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 |
|---|---|---|---|---|---|---|
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 34,860 | $37,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 610 | $37,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 19,000 | $37,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 276 | $36,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 4,364 | $36,000 | thousands by filing date | call |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 192 | $36,000 | thousands by filing date | call |
| WPP PLC NEW ADR | 92937A102 | ADR | 361 | $36,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 1,623 | $36,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 1,850 | $36,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 549 | $36,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 785 | $36,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 700 | $36,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 1,525 | $36,000 | thousands by filing date | put |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 3,231 | $36,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 3,793 | $36,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 564 | $35,000 | thousands by filing date | put |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 5,000 | $35,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 2,542 | $35,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 679 | $35,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 2,081 | $35,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 2,000 | $35,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 1,000 | $35,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 500 | $35,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 419 | $34,000 | thousands by filing date | call |
| Mondelez International,Inc. Class A | 609207105 | COM | 1,000 | $34,000 | thousands by filing date | put |
| BUNGE LTD | G16962105 | COM | 413 | $34,000 | thousands by filing date | call |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 2,500 | $34,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 575 | $34,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 3,109 | $34,000 | thousands by filing date | |
| PROSHARES | 74347R826 | MUTUAL FUNDS EQ | 2,000 | $34,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 2,047 | $34,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 4,423 | $34,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 5,500 | $34,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y645 | DLY RUSSIA BUL | 3,000 | $34,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP | 14056V113 | W | 102,331 | $34,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 265 | $33,000 | thousands by filing date | call |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 520 | $33,000 | thousands by filing date | call |
| PENDRELL CORP | 70686R104 | COM | 25,071 | $33,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 1,322 | $33,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 1,011 | $33,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 22,059 | $33,000 | thousands by filing date | |
| DAWSON GEOPHYSICAL CO | 239359102 | COM | 1,860 | $33,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 10,000 | $33,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 71 | $32,000 | thousands by filing date | put |
| EOG RES INC COM | 26875P101 | Stock | 325 | $32,000 | thousands by filing date | put |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 325 | $32,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 366 | $32,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 600 | $32,000 | thousands by filing date | put |
| HUMANA INC COM | 444859102 | Stock | 250 | $32,000 | thousands by filing date | put |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 600 | $32,000 | thousands by filing date | call |
| SanDisk Corporation | 80004C101 | COM | 333 | $32,000 | thousands by filing date | put |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 1,000 | $32,000 | thousands by filing date | put |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 5,212 | $32,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 31,000 | $32,000 | thousands by filing date | principal |
| MARKET VECTORS TREASURY-HEDG | 57061R775 | HI YLD TREA BD | 1,350 | $32,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 341 | $31,000 | thousands by filing date | put |
| FASTENAL CO COM | 311900104 | Stock | 700 | $31,000 | thousands by filing date | call |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,600 | $31,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 853 | $31,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 549 | $31,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 2,300 | $31,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 415 | $31,000 | thousands by filing date | call |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 3,900 | $31,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 3,750 | $31,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 8,753 | $31,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 325 | $31,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 14,000 | $31,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D112 | WARRANT | 38,613 | $31,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 300 | $30,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 2,226 | $30,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 2,000 | $30,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 1,000 | $30,000 | thousands by filing date | put |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 6,427 | $30,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 2,664 | $30,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 2,000 | $30,000 | thousands by filing date | put |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 1,450 | $30,000 | thousands by filing date | |
| DIREXION DLY MID CAP BEAR 3X | 25459Y421 | COM | 2,000 | $30,000 | thousands by filing date | put |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 600 | $29,000 | thousands by filing date | put |
| BIOGEN INC COM | 09062X103 | Stock | 90 | $29,000 | thousands by filing date | put |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 391 | $29,000 | thousands by filing date | call |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 1,349 | $29,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,865 | $29,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2,150 | $29,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 3,000 | $29,000 | thousands by filing date | put |
| VIACOM INC | 92553P201 | CL B | 380 | $29,000 | thousands by filing date | put |
| AETNA INC NEW | 00817Y108 | COM | 361 | $29,000 | thousands by filing date | call |
| VALARIS ORD | 920355104 | COM | 375 | $29,000 | thousands by filing date | call |
| ALCOA INC | 013817101 | COM | 1,851 | $29,000 | thousands by filing date | put |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 386 | $29,000 | thousands by filing date | call |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 1,000 | $29,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 1,546 | $29,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 910 | $29,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 821 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 1,300 | $29,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 1,229 | $29,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 370 | $28,000 | thousands by filing date | call |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,500 | $28,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 500 | $28,000 | thousands by filing date | call |
| PEABODY ENERGY CORP | 704549104 | COM | 2,332 | $28,000 | thousands by filing date | put |
| THORATEC CORP | 885175307 | COM | 1,083 | $28,000 | thousands by filing date | call |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,381 | $28,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 6,955 | $28,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 370 | $27,000 | thousands by filing date | call |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 400 | $27,000 | thousands by filing date | call |
| BLACK HILLS CORP COM | 092113109 | Stock | 575 | $27,000 | thousands by filing date | call |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 2,056 | $27,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 1,200 | $27,000 | thousands by filing date | put |
| BRT APARTMENTS CORP | 055645303 | REIT | 3,702 | $27,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 335 | $27,000 | thousands by filing date | call |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,382 | $27,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 21 | $27,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 11,450 | $27,000 | thousands by filing date | call |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 1,000 | $27,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 9,308 | $27,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 650 | $27,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 500 | $27,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,000 | $27,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 2,089 | $27,000 | thousands by filing date | put |
| FORTINET INC COM | 34959E109 | Stock | 1,050 | $26,000 | thousands by filing date | put |
| COTERRA ENERGY INC COM | 127097103 | Stock | 800 | $26,000 | thousands by filing date | call |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 354 | $26,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 489 | $26,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 400 | $26,000 | thousands by filing date | put |
| TIFFANY & CO NEW | 886547108 | COM | 282 | $26,000 | thousands by filing date | put |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 1,655 | $26,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 597 | $26,000 | thousands by filing date | call |
| BIOTA PHARMACEUTIALS INC | 090694100 | COM | 10,870 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B720 | KBW INS PORT | 400 | $26,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 530 | $25,000 | thousands by filing date | call |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,900 | $25,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,300 | $25,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 1,150 | $25,000 | thousands by filing date | call |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 791 | $25,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 500 | $25,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 2,095 | $25,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,000 | $25,000 | thousands by filing date | |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 6,300 | $25,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 9,271 | $25,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 14,100 | $25,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 3,071 | $24,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 1,715 | $24,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 21 | $24,000 | thousands by filing date | put |
| COACH INC | 189754104 | COM | 700 | $24,000 | thousands by filing date | put |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 1,012 | $24,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,900 | $24,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 4,860 | $24,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,277 | $24,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 9,805 | $24,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 466 | $24,000 | thousands by filing date | put |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 466 | $24,000 | thousands by filing date | call |
| Anglogold Ashanti Plc | 035128206 | Common | 2,000 | $24,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 22,306 | $24,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 3,975 | $24,000 | thousands by filing date | put |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 16,134 | $24,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 8,425 | $24,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 400 | $23,000 | thousands by filing date | call |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 600 | $23,000 | thousands by filing date | put |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 217 | $23,000 | thousands by filing date | put |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 17,200 | $23,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,261 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 140 | $23,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 2,000 | $23,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 1,611 | $23,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 1,560 | $23,000 | thousands by filing date | call |
| ISHARES | 464286848 | EXCHANGE TRADED | 2,000 | $23,000 | thousands by filing date | put |
| MODEL N INC | 607525102 | COM | 2,486 | $23,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 673 | $23,000 | thousands by filing date | call |
| MARINE PRODS CORP | 568427108 | cs | 2,945 | $23,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 400 | $23,000 | thousands by filing date | put |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 15,875 | $23,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 300 | $22,000 | thousands by filing date | call |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 500 | $22,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 1,202 | $22,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 2,500 | $22,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 587 | $22,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 17,000 | $22,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 1,000 | $22,000 | thousands by filing date | put |
| PFSWEB INC | 717098206 | COM | 2,023 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 400 | $22,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 1,773 | $22,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 3,900 | $22,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 11,800 | $22,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 3,533 | $22,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 752 | $22,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 1,001 | $22,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 463 | $21,000 | thousands by filing date | call |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 1,000 | $21,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 2,000 | $21,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 935 | $21,000 | thousands by filing date | call |
| TAHOE RES INC | 873868103 | COM | 1,050 | $21,000 | thousands by filing date | call |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,650 | $21,000 | thousands by filing date | |
| QUESTAR CORP | 748356102 | COM | 975 | $21,000 | thousands by filing date | call |
| ARM HLDGS PLC | 042068106 | SPONSORED ADR | 500 | $21,000 | thousands by filing date | call |
| AV HOMES INC | 00234P102 | COM | 1,505 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 597 | $21,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 250 | $21,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 17,400 | $21,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 1,000 | $21,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 2,429 | $21,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 2,461 | $21,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 500 | $20,000 | thousands by filing date | |
| SAFEWAY INC | 786514208 | COM NEW | 600 | $20,000 | thousands by filing date | call |
| WHIRLPOOL CORP COM | 963320106 | Stock | 141 | $20,000 | thousands by filing date | put |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 650 | $20,000 | thousands by filing date | call |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 245 | $20,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F104 | COM SER A | 530 | $20,000 | thousands by filing date | put |
| URBAN OUTFITTERS INC | 917047102 | COM | 550 | $20,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 440 | $20,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 338 | $20,000 | thousands by filing date | call |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 14,568 | $20,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 1,199 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 500 | $20,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 8,982 | $20,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 914 | $20,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 500 | $20,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 500 | $19,000 | thousands by filing date | call |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,878 | $19,000 | thousands by filing date | call |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 1,330 | $19,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,806 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 500 | $19,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 1,576 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 1,047 | $19,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,274 | $19,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 1,000 | $19,000 | thousands by filing date | |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 817 | $19,000 | thousands by filing date | call |
| VCA ANTECH INC | 918194101 | COM | 500 | $19,000 | thousands by filing date | call |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 3,550 | $19,000 | thousands by filing date | call |
| U S GEOTHERMAL INC | 90338S102 | COM | 35,600 | $19,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1,601 | $19,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 277 | $19,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H420 | IPATH AS GLF CUR | 395 | $19,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 323 | $19,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 187 | $18,000 | thousands by filing date | call |
| NV5 HOLDINGS, INC | 62945V109 | COM | 1,993 | $18,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 3,400 | $18,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,200 | $18,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 1,112 | $18,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R205 | INTL HI YLD BD | 700 | $18,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 500 | $18,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 1,577 | $18,000 | thousands by filing date | |
| BOULEVARD ACQUISITION CORP | 10157P112 | *W EXP 02/19/201 | 34,930 | $18,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 200 | $17,000 | thousands by filing date | call |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 116 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 289 | $17,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 274 | $17,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 442 | $17,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 4,768 | $17,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 125 | $17,000 | thousands by filing date | call |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 1,315 | $17,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 483 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 400 | $17,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 1,000 | $17,000 | thousands by filing date | put |
| TRUECAR INC | 89785L107 | COM | 1,000 | $17,000 | thousands by filing date | call |
| FORTUNA MNG CORP F | 349915108 | COM | 4,400 | $17,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 28,000 | $17,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 1,300 | $17,000 | thousands by filing date | call |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 200 | $17,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 1,200 | $17,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W593 | GUG RUSS1000 EQL | 349 | $17,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 1,316 | $17,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,000 | $17,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 2,525 | $17,000 | thousands by filing date | |
| SILVER EAGLE ACQUISITION | 827694118 | W | 38,540 | $17,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 25 | $16,000 | thousands by filing date | call |
| EQT CORP COM | 26884L109 | Stock | 184 | $16,000 | thousands by filing date | call |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 740 | $16,000 | thousands by filing date | call |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 460 | $16,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 597 | $16,000 | thousands by filing date | put |
| ISHARES INC | 464286301 | CMN | 1,000 | $16,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 250 | $16,000 | thousands by filing date | put |
| XL GROUP PLC | G98290102 | SHS | 500 | $16,000 | thousands by filing date | call |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,833 | $16,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 12,788 | $16,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 206 | $16,000 | thousands by filing date | call |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 800 | $16,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,800 | $16,000 | thousands by filing date | |
| ESSEX RENT CORP COM | 297187106 | Common | 8,078 | $16,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 3,951 | $16,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 3,015 | $15,000 | thousands by filing date | put |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 1,300 | $15,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 500 | $15,000 | thousands by filing date | call |
| SPLUNK INC | 848637104 | COM | 280 | $15,000 | thousands by filing date | call |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 1,315 | $15,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 1,000 | $15,000 | thousands by filing date | call |
| WHOLE FOODS MKT INC | 966837106 | COM | 400 | $15,000 | thousands by filing date | call |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 700 | $15,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 2,800 | $15,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 626 | $15,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 475 | $15,000 | thousands by filing date | put |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,100 | $15,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 2,812 | $15,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 2,691 | $15,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 600 | $15,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 2,732 | $15,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 14,789 | $15,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 506 | $14,000 | thousands by filing date | call |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 500 | $14,000 | thousands by filing date | call |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 1,600 | $14,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 1,000 | $14,000 | thousands by filing date | put |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 887 | $14,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 600 | $14,000 | thousands by filing date | call |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 267 | $14,000 | thousands by filing date | |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 600 | $14,000 | thousands by filing date | call |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 6,000 | $14,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 500 | $14,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 850 | $14,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 1,960 | $14,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 2,513 | $14,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 6,162 | $14,000 | thousands by filing date | call |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 901 | $14,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,271 | $14,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 200 | $14,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 1,650 | $14,000 | thousands by filing date | |
| ALCO STORES INC | 001600105 | COM | 7,457 | $14,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 450 | $14,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D203 | UNIT 06/11/2019 | 1,320 | $14,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 217 | $13,000 | thousands by filing date | call |
| PAYCHEX INC | 704326107 | COM | 300 | $13,000 | thousands by filing date | call |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 262 | $13,000 | thousands by filing date | call |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,000 | $13,000 | thousands by filing date | call |
| HUMANA INC COM | 444859102 | Stock | 100 | $13,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 437 | $13,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 500 | $13,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 620 | $13,000 | thousands by filing date | call |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,050 | $13,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 600 | $13,000 | thousands by filing date | call |
| NAM TAI PROPERTY INC | G63907102 | Com | 2,200 | $13,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 2,200 | $13,000 | thousands by filing date | call |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 400 | $13,000 | thousands by filing date | put |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 801 | $13,000 | thousands by filing date | call |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 1,077 | $13,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 7,536 | $13,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 3,812 | $13,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 6,792 | $13,000 | thousands by filing date | call |
| SARATOGA RES INC | 803521103 | COM | 11,058 | $13,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 3,500 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 325 | $13,000 | thousands by filing date | |
| KEURIG GREEN MTN INC | 49271M100 | COM | 100 | $13,000 | thousands by filing date | call |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 2,707 | $13,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 377 | $13,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 250 | $12,000 | thousands by filing date | put |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 525 | $12,000 | thousands by filing date | call |
| PULTE GROUP INC COM | 745867101 | Stock | 724 | $12,000 | thousands by filing date | call |
| TOLL BROTHERS INC COM | 889478103 | Stock | 400 | $12,000 | thousands by filing date | call |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 100 | $12,000 | thousands by filing date | call |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 200 | $12,000 | thousands by filing date | call |
| PPG INDS INC COM | 693506107 | Stock | 62 | $12,000 | thousands by filing date | call |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 600 | $12,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 204 | $12,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 500 | $12,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 200 | $12,000 | thousands by filing date | call |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 600 | $12,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 443 | $12,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 571 | $12,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 1,000 | $12,000 | thousands by filing date | call |
| TECH DATA CORP | 878237106 | COM | 216 | $12,000 | thousands by filing date | put |
| IMPAX LABORATORIES INC | 45256B101 | COM | 545 | $12,000 | thousands by filing date | call |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 330 | $12,000 | thousands by filing date | call |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 100 | $12,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 500 | $12,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097754 | ADR PREF SHS Q | 509 | $12,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 6,130 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 500 | $12,000 | thousands by filing date | |
| CHIPOTLE MEXICAN GRILL INC | 73937B738 | COM | 250 | $12,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605116 | Cmn | 4,116 | $12,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 200 | $11,000 | thousands by filing date | put |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 250 | $11,000 | thousands by filing date | call |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 238 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 200 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 120 | $11,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 125 | $11,000 | thousands by filing date | put |
| ISHARES TR | 464287846 | DOW JONES US ETF | 118 | $11,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 500 | $11,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 430 | $11,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 200 | $11,000 | thousands by filing date | call |
| AMYRIS INC | 03236M101 | COM | 3,386 | $11,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 1,777 | $11,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 9,000 | $11,000 | thousands by filing date | principal |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,081 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 420 | $11,000 | thousands by filing date | |
| BAXANO SURGICAL | 071773105 | COM | 63,900 | $11,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 9,000 | $11,000 | thousands by filing date | principal |
| MEMORIAL RESOURCE DEVELOPMENT | 58605Q109 | COM | 439 | $11,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 150 | $10,000 | thousands by filing date | put |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 331 | $10,000 | thousands by filing date | call |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 19,713 | $10,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 338 | $10,000 | thousands by filing date | call |
| BEST BUY INC COM | 086516101 | Stock | 325 | $10,000 | thousands by filing date | call |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 854 | $10,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 700 | $10,000 | thousands by filing date | call |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 4,015 | $10,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,169 | $10,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 117 | $10,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 141 | $10,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 200 | $10,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 100 | $10,000 | thousands by filing date | |
| Ashland | 044209104 | Common | 100 | $10,000 | thousands by filing date | put |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 400 | $10,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 20,000 | $10,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823L106 | COM | 1,728 | $10,000 | thousands by filing date | call |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 1,000 | $10,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 320 | $10,000 | thousands by filing date | |
| ISHARES TR | 46429B226 | INDUSTRIAL SCT | 200 | $10,000 | thousands by filing date | |
| CORMEDIX INC | 21900C118 | *W EXP 03/24/201 | 29,608 | $10,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 320 | $10,000 | thousands by filing date | |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 9,000 | $10,000 | thousands by filing date | principal |
| Boston Scientific Corporation | 101137107 | COM | 800 | $9,000 | thousands by filing date | call |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 100 | $9,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 3,000 | $9,000 | thousands by filing date | call |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 263 | $9,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 8,700 | $9,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 275 | $9,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 200 | $9,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 521 | $9,000 | thousands by filing date | call |
| MITEK SYS INC | 606710200 | COM NEW | 4,000 | $9,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 391 | $9,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 189 | $9,000 | thousands by filing date | call |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 300 | $9,000 | thousands by filing date | put |
| China Yuchai Intl Ltd | G21082105 | COM | 492 | $9,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $9,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 2,308 | $9,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 400 | $9,000 | thousands by filing date | put |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 1,345 | $9,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 200 | $9,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 9,500 | $9,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 250 | $9,000 | thousands by filing date | call |
| SILVER WHEATON CORP | 828336107 | COM | 500 | $9,000 | thousands by filing date | call |
| MANITOWOC COMPANY INC | 563571108 | COM | 404 | $9,000 | thousands by filing date | call |
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 250 | $9,000 | thousands by filing date | call |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 5,664 | $9,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 6,000 | $9,000 | thousands by filing date | principal |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 3,773 | $9,000 | thousands by filing date | call |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 67 | $9,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 500 | $9,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 2,475 | $9,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 346 | $9,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 1,500 | $9,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 2,000 | $9,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 1,000 | $9,000 | thousands by filing date | put |
| COLLABRIUM JAPAN ACQUISITN C | G2266G128 | UNIT 99/99/9999 | 900 | $9,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 400 | $9,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 81,758 | $9,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 500 | $8,000 | thousands by filing date | call |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 91 | $8,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,242 | $8,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 1,858 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 288 | $8,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 386 | $8,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 300 | $8,000 | thousands by filing date | put |
| CITRIX SYSTEMS INC | 177376100 | COM | 120 | $8,000 | thousands by filing date | put |
| BIOTELEMETRY INC | 090672106 | COM | 1,246 | $8,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 780 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 145 | $8,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 898 | $8,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 500 | $8,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 334 | $8,000 | thousands by filing date | call |
| ORBOTECH LTD | M75253100 | ORD | 563 | $8,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,000 | $8,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 500 | $8,000 | thousands by filing date | put |
| ENSCO PLC | G3157S106 | SHS CLASS A | 200 | $8,000 | thousands by filing date | put |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 173 | $8,000 | thousands by filing date | call |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,347 | $8,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 925 | $8,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 200 | $8,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 426 | $8,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 4,423 | $8,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 2,306 | $8,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 10,000 | $8,000 | thousands by filing date | principal |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 1,000 | $8,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 900 | $8,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 95 | $7,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 500 | $7,000 | thousands by filing date | put |
| DISCOVER FINL SVCS | 254709108 | COM | 123 | $7,000 | thousands by filing date | call |
| JETBLUE AWYS CORP | 477143101 | COM | 700 | $7,000 | thousands by filing date | call |
| CRA INTL INC | 12618T105 | COM | 290 | $7,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 800 | $7,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 800 | $7,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 56 | $7,000 | thousands by filing date | call |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,104 | $7,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 128 | $7,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 400 | $7,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 65,192 | $7,000 | thousands by filing date | |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 11,000 | $7,000 | thousands by filing date | principal |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 1,744 | $7,000 | thousands by filing date | put |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 1,750 | $7,000 | thousands by filing date | call |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 550 | $7,000 | thousands by filing date | call |
| CHINA FD INC | 169373107 | COM | 341 | $7,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 599 | $7,000 | thousands by filing date | call |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 3,146 | $7,000 | thousands by filing date | put |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 500 | $7,000 | thousands by filing date | call |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 3,379 | $7,000 | thousands by filing date | put |
| HEARTWARE INTERNATIONAL | 422368AA8 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| USA TRUCK INC | 902925106 | COM | 433 | $7,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 600 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 511 | $7,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,000 | $7,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 500 | $7,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 253 | $6,000 | 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 |