13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-15, with 5,931 holding rows worth $140,775,240,000.
- Accession
- 0000948046-14-000057
- Filer
- CIK 948046
- Filed
- 2014-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 17,093 entries on the cover page, a total value of $140,775,240,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $140,775,240,000 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 Kapitalanagegessellschaft mbH028-13920
- included managerSAL Oppenheim Jr. & Cie.AG & Co.KGaA028-13922
- included managerFrankfurt-Trust Invest Luxembourg AG028-13918
- included managerFrankfurt-Trust Investment Gesellschaft mit beschrankter Haftung028-13919
- included managerAbbey Life Assurance Co Ltd.028-13916
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 |
|---|---|---|---|---|---|---|
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 3,874 | $55,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 2,750 | $55,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,688 | $55,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 905 | $55,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 1,750 | $55,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 7,827 | $55,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 14,704 | $55,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 8,082 | $55,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 13,803 | $55,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355AK4 | NOTE 10.000% 6/0 DELETED | 440,000 | $55,000 | thousands by filing date | principal |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 17,874 | $54,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 19,020 | $54,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 579 | $54,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 4,663 | $54,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 2,000 | $54,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 12,968 | $54,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 2,250 | $54,000 | thousands by filing date | |
| CONSTELLATION ENERGY PRTNR L | 21038E101 | COM UNIT LLC B | 20,900 | $54,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 2,500 | $54,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 12,200 | $54,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 1,851 | $54,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 1,575 | $53,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 851 | $53,000 | thousands by filing date | call |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 2,794 | $53,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 5,297 | $53,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 50,000 | $53,000 | thousands by filing date | principal |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 6,805 | $53,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 7,576 | $52,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 2,430 | $52,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 4,142 | $52,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 3,030 | $52,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 2,930 | $52,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 1,150 | $52,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 9,233 | $52,000 | thousands by filing date | |
| CRUMBS BAKE SHOP | 228803102 | COM | 86,630 | $52,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 81,758 | $52,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 14,524 | $51,000 | thousands by filing date | call |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 4,394 | $51,000 | thousands by filing date | put |
| BIOTELEMETRY INC | 090672106 | COM | 5,078 | $51,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 2,500 | $51,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 4,000 | $51,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 14,850 | $51,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,527 | $51,000 | thousands by filing date | |
| FIRST FED NORTHN MICH BANCOR | 32021X105 | COM | 10,300 | $51,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 2,972 | $50,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 5,000 | $50,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 1,000 | $50,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 14,900 | $50,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 1,400 | $50,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 1,000 | $50,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 7,208 | $50,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 7,654 | $50,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 1,850 | $50,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 6,696 | $50,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 7,848 | $50,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 11,709 | $49,000 | thousands by filing date | put |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 6,392 | $49,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 1,400 | $49,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 500 | $49,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 36,743 | $49,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 2,400 | $49,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 3,875 | $48,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 5,100 | $48,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 3,146 | $48,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 600 | $48,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 1,735 | $48,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 4,456 | $48,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 9,455 | $48,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 2,969 | $48,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 37,677 | $48,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 1,200 | $48,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 7,299 | $48,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 2,776 | $48,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 16,252 | $48,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 13,728 | $47,000 | thousands by filing date | call |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 3,830 | $47,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 17,598 | $47,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 8,684 | $47,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 15,450 | $47,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 1,909 | $46,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 3,350 | $46,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 2,047 | $46,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 7,772 | $46,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 90,005 | $46,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 3,350 | $46,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 12,004 | $46,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 754 | $45,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 1,717 | $45,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 2,050 | $45,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 13,678 | $45,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 797 | $45,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 7,000 | $45,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 12,302 | $45,000 | thousands by filing date | |
| NASB FINANCIAL INC | 628968109 | COM | 1,817 | $45,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 765 | $44,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 9,885 | $44,000 | thousands by filing date | call |
| HERON THERAPEUTICS INC | 427746102 | COM | 3,213 | $44,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $44,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 4,474 | $44,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 15,371 | $44,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 2,500 | $44,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 26,437 | $43,000 | thousands by filing date | call |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 3,578 | $43,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 18,220 | $43,000 | thousands by filing date | put |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 1,360 | $43,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 76,597 | $43,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 8,180 | $43,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 29,442 | $43,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 5,977 | $43,000 | thousands by filing date | |
| Janus Velocity Tail Risk Hdgd Lg Cp ETF | 00162Q817 | com | 1,600 | $43,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 84,004 | $42,000 | thousands by filing date | call |
| INVESCO SR INCOME TR | 46131H107 | COM | 8,450 | $42,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 6,878 | $42,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 600 | $42,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 10,000 | $42,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 20,306 | $42,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 30,438 | $42,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 40,000 | $42,000 | thousands by filing date | principal |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,920 | $41,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 3,000 | $41,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 2,250 | $41,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 2,699 | $41,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 2,825 | $41,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 4,675 | $41,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 5,432 | $41,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 6,114 | $41,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 900 | $41,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,540 | $41,000 | thousands by filing date | |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 900 | $41,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP | 14056V113 | W | 102,331 | $41,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 44,611 | $40,000 | thousands by filing date | call |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 2,699 | $40,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 3,000 | $40,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 19,648 | $40,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 6,972 | $40,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 5,216 | $40,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,750 | $40,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,442 | $40,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 5,736 | $40,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 28,000 | $40,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 1,500 | $40,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 700 | $40,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 1,000 | $40,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 500 | $40,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,989 | $40,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 800 | $40,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 1,170 | $39,000 | thousands by filing date | |
| ACTAVIS PLC | G0083B108 | SHS | 6,500 | $39,000 | thousands by filing date | call |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 3,554 | $39,000 | thousands by filing date | |
| INFINITY CROSS BORDER ACQUIS | G4772R101 | SHS | 56,500 | $39,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 2,721 | $39,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 11,598 | $38,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 3,738 | $38,000 | thousands by filing date | call |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 39,200 | $38,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 8,572 | $38,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 3,000 | $38,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 7,496 | $38,000 | thousands by filing date | |
| Lihua International Inc. | 532352101 | COM | 7,826 | $38,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 7,604 | $38,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 1,200 | $38,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 15,022 | $37,000 | thousands by filing date | call |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 1,976 | $37,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 3,700 | $37,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,693 | $37,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 12,163 | $37,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 4,078 | $37,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 1,369 | $37,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 1,818 | $37,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 9,658 | $37,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 300 | $36,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 896 | $36,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 700 | $36,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 5,163 | $36,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 3,868 | $36,000 | thousands by filing date | put |
| STEALTHGAS INC | Y81669106 | COM | 3,181 | $36,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 2,156 | $36,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 2,823 | $36,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 3,721 | $36,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 1,850 | $35,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 575 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 1,096 | $35,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 4,741 | $35,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 2,000 | $35,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 1,841 | $35,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,206 | $35,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 8,264 | $35,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 290 | $35,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 580,973 | $35,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 2,420 | $35,000 | thousands by filing date | |
| NORCRAFT COS INC | 65557Y105 | COM | 2,182 | $35,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 408 | $34,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 28,981 | $34,000 | thousands by filing date | put |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 447 | $34,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 14,374 | $34,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 4,748 | $34,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 400 | $34,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 16,134 | $34,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 988 | $34,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 8,400 | $34,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 500 | $34,000 | thousands by filing date | |
| REVETT MINERALS INC | 761505205 | COM NEW | 43,549 | $34,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,368 | $33,000 | thousands by filing date | put |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 63,750 | $33,000 | thousands by filing date | call |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 4,600 | $33,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 22,430 | $33,000 | thousands by filing date | principal |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 3,593 | $32,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 22,000 | $32,000 | thousands by filing date | put |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,500 | $32,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 2,924 | $32,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 2,000 | $32,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 7,823 | $32,000 | thousands by filing date | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 4,124 | $32,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 3,900 | $32,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 1,000 | $32,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 25,544 | $31,000 | thousands by filing date | call |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 710 | $31,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 3,108 | $31,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 11,947 | $31,000 | thousands by filing date | call |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,923 | $31,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 9,047 | $31,000 | thousands by filing date | call |
| MESA RTY TR | 590660106 | UNIT BEN INT | 1,200 | $31,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 1,000 | $31,000 | thousands by filing date | |
| FISHER ENHANCED BIG CAP GROWTH ETN(FBG) | 90267L508 | ETF | 670 | $31,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 1,906 | $30,000 | thousands by filing date | call |
| LULULEMON ATHLETICA INC | 550021109 | COM | 7,334 | $30,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 19,023 | $30,000 | thousands by filing date | put |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 1,151 | $30,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 2,144 | $30,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 9,700 | $30,000 | thousands by filing date | call |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 9,769 | $30,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 1,216 | $30,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 910 | $30,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 1,000 | $30,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 20,100 | $29,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 3,000 | $29,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 2,160 | $29,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 19,038 | $29,000 | thousands by filing date | put |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 2,549 | $29,000 | thousands by filing date | |
| MAVENIR SYS INC | 577675101 | COM | 1,654 | $29,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 1,280 | $29,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 700 | $28,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 13,766 | $28,000 | thousands by filing date | put |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 24,113 | $28,000 | thousands by filing date | call |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 3,503 | $28,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,798 | $28,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 2,450 | $28,000 | thousands by filing date | call |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 1,000 | $28,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 1,500 | $28,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 475 | $28,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 242 | $27,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 331 | $27,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 4,100 | $27,000 | thousands by filing date | call |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 2,157 | $27,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,607 | $27,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 200 | $27,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,381 | $27,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 7,610 | $27,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 650 | $27,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,000 | $27,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 2,160 | $26,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 21,103 | $26,000 | thousands by filing date | put |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 5,113 | $26,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 13,600 | $26,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 17,200 | $26,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 1,794 | $26,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 4,269 | $26,000 | thousands by filing date | put |
| MTR GAMING GROUP INC | 553769100 | COM | 5,129 | $26,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 1,899 | $26,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 4,355 | $26,000 | thousands by filing date | |
| CTPARTNERS EXECUTIVE SEARCH IN | 22945C105 | COMM STK | 2,400 | $26,000 | thousands by filing date | |
| SELECTICA INC | 816288203 | COM | 4,000 | $26,000 | thousands by filing date | |
| CIS ACQUISITION LTD | G21490506 | UNIT 99/99/9999 | 2,600 | $26,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,575 | $25,000 | thousands by filing date | put |
| Union Pacific Corporation | 907818108 | COM | 1,350 | $25,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 5,735 | $25,000 | thousands by filing date | put |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 6,610 | $25,000 | thousands by filing date | call |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 1,525 | $25,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 2,550 | $25,000 | thousands by filing date | call |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 26,211 | $25,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 7,670 | $25,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 1,595 | $25,000 | thousands by filing date | |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| RF MICRO DEVICES INC | 749941AJ9 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 5,035 | $25,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,900 | $24,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 1,335 | $24,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 1,963 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 500 | $24,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 400 | $24,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 400 | $24,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,000 | $24,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 6,300 | $24,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 8,606 | $24,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 1,342 | $24,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 3,821 | $24,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 2,673 | $24,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 12,305 | $23,000 | thousands by filing date | call |
| Intel Corp | 458140100 | COM | 13,900 | $23,000 | thousands by filing date | put |
| JPMorgan Chase & Co | 46625H100 | COM | 5,140 | $23,000 | thousands by filing date | call |
| NEWMONT CORP | 651639106 | COM | 7,700 | $23,000 | thousands by filing date | put |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,276 | $23,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 1,005,150 | $23,000 | thousands by filing date | call |
| HEWLETT PACKARD CO | 428236103 | COM | 8,737 | $23,000 | thousands by filing date | call |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 2,400 | $23,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 4,082 | $23,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 4,206 | $23,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 700 | $23,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 2,900 | $23,000 | thousands by filing date | |
| AMBOW ED HLDG LTD | 02322P101 | ADR REPSTG CL A | 39,762 | $23,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 4,101 | $23,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 2,012 | $23,000 | thousands by filing date | |
| SILVER EAGLE ACQUISITION | 827694118 | W | 35,740 | $23,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 3,334 | $22,000 | thousands by filing date | call |
| Coca-Cola Company | 191216100 | COM | 2,500 | $22,000 | thousands by filing date | put |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 500 | $22,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 1,099 | $22,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 5,000 | $22,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 1,357 | $22,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 25,000 | $22,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 6,221 | $22,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,587 | $21,000 | thousands by filing date | call |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 500 | $21,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 246 | $21,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 1,616 | $21,000 | thousands by filing date | call |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 3,311 | $21,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 7,100 | $21,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,800 | $21,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,650 | $21,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 2,443 | $21,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 6,102 | $21,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 1,273 | $21,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 14,400 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 597 | $21,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 725 | $21,000 | thousands by filing date | |
| KEATING CAPITAL INC | 48722R106 | COM | 3,498 | $21,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H459 | PS CMDT LG ETN | 1,253 | $21,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 4,651 | $21,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 2,987 | $21,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,600 | $20,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 146,001 | $20,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 3,363 | $20,000 | thousands by filing date | call |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 2,100 | $20,000 | thousands by filing date | |
| BROOKFIELD OFFICE PPTYS INC | 112900105 | COM | 1,134 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 600 | $20,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 17,502 | $20,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 7,600 | $20,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 1,333 | $20,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 250 | $20,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,184 | $20,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 798 | $20,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 12,808 | $20,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 2,606 | $20,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U404 | COM PAR$ | 4,764 | $20,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 8,760 | $19,000 | thousands by filing date | call |
| Starbucks Corporation | 855244109 | COM | 9,880 | $19,000 | thousands by filing date | call |
| EOG RES INC COM | 26875P101 | Stock | 1,282 | $19,000 | thousands by filing date | call |
| HALLIBURTON CO COM | 406216101 | Stock | 45,149 | $19,000 | thousands by filing date | call |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 904 | $19,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 1,000 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 400 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 500 | $19,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 7,000 | $19,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 5,160 | $19,000 | thousands by filing date | call |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1,601 | $19,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,133 | $19,000 | thousands by filing date | |
| NEW SOURCE ENERGY PARTNERS L | 64881E109 | CMN | 861 | $19,000 | thousands by filing date | |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q114 | *W EXP 12/17/201 | 45,600 | $19,000 | thousands by filing date | |
| ZALICUS INC | 98887C204 | COM | 16,022 | $19,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 17,334 | $18,000 | thousands by filing date | call |
| DOLLAR GEN CORP COM | 256677105 | Stock | 40,226 | $18,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,367 | $18,000 | thousands by filing date | call |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 2,000 | $18,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 1,576 | $18,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 2,000 | $18,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 3,000 | $18,000 | thousands by filing date | put |
| AGENUS INC | 00847G705 | COM NEW | 5,799 | $18,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 1,354 | $18,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 1,800 | $18,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 2,300 | $18,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 6,519 | $18,000 | thousands by filing date | call |
| CAMERON INTERNATIONAL CORP | 13342B105 | COM | 3,299 | $18,000 | thousands by filing date | call |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 400 | $18,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 20,000 | $18,000 | thousands by filing date | principal |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 10,909 | $18,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 3,236 | $18,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 6,546 | $18,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 500 | $18,000 | thousands by filing date | |
| CELLADON CORP | 15117E107 | Cmn | 1,603 | $18,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 9,181 | $17,000 | thousands by filing date | call |
| USBANCORPDEL | 902973304 | COM NEW | 18,479 | $17,000 | thousands by filing date | call |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 17,631 | $17,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 11,759 | $17,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 200 | $17,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,800 | $17,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 1,550 | $17,000 | thousands by filing date | |
| Exceed Company Ltd Shs ISIN | G32335104 | COM | 9,789 | $17,000 | thousands by filing date | |
| CIS ACQUISITION LTD | G21490118 | *W EXP 99/99/999 | 89,749 | $17,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 1,113 | $17,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 960 | $17,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 1,134 | $17,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,124 | $16,000 | thousands by filing date | call |
| Citigroup Inc. | 172967424 | COM | 9,200 | $16,000 | thousands by filing date | put |
| AVIS BUDGET GROUP INC | 053774105 | COM | 1,000 | $16,000 | thousands by filing date | call |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 11,315,385 | $16,000 | thousands by filing date | put |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,527 | $16,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,491 | $16,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 600 | $16,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,700 | $16,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 650 | $16,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,748 | $16,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 5,175 | $16,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 6,098 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 600 | $16,000 | thousands by filing date | |
| NUVEEN CA INVT QUALITY MUN F | 67062A101 | COM | 1,200 | $16,000 | thousands by filing date | |
| LCA-VISION INC | 501803308 | COM | 3,086 | $16,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 1,000 | $16,000 | thousands by filing date | |
| CHINA GERUI ADVANCED MATERIA | G21101103 | CMN | 14,523 | $16,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 400 | $15,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 6,146 | $15,000 | thousands by filing date | call |
| GENPACT LIMITED SHS | G3922B107 | Stock | 5,500 | $15,000 | thousands by filing date | put |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 1,701 | $15,000 | thousands by filing date | call |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 927 | $15,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 1,148 | $15,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 700 | $15,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 155 | $15,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 3,320 | $15,000 | thousands by filing date | call |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 1,275 | $15,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 1,909 | $15,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 3,553 | $15,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 400 | $15,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 900 | $15,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 1,005 | $14,000 | thousands by filing date | call |
| WALGREEN CO | 931422109 | COM | 13,957 | $14,000 | thousands by filing date | call |
| CUMMINS INC COM | 231021106 | Stock | 540 | $14,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 16,626 | $14,000 | thousands by filing date | put |
| PRICELINE GRP INC | 741503403 | COM NEW | 121 | $14,000 | thousands by filing date | put |
| CELGENE CORP | 151020104 | COM | 516 | $14,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 750 | $14,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 6,214 | $14,000 | thousands by filing date | call |
| OCWEN FINL CORP | 675746309 | COM NEW | 3,855 | $14,000 | thousands by filing date | call |
| INVENSENSE INC | 46123D205 | COM | 2,075 | $14,000 | thousands by filing date | call |
| THORATEC CORP | 885175307 | COM | 2,208 | $14,000 | thousands by filing date | call |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 800 | $14,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 11,058 | $14,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 2,075 | $14,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 9,000 | $14,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 436 | $13,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 8,182 | $13,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 4,160 | $13,000 | thousands by filing date | call |
| EXXON MOBIL CORP | 30231G102 | COM | 8,201 | $13,000 | thousands by filing date | put |
| EXXON MOBIL CORP | 30231G102 | COM | 2,914 | $13,000 | thousands by filing date | call |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 119 | $13,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 1,980 | $13,000 | thousands by filing date | call |
| HASBRO INC COM | 418056107 | Stock | 5,066 | $13,000 | thousands by filing date | call |
| LENNAR CORP CL A | 526057104 | Stock | 1,737 | $13,000 | thousands by filing date | call |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 92 | $13,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,832 | $13,000 | thousands by filing date | call |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 1,100 | $13,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 437 | $13,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 757 | $13,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 988 | $13,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 935 | $13,000 | thousands by filing date | call |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 3,347 | $13,000 | thousands by filing date | call |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,050 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 8,695 | $13,000 | thousands by filing date | put |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 1,400 | $13,000 | thousands by filing date | put |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 291 | $13,000 | thousands by filing date | |
| PARAMETRIC SOUND CORP | 699172201 | COM NEW | 958 | $13,000 | thousands by filing date | |
| SMARTPROS LTD | 83171G103 | COM | 5,832 | $13,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 500 | $13,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 200 | $13,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 10,000 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 3,000 | $13,000 | thousands by filing date | put |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 2,800 | $12,000 | thousands by filing date | call |
| Honeywell Technologies | 438516106 | COM | 1,926 | $12,000 | thousands by filing date | call |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 150 | $12,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 18,405 | $12,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 900 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 250 | $12,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 3,839 | $12,000 | thousands by filing date | put |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 800 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 600 | $12,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 800 | $12,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 5,996 | $12,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 31,620 | $12,000 | thousands by filing date | call |
| PROSHARES | 74347R503 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 400 | $12,000 | thousands by filing date | put |
| ALLERGAN INC | 018490102 | COM | 541 | $12,000 | thousands by filing date | call |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 6,941 | $12,000 | thousands by filing date | call |
| NAM TAI ELECTRS INC | 629865205 | COM PAR $0.02 | 2,200 | $12,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,513 | $12,000 | thousands by filing date | |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 688 | $12,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 6,955 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 450 | $12,000 | thousands by filing date | |
| Colonial Financial Services, Inc. | 19566B101 | Common Stock | 1,155 | $12,000 | thousands by filing date | |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 7,050 | $12,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 5,032 | $11,000 | thousands by filing date | put |
| Schlumberger Limited | 806857108 | COM | 3,321 | $11,000 | thousands by filing date | call |
| OCCIDENTAL PETE CORP | 674599105 | COM | 3,607 | $11,000 | thousands by filing date | call |
| PULTE GROUP INC COM | 745867101 | Stock | 50,972 | $11,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-14-000057 | this filing | 2014-05-15 | acceptance time not in the bulk data set |