13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-13, with 6,317 holding rows worth $162,119,121,000.
- Accession
- 0000948046-15-000015
- Filer
- CIK 948046
- Filed
- 2015-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 18,850 entries on the cover page, a total value of $162,119,121,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $162,119,121,000 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 |
|---|---|---|---|---|---|---|
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 1,009 | $64,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 101,800 | $64,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 18,027 | $64,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 14,382 | $64,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 210 | $63,000 | thousands by filing date | put |
| D R HORTON INC COM | 23331A109 | Stock | 2,510 | $63,000 | thousands by filing date | put |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 2,701 | $63,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 3,938 | $63,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 8,400 | $63,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 25,130 | $63,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 5,000 | $63,000 | thousands by filing date | put |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 35,998 | $63,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 387 | $62,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 689 | $62,000 | thousands by filing date | call |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 2,191 | $62,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 1,755 | $62,000 | thousands by filing date | call |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 5,110 | $62,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 2,724 | $62,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 129,157 | $62,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 24,944 | $62,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 4,705 | $62,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 750 | $61,000 | thousands by filing date | put |
| ISHARES TR | 464288752 | US HOME CONS ETF | 2,360 | $61,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 1,200 | $61,000 | thousands by filing date | put |
| CELGENE CORP | 151020104 | COM | 550 | $61,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 2,653 | $61,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 11,262 | $61,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 12,824 | $61,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 2,528 | $61,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 1,654 | $60,000 | thousands by filing date | call |
| TRIPADVISOR INC | 896945201 | COM | 816 | $60,000 | thousands by filing date | call |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 8,355 | $60,000 | thousands by filing date | put |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 4,029 | $60,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 5,727 | $60,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 805 | $60,000 | thousands by filing date | call |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 8,155 | $60,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,027 | $59,000 | thousands by filing date | call |
| SIERRA BANCORP | 82620P102 | COM | 3,388 | $59,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 927 | $59,000 | thousands by filing date | call |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 3,466 | $59,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 11,850 | $59,000 | thousands by filing date | |
| Ashland | 044209104 | Common | 500 | $59,000 | thousands by filing date | put |
| EXTERRAN HLDGS INC | 30225X103 | COM | 1,830 | $59,000 | thousands by filing date | put |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 36,591 | $59,000 | thousands by filing date | |
| C1 FINL INC | 12591N109 | COM | 3,233 | $59,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 30,148 | $59,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 1,367 | $58,000 | thousands by filing date | call |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 3,000 | $58,000 | thousands by filing date | put |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 67,800 | $58,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 58,637 | $58,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 2,580 | $58,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 2,904 | $58,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 850 | $57,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 1,556 | $57,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 2,117 | $57,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 1,750 | $57,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 3,101 | $57,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 16,557 | $57,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 32,779 | $57,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 7,140 | $57,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,437 | $57,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 2,559 | $57,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 700 | $56,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 3,627 | $56,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 500 | $56,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 3,475 | $56,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25459Y439 | DLY TECBEARX NEW | 5,000 | $56,000 | thousands by filing date | put |
| FQF TR | 351680707 | QUANT NEUT ANT | 2,862 | $56,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 2,860 | $55,000 | thousands by filing date | put |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 2,700 | $55,000 | thousands by filing date | call |
| TIPTREE INC | 88822Q103 | COM | 6,927 | $55,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 300 | $55,000 | thousands by filing date | call |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 1,856 | $55,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 5,839 | $55,000 | thousands by filing date | put |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 2,500 | $55,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 5,000 | $55,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 1,395 | $55,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 3,175 | $55,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 2,230 | $55,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 13,753 | $55,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,156 | $55,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 2,000 | $55,000 | thousands by filing date | |
| COUNTRY STYLE COOKING REST ADR | 22238M109 | ADR-EMG MKT | 9,404 | $55,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 1,300 | $54,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 956 | $54,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,600 | $54,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 500 | $54,000 | thousands by filing date | call |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 3,603 | $54,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 2,197 | $54,000 | thousands by filing date | put |
| STAPLES INC | 855030102 | COM | 3,000 | $54,000 | thousands by filing date | call |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 7,307 | $54,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 513 | $53,000 | thousands by filing date | put |
| NUCOR CORP COM | 670346105 | Stock | 1,100 | $53,000 | thousands by filing date | put |
| UMH PPTYS INC | 903002103 | COM | 5,579 | $53,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 975 | $53,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 1,744 | $53,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 642 | $53,000 | thousands by filing date | call |
| GOLDCORP INC NEW | 380956409 | COM | 2,900 | $53,000 | thousands by filing date | put |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 3,189 | $53,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 3,522 | $53,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 4,006 | $53,000 | thousands by filing date | |
| PDI INC | 69329V100 | COM | 29,776 | $53,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 1,891 | $53,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 6,151 | $53,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 2,300 | $53,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 560 | $52,000 | thousands by filing date | put |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 505 | $52,000 | thousands by filing date | put |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 7,019 | $52,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 716 | $52,000 | thousands by filing date | call |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 5,100 | $52,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 4,433 | $52,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 1,508 | $52,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 4,583 | $52,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 1,424 | $51,000 | thousands by filing date | put |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 1,935 | $51,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 6,325 | $51,000 | thousands by filing date | put |
| BAXTER INTL INC | 071813109 | COM | 700 | $51,000 | thousands by filing date | call |
| MAXLINEAR INC | 57776J100 | COM | 6,975 | $51,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 772 | $51,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,177 | $51,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 2,300 | $51,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 854 | $51,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,014 | $51,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 31,846 | $51,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 8,026 | $51,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 1,067 | $50,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 1,400 | $50,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 7,192 | $50,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 4,194 | $50,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 2,327 | $50,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 2,000 | $50,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 12,760 | $50,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 1,000 | $49,000 | thousands by filing date | put |
| PALO ALTO NETWORKS INC | 697435105 | COM | 406 | $49,000 | thousands by filing date | put |
| VANGUARD STAR FDS | 921909768 | COM | 1,025 | $49,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 994 | $49,000 | thousands by filing date | call |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 270 | $49,000 | thousands by filing date | put |
| PARSLEY ENERGY INC | 701877102 | CL A | 3,119 | $49,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 974 | $49,000 | thousands by filing date | |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 183 | $49,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 4,703 | $49,000 | thousands by filing date | call |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 3,942 | $49,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 2,000 | $49,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 2,000 | $49,000 | thousands by filing date | put |
| BEAR ST FINL INC | 073844102 | COM | 4,516 | $49,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 55,778 | $49,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 527 | $48,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 250 | $48,000 | thousands by filing date | put |
| MOSAIC CO COM | 61945C103 | Stock | 1,056 | $48,000 | thousands by filing date | call |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 3,000 | $48,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 8,678 | $48,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 9,000 | $48,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 2,181 | $48,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 2,181 | $48,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 3,350 | $48,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 780 | $48,000 | thousands by filing date | call |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 2,975 | $48,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 16,878 | $48,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 1,000 | $47,000 | thousands by filing date | call |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 1,310 | $47,000 | thousands by filing date | call |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 651 | $47,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,022 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 664 | $47,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 4,159 | $47,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 400 | $47,000 | thousands by filing date | put |
| CIT GROUP INC COM NEW | 125581801 | Stock | 1,000 | $47,000 | thousands by filing date | put |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 10,070 | $47,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 2,000 | $47,000 | thousands by filing date | call |
| DEX MEDIA INC | 25213A107 | COM | 5,372 | $47,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H420 | IPATH AS GLF CUR | 957 | $47,000 | thousands by filing date | |
| GEEKNET INC | 36846Q203 | COM | 5,726 | $47,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 554 | $46,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $46,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 1,076 | $46,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 9,788 | $46,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 4,914 | $46,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 2,380 | $46,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 1,636 | $46,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 1,000 | $46,000 | thousands by filing date | put |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 3,545 | $46,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 2,476 | $46,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 5,912 | $46,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 1,000 | $46,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 1,340 | $45,000 | thousands by filing date | call |
| NEWTEKONE INC | 652526203 | COM NEW | 3,086 | $45,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 1,000 | $45,000 | thousands by filing date | put |
| MANNATECH INC | 563771203 | COM NEW | 1,701 | $45,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 3,000 | $45,000 | thousands by filing date | put |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 900 | $45,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 19,649 | $45,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 1,630 | $45,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 4,304 | $45,000 | thousands by filing date | |
| Janus Velocity Tail Risk Hdgd Lg Cp ETF | 00162Q817 | com | 1,600 | $45,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D112 | WARRANT | 38,613 | $45,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 1,326 | $44,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 1,900 | $44,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 909 | $44,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,758 | $44,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 3,765 | $44,000 | thousands by filing date | put |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 37,500 | $44,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 60,803 | $44,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 788 | $44,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 5,229 | $44,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 14,406 | $44,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 600 | $43,000 | thousands by filing date | put |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 3,129 | $43,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 2,850 | $43,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 4,881 | $43,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 11,126 | $43,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 1,500 | $42,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 807 | $42,000 | thousands by filing date | put |
| EXELON CORP COM | 30161N101 | Stock | 1,142 | $42,000 | thousands by filing date | put |
| WINMARK CORP | 974250102 | COM | 493 | $42,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,810 | $42,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 5,440 | $42,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 1,250 | $42,000 | thousands by filing date | put |
| Hugoton Royalty Trust | 444717102 | COM | 5,000 | $42,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 2,714 | $42,000 | thousands by filing date | put |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 1,360 | $42,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,550 | $42,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 1,855 | $42,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 1,525 | $42,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 22,466 | $42,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 3,150 | $42,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 500 | $41,000 | thousands by filing date | call |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 4,000 | $41,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 847 | $41,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 763 | $41,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 2,202 | $41,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 1,271 | $41,000 | thousands by filing date | put |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 1,000 | $41,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 3,983 | $41,000 | thousands by filing date | put |
| MILLER ENERGY RES INC | 600527105 | COM | 33,802 | $41,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 20,108 | $41,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 7,740 | $41,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 550 | $40,000 | thousands by filing date | put |
| iShares Silver Trust | 46428Q109 | COM | 2,703 | $40,000 | thousands by filing date | put |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 1,600 | $40,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 3,578 | $40,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 400 | $40,000 | thousands by filing date | call |
| CUTERA INC | 232109108 | COM | 3,775 | $40,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 8,232 | $40,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 268 | $40,000 | thousands by filing date | call |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 336 | $40,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 24,200 | $40,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 4,000 | $40,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 2,070 | $40,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 1,502 | $39,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 909 | $39,000 | thousands by filing date | call |
| AFLAC INC COM | 001055102 | Stock | 648 | $39,000 | thousands by filing date | call |
| BP PLC SPONSORED ADR | 055622104 | ADR | 1,039 | $39,000 | thousands by filing date | call |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 520 | $39,000 | thousands by filing date | call |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 4,800 | $39,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 632 | $39,000 | thousands by filing date | put |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 17,000 | $39,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 492 | $39,000 | thousands by filing date | call |
| PENDRELL CORP | 70686R104 | COM | 29,082 | $39,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 29,193 | $39,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 1,862 | $39,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 500 | $39,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 17,500 | $39,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 7,262 | $39,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 2,580 | $39,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 564 | $38,000 | thousands by filing date | put |
| NIKE,Inc. Class B | 654106103 | COM | 396 | $38,000 | thousands by filing date | put |
| NEWMONT CORP | 651639106 | COM | 2,041 | $38,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 1,000 | $38,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 1,358 | $38,000 | thousands by filing date | call |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 507 | $38,000 | thousands by filing date | call |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 3,284 | $38,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 2,264 | $38,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 15,050 | $38,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 1,765 | $38,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 2,933 | $38,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 30,529 | $38,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 7,100 | $38,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 419 | $37,000 | thousands by filing date | call |
| iShares Global 100 ETF | 464287572 | SHS | 495 | $37,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 398 | $37,000 | thousands by filing date | call |
| VALE S A | 91912E105 | SPONSORED ADS | 4,550 | $37,000 | thousands by filing date | call |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,920 | $37,000 | thousands by filing date | call |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 8,026 | $37,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 841 | $37,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 800 | $37,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 28,069 | $37,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 9,138 | $37,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 1,000 | $36,000 | thousands by filing date | put |
| DECKERS OUTDOOR CORP | 243537107 | COM | 400 | $36,000 | thousands by filing date | put |
| CUMMINS INC COM | 231021106 | Stock | 250 | $36,000 | thousands by filing date | put |
| VERACYTE INC COM | 92337F107 | Stock | 3,803 | $36,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 642 | $36,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 400 | $36,000 | thousands by filing date | call |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 2,542 | $36,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 9,474 | $36,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 1,300 | $36,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 191,367 | $36,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 2,500 | $36,000 | thousands by filing date | call |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 36,186 | $36,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 6,214 | $36,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 7,334 | $36,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 1,175 | $36,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 2,624 | $36,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 2,304 | $36,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 250 | $35,000 | thousands by filing date | put |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 2,500 | $35,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 5,000 | $35,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 614 | $35,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 4,372 | $35,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 2,000 | $35,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 4,085 | $35,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 3,578 | $35,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 48,700 | $35,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 11,364 | $35,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 50,426 | $35,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 25,773 | $35,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 11,547 | $35,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 2,000 | $35,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AH0 | NOTE 1.875% 9/0 | 26,000 | $35,000 | thousands by filing date | principal |
| iShares MBS ETF | 464288588 | SHS | 315 | $34,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 770 | $34,000 | thousands by filing date | put |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 1,200 | $34,000 | thousands by filing date | put |
| L BRANDS INC | 501797104 | COM | 400 | $34,000 | thousands by filing date | put |
| MFRI INC | 552721102 | COMMON STOCK | 4,924 | $34,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 1,521 | $34,000 | thousands by filing date | put |
| INTL SHIPHOLDING CORP | 460321201 | COM | 2,316 | $34,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 4,866 | $34,000 | thousands by filing date | |
| REGADO BIOSCIENCE INC | 75874Q107 | COM | 38,606 | $34,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 700 | $33,000 | thousands by filing date | call |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 500 | $33,000 | thousands by filing date | put |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 550 | $33,000 | thousands by filing date | put |
| AGCO CORP | 001084102 | COM | 750 | $33,000 | thousands by filing date | call |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 2,500 | $33,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,351 | $33,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 305 | $33,000 | thousands by filing date | call |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 670 | $33,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 1,000 | $33,000 | thousands by filing date | put |
| E2OPEN INC | 29788A104 | COM | 3,582 | $33,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 2,075 | $33,000 | thousands by filing date | put |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 493 | $33,000 | thousands by filing date | |
| PENFORD CORP | 707051108 | COM | 1,800 | $33,000 | thousands by filing date | |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 1,400 | $33,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 1,293 | $33,000 | thousands by filing date | |
| KEURIG GREEN MTN INC | 49271M100 | COM | 250 | $33,000 | thousands by filing date | put |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 826 | $32,000 | thousands by filing date | put |
| MESA LABS INC COM | 59064R109 | Stock | 426 | $32,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 1,050 | $32,000 | thousands by filing date | put |
| FLOWSERVE CORP | 34354P105 | COM | 540 | $32,000 | thousands by filing date | call |
| VISTEON CORP | 92839U206 | COM NEW | 308 | $32,000 | thousands by filing date | call |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 2,000 | $32,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 3,000 | $32,000 | thousands by filing date | put |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 575 | $32,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 3,221 | $32,000 | thousands by filing date | put |
| AETNA INC NEW | 00817Y108 | COM | 361 | $32,000 | thousands by filing date | call |
| INTERSECT ENT INC | 46071F103 | COM | 1,803 | $32,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 5,000 | $32,000 | thousands by filing date | call |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 44,064 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 1,162 | $32,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 21,112 | $32,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 1,967 | $32,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 910 | $32,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 30,386 | $32,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 2,873 | $32,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 600 | $31,000 | thousands by filing date | call |
| LCNB CORP | 50181P100 | COM | 2,113 | $31,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 2,465 | $31,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 22,775 | $31,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 42,534 | $31,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 8,916 | $31,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 9,990 | $31,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 31,000 | $31,000 | thousands by filing date | principal |
| KONGZHONG CORP | 50047P104 | CMN | 5,908 | $31,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 1,075 | $31,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 90 | $30,000 | thousands by filing date | put |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 606 | $30,000 | thousands by filing date | call |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 2,226 | $30,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 810 | $30,000 | thousands by filing date | call |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,600 | $30,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 107,981 | $30,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 6,721 | $30,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 900 | $30,000 | thousands by filing date | put |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 3,288 | $30,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 44,028 | $30,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 500 | $30,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 2,501 | $30,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 1,500 | $30,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E108 | COM | 16,948 | $30,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 300 | $29,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 293 | $29,000 | thousands by filing date | call |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 72 | $29,000 | thousands by filing date | call |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,500 | $29,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 38,354 | $29,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 2,000 | $29,000 | thousands by filing date | put |
| AK STEEL HOLDING CORP | 001547108 | COM | 4,920 | $29,000 | thousands by filing date | call |
| PLANET PAYMENT INC | U72603118 | SHS | 14,488 | $29,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 17,840 | $29,000 | thousands by filing date | |
| C B PHARMA ACQUISITION CORP | G2029P100 | UNIT 12/17/2021 | 2,900 | $29,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 862 | $28,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 1,384 | $28,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 500 | $28,000 | thousands by filing date | call |
| Anglogold Ashanti Plc | 035128206 | Common | 3,300 | $28,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 10,398 | $28,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 1,532 | $28,000 | thousands by filing date | call |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 11,776 | $28,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 900 | $28,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 1,000 | $28,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 19,281 | $28,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,000 | $28,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 460 | $27,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 1,000 | $27,000 | thousands by filing date | put |
| WHIRLPOOL CORP COM | 963320106 | Stock | 141 | $27,000 | thousands by filing date | put |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 2,000 | $27,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,865 | $27,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2,150 | $27,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 2,454 | $27,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 21 | $27,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 2,500 | $27,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 1,800 | $27,000 | thousands by filing date | call |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,381 | $27,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 2,700 | $27,000 | thousands by filing date | |
| SUNGY MOBILE LTD | 86737M100 | ADR | 5,487 | $27,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 352 | $26,000 | thousands by filing date | call |
| GENIE ENERGY LTD | 372284208 | CL B | 4,417 | $26,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,900 | $26,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,458 | $26,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 5,172 | $26,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,000 | $26,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 462 | $26,000 | thousands by filing date | call |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 1,000 | $26,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 28,576 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 1,337 | $26,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 3,176 | $26,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 500 | $26,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 610 | $25,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 200 | $25,000 | thousands by filing date | put |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 1,715 | $25,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 1,250 | $25,000 | thousands by filing date | put |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 972 | $25,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 3,702 | $25,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 250 | $25,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 415 | $25,000 | thousands by filing date | call |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 500 | $25,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 631 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 1,400 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 500 | $25,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 6,528 | $25,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 907 | $25,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 442 | $24,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 600 | $24,000 | thousands by filing date | put |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 245 | $24,000 | thousands by filing date | call |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 1,076 | $24,000 | thousands by filing date | call |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 490 | $24,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,300 | $24,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,500 | $24,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 904 | $24,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 2,125 | $24,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 447 | $24,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 7,000 | $24,000 | thousands by filing date | principal |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,842 | $24,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 66,013 | $24,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 4,000 | $24,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 2,500 | $24,000 | thousands by filing date | |
| DIREXION DLY MID CAP BEAR 3X | 25459Y421 | COM | 2,000 | $24,000 | thousands by filing date | put |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 50,000 | $24,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 4,301 | $24,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 400 | $23,000 | thousands by filing date | call |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 500 | $23,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 165 | $23,000 | thousands by filing date | call |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 650 | $23,000 | thousands by filing date | call |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 1,012 | $23,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 2,000 | $23,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 1,150 | $23,000 | thousands by filing date | call |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 4,860 | $23,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 747 | $23,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 2,281 | $23,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 1,000 | $23,000 | thousands by filing date | put |
| MINDRAY MEDICAL INTL LTD | 602675100 | SPON ADR | 900 | $23,000 | thousands by filing date | put |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 13,135 | $23,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 3,400 | $23,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 8,132 | $23,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 1,500 | $22,000 | thousands by filing date | call |
| DAUCH CORP | 024061103 | COM | 1,000 | $22,000 | thousands by filing date | put |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 6,083 | $22,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 2,390 | $22,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 3,098 | $22,000 | thousands by filing date | call |
| TRUECAR INC | 89785L107 | COM | 1,000 | $22,000 | thousands by filing date | call |
| HIVE | 007786106 | Stock | 4,742 | $22,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 1,706 | $22,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 1,406 | $22,000 | thousands by filing date | call |
| THORATEC CORP | 885175307 | COM | 700 | $22,000 | thousands by filing date | call |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 250 | $22,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,000 | $22,000 | thousands by filing date | |
| BOULEVARD ACQUISITION CORP | 10157P112 | *W EXP 02/19/201 | 41,580 | $22,000 | thousands by filing date | |
| SAFEWAY INC | 786514208 | COM NEW | 600 | $21,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 250 | $21,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,000 | $21,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 17,200 | $21,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 1,000 | $21,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 58,601 | $21,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 6,193 | $21,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 400 | $21,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-15-000015 | this filing | 2015-02-13 | acceptance time not in the bulk data set |