13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 6,020 holding rows worth $161,060,661,000.
- Accession
- 0000948046-14-000127
- Filer
- CIK 948046
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 18,011 entries on the cover page, a total value of $161,060,661,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $161,060,661,000 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 Investmentgesellshaft028-10155
- included managerDEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC028-10249
- included managerRREEF AMERICA LLC028-04760
- included managerDeutsche Bank (Suisse) SA028-11509
- 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 managerAbbey Life Assurance Co Ltd.028-13916
- included managerDeutsche Asset Management (UK) Ltd028-13988
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 |
|---|---|---|---|---|---|---|
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 5,825 | $101,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 3,215 | $101,000 | thousands by filing date | call |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 15,549 | $101,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 1,150 | $100,000 | thousands by filing date | put |
| AVIS BUDGET GROUP INC | 053774105 | COM | 1,831 | $100,000 | thousands by filing date | call |
| HACKETT GROUP INC | 404609109 | COM | 16,899 | $100,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 6,875 | $100,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 3,142 | $100,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 2,202 | $100,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 11,370 | $100,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y462 | DLY CHINBR3X NEW | 6,000 | $100,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 700 | $99,000 | thousands by filing date | call |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 2,000 | $99,000 | thousands by filing date | call |
| CAPITALA FIN CORP | 14054R106 | COM | 5,600 | $99,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 12,426 | $99,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 3,930 | $98,000 | thousands by filing date | call |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 11,100 | $98,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 14,491 | $98,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 10,200 | $98,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 1,400 | $97,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 16,709 | $97,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 2,937 | $97,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 1,284 | $97,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 1,032 | $97,000 | thousands by filing date | call |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 2,659 | $96,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 1,940 | $96,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 1,481 | $96,000 | thousands by filing date | put |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 16,000 | $96,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 13,510 | $96,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 1,250 | $96,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 6,269 | $96,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 7,216 | $96,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 2,150 | $95,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 15,952 | $95,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 3,430 | $95,000 | thousands by filing date | call |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 6,549 | $95,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 7,324 | $94,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 5,662 | $94,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 10,858 | $94,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 13,624 | $94,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 9,450 | $94,000 | thousands by filing date | call |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 4,200 | $94,000 | thousands by filing date | |
| CELLADON CORP | 15117E107 | Cmn | 9,066 | $94,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 716 | $93,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 5,099 | $93,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 15,738 | $93,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 1,986 | $93,000 | thousands by filing date | call |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 39,585 | $93,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 1,012 | $92,000 | thousands by filing date | call |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 370 | $92,000 | thousands by filing date | call |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 4,779 | $92,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 1,616 | $92,000 | thousands by filing date | call |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 14,322 | $92,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q709 | UNIT 99/99/9999 | 3,416 | $92,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 16,979 | $92,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 1,050 | $91,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 430 | $91,000 | thousands by filing date | put |
| HORIZON BANCORP IND | 440407104 | COM | 4,002 | $91,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 9,890 | $91,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 6,804 | $91,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 13,711 | $91,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 7,897 | $91,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 2,491 | $90,000 | thousands by filing date | call |
| ANGIODYNAMICS INC | 03475V101 | COM | 6,601 | $90,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 1,953 | $90,000 | thousands by filing date | call |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 4,239 | $90,000 | thousands by filing date | call |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 5,000 | $90,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 7,368 | $90,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 950 | $89,000 | thousands by filing date | call |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 2,130 | $89,000 | thousands by filing date | put |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 7,650 | $89,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 1,425 | $89,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 20,023 | $89,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 956 | $89,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 2,458 | $89,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 1,450 | $89,000 | thousands by filing date | put |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 8,654 | $89,000 | thousands by filing date | put |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 9,104 | $89,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 7,102 | $89,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 4,711 | $89,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 6,076 | $89,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 6,805 | $88,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 1,749 | $88,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 8,540 | $88,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 6,373 | $88,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 6,300 | $88,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 8,191 | $88,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 5,768 | $88,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 14,621 | $88,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 17,773 | $88,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 4,000 | $88,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 3,760 | $87,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 6,000 | $87,000 | thousands by filing date | put |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 6,563 | $87,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 3,283 | $87,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 2,231 | $87,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 3,815 | $87,000 | thousands by filing date | call |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 865 | $87,000 | thousands by filing date | put |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 1,048 | $87,000 | thousands by filing date | call |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 23,276 | $87,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 7,550 | $86,000 | thousands by filing date | |
| ISHARES TR | 46429B259 | FINANCIALS SEC | 1,640 | $86,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 8,572 | $85,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 5,022 | $85,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 2,300 | $85,000 | thousands by filing date | put |
| PROSHARES TR | 74347X849 | INDX FD | 3,100 | $85,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 101,800 | $85,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 105,000 | $85,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 16,979 | $85,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 1,954 | $84,000 | thousands by filing date | put |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 1,822 | $84,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 1,940 | $84,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 50,000 | $84,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 2,253 | $84,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 9,500 | $83,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 3,794 | $83,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 3,127 | $83,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 5,000 | $83,000 | thousands by filing date | put |
| QUARTET MERGER CORP RTS | 747717205 | RTS | 97,887 | $83,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 2,998 | $82,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 1,582 | $82,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 5,106 | $82,000 | thousands by filing date | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 25,300 | $81,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 5,765 | $81,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 10,149 | $81,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 2,200 | $81,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 43,072 | $81,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 2,450 | $81,000 | thousands by filing date | call |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 2,100 | $81,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 20,000 | $81,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 1,177 | $80,000 | thousands by filing date | put |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 1,000 | $80,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 8,310 | $80,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 8,821 | $80,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 1,426 | $79,000 | thousands by filing date | call |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 7,200 | $79,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 2,555 | $78,000 | thousands by filing date | call |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 1,163 | $78,000 | thousands by filing date | call |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 5,414 | $78,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 27,550 | $77,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 3,551 | $77,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 1,650 | $77,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 25,521 | $77,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 1,900 | $77,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 2,628 | $76,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 10,348 | $76,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 23,226 | $76,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 4,902 | $76,000 | thousands by filing date | |
| GARNERO GROUP ACQUISITION CO | G5866L108 | SHS | 8,000 | $76,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 1,259 | $75,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 1,059 | $75,000 | thousands by filing date | call |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 12,490 | $75,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 805 | $75,000 | thousands by filing date | call |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 1,050 | $75,000 | thousands by filing date | put |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 14,525 | $75,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 2,100 | $75,000 | thousands by filing date | |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 3,100 | $75,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 22,466 | $75,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 1,668 | $74,000 | thousands by filing date | put |
| AUTODESK INC COM | 052769106 | Stock | 1,361 | $74,000 | thousands by filing date | call |
| BB & T CORP | 054937107 | COM | 1,996 | $74,000 | thousands by filing date | call |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 3,002 | $74,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 4,089 | $74,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 6,002 | $74,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 64,263 | $74,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 1,446 | $74,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 8,000 | $74,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 2,200 | $74,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 3,620 | $73,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 3,948 | $73,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 3,673 | $73,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 4,149 | $73,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 6,688 | $73,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 3,891 | $73,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 2,782 | $72,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 1,123 | $72,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 4,549 | $72,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 5,500 | $72,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 6,500 | $71,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 2,000 | $71,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 3,025 | $71,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 8,974 | $71,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 8,026 | $71,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 2,423 | $71,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 20,000 | $71,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 5,000 | $70,000 | thousands by filing date | call |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 5,000 | $70,000 | thousands by filing date | put |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 3,000 | $70,000 | thousands by filing date | |
| CIVEO CORP | 178787107 | COM | 6,085 | $70,000 | thousands by filing date | call |
| Adobe Inc | 00724F101 | COM | 1,004 | $69,000 | thousands by filing date | call |
| Berkshire Hathaway Inc | 084670702 | COM | 500 | $69,000 | thousands by filing date | put |
| UnitedHealth Group Inc | 91324P102 | COM | 800 | $69,000 | thousands by filing date | put |
| UnitedHealth Group Inc | 91324P102 | COM | 800 | $69,000 | thousands by filing date | call |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 650 | $69,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 7,236 | $69,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 1,499 | $69,000 | thousands by filing date | put |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 1,998 | $69,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 6,191 | $69,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 1,400 | $69,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 400 | $68,000 | thousands by filing date | call |
| MESA LABS INC COM | 59064R109 | Stock | 1,178 | $68,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 950 | $68,000 | thousands by filing date | put |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 900 | $68,000 | thousands by filing date | put |
| TIFFANY & CO NEW | 886547108 | COM | 723 | $68,000 | thousands by filing date | call |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 3,300 | $68,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 2,250 | $68,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 83,516 | $68,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 5,000 | $68,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 3,244 | $68,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 1,500 | $67,000 | thousands by filing date | call |
| MAXLINEAR INC | 57776J100 | COM | 9,931 | $67,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 12,343 | $67,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 6,049 | $67,000 | thousands by filing date | |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 1,400 | $67,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 3,950 | $67,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 1,763 | $66,000 | thousands by filing date | call |
| SEMPRA COM | 816851109 | Stock | 630 | $66,000 | thousands by filing date | call |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 2,632 | $66,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 9,641 | $66,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y439 | DLY TECBEARX NEW | 5,000 | $66,000 | thousands by filing date | put |
| ISHARES TR | 46429B184 | UTILITIES SECT | 1,298 | $66,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 300 | $65,000 | thousands by filing date | put |
| COTERRA ENERGY INC COM | 127097103 | Stock | 2,000 | $65,000 | thousands by filing date | put |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 6,500 | $65,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 3,886 | $65,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 2,701 | $65,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 1,786 | $65,000 | thousands by filing date | call |
| TTOO | 89853L104 | Stock | 3,603 | $65,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 4,454 | $65,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 1,000 | $64,000 | thousands by filing date | put |
| WINMARK CORP | 974250102 | COM | 890 | $64,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 16,407 | $64,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 6,402 | $64,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 8,719 | $64,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 4,990 | $64,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 2,522 | $64,000 | thousands by filing date | put |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 26,508 | $64,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 30,100 | $64,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 784 | $63,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,027 | $63,000 | thousands by filing date | call |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 624 | $63,000 | thousands by filing date | call |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 1,000 | $63,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 3,286 | $63,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 750 | $62,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 1,000 | $62,000 | thousands by filing date | call |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 4,029 | $62,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 650 | $62,000 | thousands by filing date | call |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 1,829 | $62,000 | thousands by filing date | put |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 3,649 | $62,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 9,734 | $62,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 5,000 | $62,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,175 | $62,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 14,347 | $62,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 5,900 | $62,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 13,969 | $62,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 2,500 | $62,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 1,249 | $61,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 579 | $61,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 84,400 | $61,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 7,000 | $61,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,786 | $61,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 2,886 | $61,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 4,374 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 3,283 | $60,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 666 | $60,000 | thousands by filing date | call |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 1,084 | $60,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 3,101 | $60,000 | thousands by filing date | |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 39,596 | $60,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 2,700 | $60,000 | thousands by filing date | put |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 17,000 | $60,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 2,365 | $60,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 8,350 | $60,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 557 | $59,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 505 | $59,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 1,100 | $59,000 | thousands by filing date | put |
| LENNAR CORP CL A | 526057104 | Stock | 1,537 | $59,000 | thousands by filing date | call |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 2,229 | $59,000 | thousands by filing date | |
| INTERACTIVE INTELLIGENCE GROUP | 45841V109 | COMMON STOCK | 1,443 | $59,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 1,297 | $59,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 6,352 | $59,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 17,559 | $59,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 7,890 | $59,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N208 | Cmn | 6,716 | $59,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 643 | $58,000 | thousands by filing date | put |
| CUMMINS INC COM | 231021106 | Stock | 444 | $58,000 | thousands by filing date | call |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 785 | $58,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 4,090 | $58,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 14,142 | $58,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 1,395 | $58,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 7,140 | $58,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 60,000 | $58,000 | thousands by filing date | principal |
| QUOTIENT LTD | G73268107 | SHS | 6,175 | $58,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 664 | $57,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 7,109 | $57,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 3,716 | $57,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,403 | $57,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 4,700 | $57,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 122 | $56,000 | thousands by filing date | put |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 3,355 | $56,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 12,652 | $56,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 6,401 | $56,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 8,155 | $56,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 2,052 | $56,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 5,217 | $56,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 8,974 | $56,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 2,250 | $56,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 54,000 | $56,000 | thousands by filing date | principal |
| NISOURCE INC COM | 65473P105 | Stock | 1,360 | $55,000 | thousands by filing date | call |
| GENIE ENERGY LTD | 372284208 | CL B | 8,000 | $55,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 2,889 | $55,000 | thousands by filing date | put |
| ASTRONOVA INC | 04638F108 | COM | 4,217 | $55,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 3,833 | $55,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 2,424 | $55,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 925 | $55,000 | thousands by filing date | call |
| FQF TR | 351680707 | QUANT NEUT ANT | 2,862 | $55,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 627 | $54,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 225 | $54,000 | thousands by filing date | call |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 286 | $54,000 | thousands by filing date | put |
| AUTOZONE INC COM | 053332102 | Stock | 107 | $54,000 | thousands by filing date | put |
| AUTOZONE INC COM | 053332102 | Stock | 107 | $54,000 | thousands by filing date | call |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 7,376 | $54,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 650 | $54,000 | thousands by filing date | call |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 5,000 | $54,000 | thousands by filing date | call |
| FIRST FED NORTHN MICH BANCOR | 32021X105 | COM | 10,300 | $54,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 1,100 | $53,000 | thousands by filing date | call |
| EBAY INC. COM | 278642103 | Stock | 950 | $53,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 1,575 | $53,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 2,901 | $53,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 8,801 | $53,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 5,839 | $53,000 | thousands by filing date | put |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 2,500 | $53,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 796 | $53,000 | thousands by filing date | call |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 1,200 | $53,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 2,000 | $53,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 2,000 | $53,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 4,200 | $53,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 6,180 | $52,000 | thousands by filing date | call |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 2,624 | $52,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 550 | $52,000 | thousands by filing date | put |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 2,300 | $52,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 8,415 | $52,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 1,288 | $52,000 | thousands by filing date | call |
| OCWEN FINL CORP | 675746309 | COM NEW | 2,000 | $52,000 | thousands by filing date | put |
| iShares Silver Trust | 46428Q109 | COM | 3,164 | $51,000 | thousands by filing date | put |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 190 | $51,000 | thousands by filing date | call |
| D R HORTON INC COM | 23331A109 | Stock | 2,510 | $51,000 | thousands by filing date | put |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 1,500 | $51,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 700 | $51,000 | thousands by filing date | put |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 3,000 | $51,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 3,030 | $51,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 8,678 | $51,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 4,288 | $51,000 | thousands by filing date | call |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 4,025 | $51,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 2,090 | $51,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 5,602 | $51,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,014 | $51,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 4,550 | $50,000 | thousands by filing date | call |
| BAXTER INTL INC | 071813109 | COM | 700 | $50,000 | thousands by filing date | call |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,022 | $50,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 1,295 | $50,000 | thousands by filing date | call |
| TCW CONV SECS FD INC | 872340104 | COM | 9,000 | $50,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 3,500 | $50,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 1,508 | $50,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 229,300 | $50,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 3,191 | $49,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 1,118 | $49,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 1,935 | $49,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 5,230 | $49,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 3,990 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 2,000 | $49,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 2,000 | $49,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 2,688 | $49,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 2,700 | $48,000 | thousands by filing date | call |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 771 | $48,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 1,571 | $48,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 6,787 | $48,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 863 | $48,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 1,122 | $48,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 3,000 | $48,000 | thousands by filing date | put |
| AH RLTY TR INC | 04208T108 | COM | 5,284 | $47,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 7,044 | $47,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 1,456 | $47,000 | thousands by filing date | call |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 2,476 | $47,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 854 | $47,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 7,334 | $47,000 | thousands by filing date | |
| KOFAX LTD | G5307C105 | COM USD | 6,160 | $47,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 625 | $46,000 | thousands by filing date | call |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 554 | $46,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 2,041 | $46,000 | thousands by filing date | call |
| WIX COM LTD SHS | M98068105 | Stock | 2,922 | $46,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 705 | $46,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 500 | $46,000 | thousands by filing date | put |
| 51JOB INC | 316827104 | SPONSORED ADS | 1,557 | $46,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 3,350 | $46,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 1,000 | $45,000 | thousands by filing date | put |
| CSX Corporation | 126408103 | COM | 1,424 | $45,000 | thousands by filing date | put |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 789 | $45,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 250 | $45,000 | thousands by filing date | put |
| BP PLC SPONSORED ADR | 055622104 | ADR | 1,039 | $45,000 | thousands by filing date | call |
| CVR ENERGY, INC. | 12662P108 | COM | 1,024 | $45,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,758 | $45,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 1,280 | $45,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 48,700 | $45,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 1,620 | $45,000 | thousands by filing date | put |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 3,035 | $45,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 20,664 | $45,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 430 | $45,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 8,379 | $45,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 1,525 | $45,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 788 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 1,308 | $45,000 | thousands by filing date | put |
| Janus Velocity Tail Risk Hdgd Lg Cp ETF | 00162Q817 | com | 1,600 | $45,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,080 | $44,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 500 | $44,000 | thousands by filing date | put |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,804 | $44,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 937 | $44,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 4,800 | $44,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 35,136 | $44,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 270 | $44,000 | thousands by filing date | put |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 3,355 | $44,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 1,600 | $44,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 1,500 | $44,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 6,572 | $44,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 15,000 | $44,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 1,175 | $44,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 50,000 | $44,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 5,047 | $43,000 | thousands by filing date | put |
| MACYS INC COM | 55616P104 | Stock | 750 | $43,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 500 | $43,000 | thousands by filing date | put |
| YUM BRANDS INC COM | 988498101 | Stock | 600 | $43,000 | thousands by filing date | put |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 768 | $43,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,694 | $43,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 1,360 | $43,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 1,893 | $43,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,918 | $43,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 24,473 | $43,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 9,099 | $43,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,500 | $43,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 6,004 | $42,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 4,159 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 2,181 | $42,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 455 | $42,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 3,312 | $42,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 2,850 | $42,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 1,629 | $42,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 1,000 | $41,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 1,250 | $41,000 | thousands by filing date | call |
| ARISTA NETWORKS INC | 040413106 | COM | 469 | $41,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 1,500 | $41,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 10,462 | $41,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 336 | $41,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 1,600 | $40,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 5,125 | $40,000 | thousands by filing date | call |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 2,050 | $40,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 8,450 | $40,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 500 | $40,000 | thousands by filing date | call |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 941 | $40,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 4,360 | $40,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 1,765 | $40,000 | thousands by filing date | |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 4,811 | $40,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 1,750 | $40,000 | thousands by filing date | put |
| INVENSENSE INC | 46123D205 | COM | 2,075 | $40,000 | thousands by filing date | put |
| INVENSENSE INC | 46123D205 | COM | 2,075 | $40,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 700 | $40,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 1,000 | $40,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 4,506 | $40,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 406 | $39,000 | thousands by filing date | put |
| PENTAIR PLC SHS | G7S00T104 | Stock | 600 | $39,000 | thousands by filing date | put |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 2,724 | $39,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 671 | $39,000 | thousands by filing date | call |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 1,250 | $39,000 | thousands by filing date | put |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 5,354 | $39,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 3,847 | $39,000 | thousands by filing date | call |
| LEXMARK INTL NEW | 529771107 | CL A | 932 | $39,000 | thousands by filing date | call |
| AK STEEL HOLDING CORP | 001547108 | COM | 4,920 | $39,000 | thousands by filing date | call |
| PARKERVISION INC | 701354102 | COM | 35,155 | $39,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 909 | $39,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 4,000 | $39,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 400 | $38,000 | thousands by filing date | put |
| EXELON CORP COM | 30161N101 | Stock | 1,142 | $38,000 | thousands by filing date | put |
| FLOWSERVE CORP | 34354P105 | COM | 540 | $38,000 | thousands by filing date | call |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 2,503 | $38,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 5,920 | $38,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 3,493 | $38,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 5,117 | $38,000 | thousands by filing date | call |
| PANDORA MEDIA INC | 698354107 | COM | 1,600 | $38,000 | thousands by filing date | call |
| MARIN SOFTWARE INC | 56804T106 | COM | 4,448 | $38,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 35,000 | $38,000 | thousands by filing date | principal |
| KLA CORP | 482480100 | COM | 474 | $37,000 | thousands by filing date | put |
| AFLAC INC COM | 001055102 | Stock | 648 | $37,000 | thousands by filing date | call |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 550 | $37,000 | thousands by filing date | put |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 1,152 | $37,000 | thousands by filing date | call |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 1,308 | $37,000 | thousands by filing date | call |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 2,500 | $37,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 3,515 | $37,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 5,373 | $37,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 2,390 | $37,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 2,800 | $37,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 5,400 | $37,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-14-000127 | this filing | 2014-11-14 | acceptance time not in the bulk data set |