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 1,650 | $44,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP | 14056V113 | W | 102,331 | $44,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 511 | $43,000 | thousands by filing date | call |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 765 | $43,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 3,578 | $43,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 4,200 | $43,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 10,000 | $43,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 31,388 | $43,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 7,655 | $43,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 5,371 | $43,000 | thousands by filing date | |
| Janus Velocity Tail Risk Hdgd Lg Cp ETF | 00162Q817 | com | 1,600 | $43,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 8,450 | $42,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 10,869 | $42,000 | thousands by filing date | call |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 746 | $42,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 900 | $42,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 530 | $42,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 6,000 | $42,000 | thousands by filing date | |
| 38259p508 | COM | 2,200 | $42,000 | thousands by filing date | call | |
| MARKETO INC | 57063L107 | COM | 1,143 | $42,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 677 | $42,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 14,628 | $42,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 9,263 | $42,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 537 | $41,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 2,481 | $41,000 | thousands by filing date | call |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $41,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 6,972 | $41,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 3,434 | $41,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 4,301 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 2,396 | $41,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 2,660 | $41,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 3,375 | $41,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 8,521 | $41,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 780 | $41,000 | thousands by filing date | |
| SCHAWK INC | 806373106 | CL A | 2,809 | $41,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 28,694 | $41,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 2,886 | $40,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 10,000 | $40,000 | thousands by filing date | put |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 900 | $40,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 3,769 | $40,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729NBP4 | NOTE 7.000% 3/1 | 30,000 | $40,000 | thousands by filing date | principal |
| PENNEY J C INC | 708160106 | COM | 19,081 | $40,000 | thousands by filing date | put |
| BRIDGE CAP HLDGS | 108030107 | COM | 1,993 | $40,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 4,154 | $40,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,235 | $40,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 3,367 | $39,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,505 | $39,000 | thousands by filing date | call |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 5,760 | $39,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 1,500 | $39,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 5,967 | $39,000 | thousands by filing date | |
| BARRY (R.G.) | 068798107 | COM | 2,109 | $39,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 1,250 | $39,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 7,900 | $38,000 | thousands by filing date | call |
| DAILY JOURNAL CORP | 233912104 | COM | 200 | $38,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 1,341 | $38,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 3,000 | $38,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 2,805 | $38,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 615 | $38,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 2,274 | $38,000 | thousands by filing date | |
| PERRIGO CO PLC F | 714290103 | COM | 250 | $38,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 13,200 | $38,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 1,750 | $38,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 500 | $38,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 54,063 | $37,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 29,091 | $37,000 | thousands by filing date | put |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,975 | $37,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 2,240 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 1,096 | $37,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 25,668 | $37,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 2,797 | $37,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 5,000 | $37,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 6,049 | $37,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 2,450 | $37,000 | thousands by filing date | call |
| MERIDIAN INTERSTAT BANCORP I | 58964Q104 | COM | 1,683 | $37,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,802 | $37,000 | thousands by filing date | |
| ESB FINANCIAL CORP | 26884F102 | COM | 2,660 | $37,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 10,907 | $37,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 4,694 | $37,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 105,275 | $36,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 12,276 | $36,000 | thousands by filing date | call |
| OIL DRI CORP AMER COM | 677864100 | Stock | 968 | $36,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 300 | $36,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 3,984 | $36,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 2,435 | $36,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 9,038 | $36,000 | thousands by filing date | |
| SWS GROUP INC | 78503N107 | COM | 5,973 | $36,000 | thousands by filing date | |
| JTH HLDG INC | 46637N103 | CL A | 1,508 | $36,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 3,798 | $36,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 3,000 | $36,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 9,125 | $36,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 10,171 | $36,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-14-000025 | superseded | 2014-02-18 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000948046-14-000045 | this filing | 2014-02-24 | acceptance time not in the bulk data set |