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 |
|---|---|---|---|---|---|---|
| NANOMETRICS | 630077105 | COM | 32,864 | $496,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 4,265 | $495,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 229,860 | $495,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 13,835 | $495,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 33,863 | $495,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 26,827 | $495,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 6,952 | $494,000 | thousands by filing date | |
| MASTEC INC | 576323AM1 | NOTE 4.250%12/1 | 250,000 | $494,000 | thousands by filing date | principal |
| OI S.A. | 670851203 | SPN ADR REP PFD | 707,231 | $494,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 13,740 | $493,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 38,440 | $493,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 68,196 | $493,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 26,341 | $493,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 7,201 | $492,000 | thousands by filing date | put |
| DYNEX CAP INC | 26817Q506 | COM NEW | 61,013 | $492,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 49,157 | $492,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 38,474 | $491,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 28,016 | $490,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 21,768 | $490,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 152,959 | $489,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 101,970 | $488,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 137,538 | $488,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 105,505 | $488,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 11,216 | $488,000 | thousands by filing date | |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q106 | COM | 50,200 | $486,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 10,588 | $485,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 28,959 | $484,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AE1 | DBCV 5.500%10/1 | 200,000 | $483,000 | thousands by filing date | principal |
| BNC Bancorp | 05566T101 | Com | 30,928 | $483,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 4,802 | $482,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 22,330 | $481,000 | thousands by filing date | put |
| BAR HBR BANKSHARES | 066849100 | COM | 16,650 | $481,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 47,070 | $481,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 30,530 | $480,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 69,400 | $480,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 21,707 | $479,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 19,345 | $478,000 | thousands by filing date | |
| CONSTELLATION ENERGY PRTNR L | 21038E101 | COM UNIT LLC B | 134,500 | $478,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 16,083 | $477,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 50,639 | $476,000 | thousands by filing date | |
| SILICON IMAGE INC | 82705T102 | COM | 94,325 | $475,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 10,866 | $473,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 9,450 | $471,000 | thousands by filing date | call |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 21,356 | $471,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 33,759 | $471,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 10,324 | $469,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 37,880 | $469,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 44,151 | $468,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 46,986 | $467,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 10,719 | $466,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 4,000 | $465,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 12,596 | $465,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 22,412 | $465,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 4,938 | $464,000 | thousands by filing date | put |
| HYSTER-YALE INC | 449172105 | CL A | 6,486 | $464,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 14,367 | $464,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 37,008 | $463,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 403,956 | $463,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 25,835 | $462,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 82,460 | $462,000 | thousands by filing date | |
| CHART ACQUISITION CORP | 161151113 | *W EXP 12/19/201 | 838,659 | $461,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 30,693 | $459,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 28,357 | $458,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 50,150 | $458,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 24,650 | $457,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 21,107 | $455,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 74,100 | $455,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 392,000 | $455,000 | thousands by filing date | principal |
| AT&T Inc | 00206R102 | COM | 12,902 | $454,000 | thousands by filing date | call |
| Wells Fargo & Company | 949746101 | COM | 8,754 | $454,000 | thousands by filing date | call |
| NANOSPHERE INC | 63009F105 | COM | 798,007 | $454,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 14,364 | $453,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 27,973 | $453,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 4,625 | $453,000 | thousands by filing date | call |
| BIOFUEL ENERGY CORP | 09064Y307 | COM | 71,104 | $453,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 9,224 | $452,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 9,123 | $452,000 | thousands by filing date | |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q205 | UNIT 03/17/2014 | 44,789 | $452,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 4,243 | $451,000 | thousands by filing date | put |
| CDI CORP | 125071100 | COM | 31,106 | $451,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 6,125 | $449,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 63,621 | $448,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 19,876 | $445,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 13,486 | $444,000 | thousands by filing date | |
| ISTAR FINL INC | 45031UBR1 | NOTE 3.000%11/1 | 353,000 | $444,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 13,815 | $443,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 25,313 | $442,000 | thousands by filing date | |
| TCP International Holdings Ltd | H84689100 | COMMON | 58,055 | $442,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 13,359 | $441,000 | thousands by filing date | call |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 201,456 | $441,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 11,000 | $441,000 | thousands by filing date | put |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 19,431 | $440,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 16,627 | $439,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 43,986 | $438,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 12,551 | $437,000 | thousands by filing date | call |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 17,000 | $437,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 4,975 | $435,000 | thousands by filing date | put |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 10,855 | $435,000 | thousands by filing date | |
| Call - MTB $73.86 Exp 12/23/2018 | 55261F112 | Warrants | 8,700 | $435,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 17,144 | $434,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 46,300 | $432,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 180,630 | $431,000 | thousands by filing date | |
| UAL CORP | 902549AJ3 | NOTE 6.000%10/1 | 80,000 | $431,000 | thousands by filing date | principal |
| MAST THERAPEUTICS INC | 576314108 | COM | 775,600 | $431,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 26,956 | $431,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 12,641 | $430,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 16,972 | $430,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 7,760 | $429,000 | thousands by filing date | call |
| XO GROUP INC | 983772104 | COM | 38,342 | $429,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 8,175 | $427,000 | thousands by filing date | put |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 133,333 | $426,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 36,067 | $426,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 43,174 | $426,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 54,704 | $425,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 47,138 | $425,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 8,241 | $424,000 | thousands by filing date | put |
| PROSHARES TR | 74348A335 | COM | 9,800 | $424,000 | thousands by filing date | put |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 20,890 | $422,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 45,231 | $422,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 1,379 | $420,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 25,801 | $419,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 21,000 | $419,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 6,826 | $418,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 15,752 | $418,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 211,822 | $418,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 60,370 | $416,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 8,726 | $415,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 22,007 | $415,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 24,148 | $415,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 14,923 | $413,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 5,513 | $413,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 9,034 | $413,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 17,910 | $412,000 | thousands by filing date | put |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 46,481 | $412,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 152,650 | $409,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 31,142 | $407,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 79,792 | $407,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 36,035 | $404,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 21,734 | $404,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 42,236 | $404,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 162,776 | $403,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 35,863 | $403,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 20,273 | $402,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 36,659 | $402,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 6,233 | $401,000 | thousands by filing date | put |
| INCONTACT INC | 45336E109 | COM | 46,389 | $401,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 41,150 | $400,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 29,439 | $399,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 42,078 | $399,000 | thousands by filing date | |
| MAVENIR SYS INC | 577675101 | COM | 31,865 | $399,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 29,500 | $398,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 8,535 | $398,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 28,995 | $398,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 72,767 | $398,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 181,204 | $397,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,816 | $395,000 | thousands by filing date | call |
| CBS CORP NEW | 124857202 | CL B | 7,386 | $395,000 | thousands by filing date | put |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 31,842 | $395,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 8,825 | $394,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 65,811 | $394,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 32,984 | $393,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 11,799 | $391,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 14,282 | $391,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 25,099 | $390,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 12,994 | $389,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 13,718 | $389,000 | thousands by filing date | |
| GLBR 2.25 06/18 | 302693AB2 | Bond 30/360P2 U | 375,000 | $389,000 | thousands by filing date | principal |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 11,649 | $388,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 5,167 | $388,000 | thousands by filing date | call |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 31,286 | $387,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 10,230 | $385,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 6,411 | $384,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 39,088 | $384,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 19,483 | $382,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 4,886 | $382,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 351,562 | $382,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 117,000 | $382,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 16,632 | $381,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 23,333 | $380,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 6,255 | $379,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 14,475 | $379,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 176,300 | $379,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 55,138 | $378,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 3,168 | $377,000 | thousands by filing date | put |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 4,965 | $377,000 | thousands by filing date | call |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 11,400 | $377,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 52,133 | $377,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 11,294 | $375,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 1,997 | $373,000 | thousands by filing date | call |
| BALTIC TRADING LTD | Y0553W103 | COM | 90,412 | $373,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 18,583 | $372,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 92,545 | $371,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 298,000 | $371,000 | thousands by filing date | principal |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 3,157 | $368,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 18,859 | $368,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 7,057 | $368,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 43,902 | $367,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 7,045 | $365,000 | thousands by filing date | put |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 27,490 | $365,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 32,563 | $365,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 332,000 | $365,000 | thousands by filing date | principal |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 22,661 | $364,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 3,592 | $364,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 37,009 | $364,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 10,000 | $364,000 | thousands by filing date | |
| BROOKFIELD RESIDENTIAL PPTYS | 11283W104 | COM | 19,293 | $364,000 | thousands by filing date | |
| ISHARES INC | 464286368 | MSCI GL SL MET | 20,000 | $364,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 15,694 | $363,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 174,808 | $363,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 35,880 | $363,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 21,574 | $362,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 323,000 | $362,000 | thousands by filing date | principal |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 12,938 | $361,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 20,650 | $361,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 3,200 | $360,000 | thousands by filing date | |
| ASCENT CAP GROUP INC | 043632AA6 | NOTE 4.000 7/1 | 400,000 | $360,000 | thousands by filing date | principal |
| PLUG PWR INC | 72919P202 | COM NEW | 78,336 | $359,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 2,187 | $359,000 | thousands by filing date | call |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 24,815 | $359,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 3,722 | $358,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 22,321 | $358,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 8,520 | $357,000 | thousands by filing date | call |
| TARGACEPT INC | 87611R306 | COM | 141,306 | $357,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 46,652 | $357,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 41,700 | $356,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 36,061 | $356,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 43,200 | $355,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 51,610 | $354,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 329,000 | $354,000 | thousands by filing date | principal |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 20,171 | $353,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 13,625 | $353,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 22,286 | $352,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 20,600 | $352,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 18,412 | $351,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 31,441 | $351,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 18,828 | $350,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,949 | $347,000 | thousands by filing date | call |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 10,900 | $347,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 54,870 | $347,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 5,000 | $346,000 | thousands by filing date | call |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 19,470 | $346,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 20,180 | $346,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 33,990 | $346,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 50,278 | $346,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 5,327 | $345,000 | thousands by filing date | call |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 2,465 | $345,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 29,178 | $343,000 | thousands by filing date | |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 20,385 | $342,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 178,277 | $342,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 12,450 | $341,000 | thousands by filing date | |
| EVERYWARE GLOBAL INC | 300439106 | COM | 130,000 | $341,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 8,977 | $340,000 | thousands by filing date | |
| E*TRADE FINANCIAL | 269246AZ7 | CONV BND | 155,000 | $339,000 | thousands by filing date | principal |
| SKULLCANDY INC | 83083J104 | COM | 43,472 | $338,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 19,229 | $337,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 8,681 | $336,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 5,216 | $336,000 | thousands by filing date | call |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 48,150 | $335,000 | thousands by filing date | |
| Cal Dive International | 12802TAB7 | CONV BOND | 515,000 | $335,000 | thousands by filing date | principal |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 15,034 | $332,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 12,285 | $332,000 | thousands by filing date | |
| ENERSYS 3.375 | 29275YAA0 | NOTE | 225,000 | $332,000 | thousands by filing date | principal |
| AMRN 3.5 1/32 | 220480AB3 | Bond 30/360P2 U | 500,000 | $332,000 | thousands by filing date | principal |
| Qualcomm Incorporated | 747525103 | COM | 4,406 | $329,000 | thousands by filing date | put |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 32,643 | $329,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 17,603 | $328,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 27,848 | $327,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 7,934 | $327,000 | thousands by filing date | |
| HERITAGE FINANCIAL GROUP INC | 42726X102 | COM | 16,201 | $327,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 322,000 | $327,000 | thousands by filing date | principal |
| AH BELO CORP | 001282102 | COMMON STOCK | 30,632 | $326,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 9,539 | $326,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 14,494 | $325,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 27,188 | $325,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 13,498 | $325,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 13,627 | $325,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 20,730 | $325,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 8,653 | $324,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 122,131 | $324,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 7,071 | $323,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 11,003 | $323,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 288,000 | $323,000 | thousands by filing date | principal |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 12,654 | $321,000 | thousands by filing date | call |
| BIOFUEL ENERGY CORP | 09064Y117 | RIGHT 10/17/2014 | 111,750 | $321,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,738 | $319,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 5,549 | $319,000 | thousands by filing date | put |
| RITE AID CORP | 767754BU7 | CNV | 165,000 | $319,000 | thousands by filing date | principal |
| Visa Inc | 92826C839 | COM | 1,495 | $318,000 | thousands by filing date | call |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 4,676 | $318,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 22,544 | $318,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 58,208 | $318,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 16,608 | $317,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 21,595 | $316,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 38,588 | $316,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 11,984 | $316,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 3,100 | $315,000 | thousands by filing date | put |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 13,082 | $315,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 89,714 | $315,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 19,573 | $314,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 5,841 | $313,000 | thousands by filing date | put |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 24,078 | $313,000 | thousands by filing date | call |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 23,548 | $313,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 19,270 | $313,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 47,663 | $312,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760CAA5 | MTNF 2.625% 6/0 | 278,000 | $312,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 4,532 | $311,000 | thousands by filing date | put |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 275,000 | $311,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 8,098 | $309,000 | thousands by filing date | put |
| LULULEMON ATHLETICA INC | 550021109 | COM | 7,334 | $308,000 | thousands by filing date | put |
| SPS COMM INC COM | 78463M107 | Stock | 5,817 | $308,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 28,338 | $308,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 10,900 | $308,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 5,183 | $308,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 28,939 | $307,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 180,019 | $307,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 4,900 | $306,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 3,736 | $305,000 | thousands by filing date | call |
| PLANAR SYSTEMS INC | 726900103 | COM | 80,489 | $305,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 185,500 | $304,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 15,000 | $304,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 15,601 | $303,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 73,413 | $303,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 12,200 | $303,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 16,091 | $303,000 | thousands by filing date | call |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 12,411 | $303,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 2,976 | $302,000 | thousands by filing date | call |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 11,535 | $302,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 17,713 | $302,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 21,210 | $302,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 88,310 | $302,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 16,556 | $301,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 1,450 | $301,000 | thousands by filing date | call |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 16,480 | $301,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 48,830 | $301,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 17,859 | $301,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 310,000 | $301,000 | thousands by filing date | principal |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 44,734 | $300,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 43,664 | $300,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 4,900 | $299,000 | thousands by filing date | put |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 3,501 | $299,000 | thousands by filing date | put |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 288,000 | $299,000 | thousands by filing date | principal |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 53,853 | $299,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 9,773 | $296,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 11,886 | $296,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 8,170 | $295,000 | thousands by filing date | put |
| AGILYSYS INC | 00847J105 | COM | 25,269 | $295,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 191,850 | $295,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 5,486 | $294,000 | thousands by filing date | call |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 9,064 | $294,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 11,350 | $294,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 20,126 | $294,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 5,469 | $293,000 | thousands by filing date | put |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 435 | $293,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 14,960 | $293,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 9,238 | $292,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 11,367 | $292,000 | thousands by filing date | |
| ONEMAIN HOLDINGS | 85172J101 | COM | 9,164 | $292,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 3,100 | $291,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 4,754 | $291,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 35,450 | $290,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 4,139 | $290,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 8,377 | $289,000 | thousands by filing date | call |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 8,377 | $289,000 | thousands by filing date | put |
| CASCADE BANCORP | 147154207 | COM | 57,407 | $289,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 4,300 | $288,000 | thousands by filing date | call |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 21,364 | $288,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 10,652 | $287,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 281,727 | $287,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 16,673 | $287,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 305,282 | $287,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 75,115 | $285,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 16,168 | $285,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 8,270 | $284,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 11,926 | $284,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 20,781 | $283,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 4,700 | $282,000 | thousands by filing date | put |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 4,113 | $282,000 | thousands by filing date | |
| NAUGATUCK VY FINL CORP MD | 63906P107 | COM | 36,137 | $282,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 82,848 | $281,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 11,504 | $281,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 24,070 | $280,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 264,000 | $279,000 | thousands by filing date | principal |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 34,699 | $279,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 9,724 | $279,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 20,560 | $278,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 3,939 | $278,000 | thousands by filing date | call |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 21,546 | $278,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 17,348 | $277,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 23,572 | $277,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 3,206 | $277,000 | thousands by filing date | put |
| Vanguard Utilities ETF | 92204A876 | SHS | 3,035 | $276,000 | thousands by filing date | |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 270,000 | $276,000 | thousands by filing date | principal |
| Verizon Communications Inc | 92343V104 | COM | 5,500 | $274,000 | thousands by filing date | put |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 48,206 | $274,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 19,213 | $273,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 28,339 | $273,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 12,114 | $273,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 2,832 | $272,000 | thousands by filing date | call |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 6,581 | $272,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 8,309 | $272,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 103,347 | $272,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 36,336 | $271,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 12,859 | $271,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 128,276 | $270,000 | thousands by filing date | |
| AUSPEX PHARMACE | 05211J102 | Common Stock | 10,548 | $270,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 10,040 | $269,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 7,148 | $269,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 23,141 | $268,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 203,641 | $268,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 7,700 | $267,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 37,484 | $266,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 9,466 | $266,000 | thousands by filing date | |
| DORAL FINL CORP COM | 25811P852 | COM | 40,194 | $266,000 | thousands by filing date | |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 11,716 | $265,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 28,426 | $263,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 9,000 | $262,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 9,069 | $262,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 9,915 | $262,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 8,535 | $262,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 2,415 | $262,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 13,542 | $261,000 | thousands by filing date | put |
| VICOR CORP | 925815102 | COM | 27,919 | $261,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 12,050 | $261,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 18,992 | $260,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 11,916 | $260,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 10,449 | $260,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 25,196 | $260,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 30,800 | $260,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 180,000 | $260,000 | thousands by filing date | principal |
| Stryker Corporation | 863667101 | COM | 3,208 | $259,000 | thousands by filing date | call |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 10,480 | $259,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 4,736 | $258,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P176 | ROGRS ENH ETNS | 11,690 | $257,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 74,915 | $256,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 11,670 | $256,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 4,308 | $255,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 2,347 | $254,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 17,295 | $254,000 | thousands by filing date | put |
| SENECA FOODS CORP NEW | 817070501 | CL A | 8,920 | $254,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 7,441 | $254,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 6,065 | $254,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 8,577 | $253,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 15,613 | $253,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 25,567 | $251,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 2,534 | $250,000 | thousands by filing date | put |
| Costco Wholesale Corporation | 22160K105 | COM | 2,000 | $250,000 | thousands by filing date | put |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 26,845 | $250,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 12,219 | $250,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 4,850 | $249,000 | thousands by filing date | call |
| Philip Morris International Inc. | 718172109 | COM | 2,978 | $248,000 | thousands by filing date | call |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 5,897 | $248,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 9,729 | $248,000 | thousands by filing date | put |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 32,609 | $248,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 6,500 | $246,000 | thousands by filing date | put |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 8,000 | $246,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 30,121 | $246,000 | thousands by filing date | |
| SIMPLICITY BANCORP INC | 828867101 | COM | 14,691 | $246,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 900 | $245,000 | thousands by filing date | put |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 2,400 | $245,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 12,018 | $244,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 20,006 | $243,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 6,545 | $243,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 10,325 | $243,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 34,311 | $243,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,505 | $242,000 | thousands by filing date | call |
| SIZMEK INC | 83013P105 | COM | 31,469 | $242,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 8,328 | $241,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 75,790 | $241,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 6,924,889 | $241,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 19,500 | $239,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 20,327 | $239,000 | thousands by filing date | call |
| YUME INC | 98872B104 | COM | 47,928 | $239,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 2,400 | $238,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 17,430 | $238,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 27,864 | $238,000 | thousands by filing date | |
| 38259p508 | COM | 406 | $238,000 | thousands by filing date | put | |
| NEWLINK GENETICS CORP | 651511107 | COM | 11,189 | $238,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 15,133 | $238,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 8,000 | $237,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 9,990 | $236,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013VAB4 | NOTE 7.000%12/1 | 231,000 | $236,000 | thousands by filing date | principal |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 16,149 | $235,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 17,223 | $235,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 2,657 | $234,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 25,325 | $234,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 10,100 | $234,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 34,687 | $234,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 9,454 | $233,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 2,000 | $233,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 1,783 | $233,000 | thousands by filing date | put |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 12,114 | $233,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 20,375 | $233,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 41,707 | $231,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 13,770 | $231,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 18,265 | $230,000 | thousands by filing date | |
| SPANSION LLC | 84649PAL9 | NOTE 2.000 9/0 | 132,000 | $230,000 | thousands by filing date | principal |
| HENNESSY CAPITAL ACQUIS-CW19 | 425886116 | W | 438,837 | $230,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 2,500 | $229,000 | thousands by filing date | put |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 14,600 | $228,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 61,339 | $228,000 | 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 |