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 |
|---|---|---|---|---|---|---|
| GIGOPTIX INC | 37517y103 | COM | 17,880 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 597 | $21,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 22,800 | $21,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895309 | COM | 6,868 | $21,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 300 | $20,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 200 | $20,000 | thousands by filing date | call |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 500 | $20,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 187 | $20,000 | thousands by filing date | call |
| CZR | 127686103 | Stock | 1,330 | $20,000 | thousands by filing date | put |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 702 | $20,000 | thousands by filing date | put |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 821 | $20,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 1,735 | $20,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 600 | $20,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 2,494 | $20,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,435 | $20,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 150 | $19,000 | thousands by filing date | call |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 851 | $19,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,198 | $19,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 5,064 | $19,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 711 | $19,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 400 | $19,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 800 | $19,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 2,404 | $19,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,650 | $19,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 3,400 | $19,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 1,000 | $19,000 | thousands by filing date | put |
| SILVER STD RES INC | 82823L106 | COM | 3,975 | $19,000 | thousands by filing date | put |
| BOB EVANS FARMS | 096761101 | COM | 388 | $19,000 | thousands by filing date | call |
| SI FINL GROUP INC MD | 78425V104 | COM | 1,748 | $19,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 1,000 | $19,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 14,820 | $19,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 250 | $18,000 | thousands by filing date | call |
| WESTERN DIGITAL CORP | 958102105 | COM | 163 | $18,000 | thousands by filing date | put |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 116 | $18,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 1,618 | $18,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 949 | $18,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 3,178 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 440 | $18,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 1,200 | $18,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 1,576 | $18,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 800 | $18,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 533 | $18,000 | thousands by filing date | call |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 2,539 | $18,000 | thousands by filing date | put |
| IRON MTN INC NEW REIT | 462846106 | COM | 475 | $18,000 | thousands by filing date | put |
| PRIMO WTR CORP | 74165N105 | COM | 4,216 | $18,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 918 | $18,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 6,425 | $18,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 4,122 | $18,000 | thousands by filing date | call |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 10,002 | $18,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 6,964 | $18,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 16,333 | $18,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 277 | $18,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 1,000 | $18,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 1,384 | $18,000 | thousands by filing date | |
| ISHARES TR | 46429B473 | MSCI CDA SM ETF | 878 | $18,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 239 | $17,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 249 | $17,000 | thousands by filing date | put |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 25 | $17,000 | thousands by filing date | call |
| PHILLIPS 66 COM | 718546104 | Stock | 251 | $17,000 | thousands by filing date | put |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 257 | $17,000 | thousands by filing date | call |
| OWENS CORNING NEW | 690742101 | COM | 500 | $17,000 | thousands by filing date | call |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,500 | $17,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 1,315 | $17,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 3,400 | $17,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 7,309 | $17,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 1,000 | $17,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 5,482 | $17,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 2,446 | $17,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 15,138 | $17,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1,601 | $17,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 9,129 | $17,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 200 | $17,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 800 | $17,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 561 | $17,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 914 | $17,000 | thousands by filing date | |
| FIRST W VA BANCORP INC | 337493100 | COM | 877 | $17,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 2,887 | $17,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,205 | $17,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 5,616 | $17,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164AB0 | NOTE 2.750%12/0 | 18,000 | $17,000 | thousands by filing date | principal |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 1,300 | $16,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,280 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 488 | $16,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 480 | $16,000 | thousands by filing date | put |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 254 | $16,000 | thousands by filing date | put |
| SEATTLE GENETICS INC | 812578102 | COM | 500 | $16,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 400 | $16,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,400 | $16,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 3,180 | $16,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 300 | $16,000 | thousands by filing date | put |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 775 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 400 | $16,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 21,100 | $16,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,352 | $16,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,400 | $16,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 35,600 | $16,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 483 | $16,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 200 | $16,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 13,373 | $16,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 3,616 | $16,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 8,664 | $16,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 2,880 | $16,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 158 | $15,000 | thousands by filing date | put |
| PULTE GROUP INC COM | 745867101 | Stock | 724 | $15,000 | thousands by filing date | call |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 440 | $15,000 | thousands by filing date | put |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,100 | $15,000 | thousands by filing date | call |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 301 | $15,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 250 | $15,000 | thousands by filing date | put |
| MATTEL INC | 577081102 | COM | 500 | $15,000 | thousands by filing date | call |
| TIFFANY & CO NEW | 886547108 | COM | 153 | $15,000 | thousands by filing date | call |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 1,000 | $15,000 | thousands by filing date | call |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 700 | $15,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 4,595 | $15,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 155 | $15,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 150 | $15,000 | thousands by filing date | call |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,892 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 500 | $15,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 2,488 | $15,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,377 | $15,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 3,089 | $15,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 3,988 | $15,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 1,437 | $15,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,213 | $15,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 5,378 | $15,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 447 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 1,493 | $15,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 217 | $14,000 | thousands by filing date | call |
| EQT CORP COM | 26884L109 | Stock | 185 | $14,000 | thousands by filing date | call |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 700 | $14,000 | thousands by filing date | call |
| PPG INDS INC COM | 693506107 | Stock | 62 | $14,000 | thousands by filing date | call |
| HUMANA INC COM | 444859102 | Stock | 100 | $14,000 | thousands by filing date | call |
| COTERRA ENERGY INC COM | 127097103 | Stock | 500 | $14,000 | thousands by filing date | put |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 1,600 | $14,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 405 | $14,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,050 | $14,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 806 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 500 | $14,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 5,763 | $14,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 1,655 | $14,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 400 | $14,000 | thousands by filing date | call |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 28,250 | $14,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 5,800 | $14,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 1,500 | $14,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,100 | $14,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 1,960 | $14,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 130 | $14,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 600 | $14,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 7,600 | $14,000 | thousands by filing date | |
| VELOCITYSHARES 3X LONG CRUDE | 22542D589 | ETP | 3,000 | $14,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 2,580 | $14,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 1,305 | $14,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 4,737 | $14,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 300 | $13,000 | thousands by filing date | call |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 319 | $13,000 | thousands by filing date | call |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 1,000 | $13,000 | thousands by filing date | put |
| MITEK SYS INC | 606710200 | COM NEW | 4,000 | $13,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,035 | $13,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 950 | $13,000 | thousands by filing date | call |
| PEABODY ENERGY CORP | 704549104 | COM | 1,732 | $13,000 | thousands by filing date | put |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,200 | $13,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 500 | $13,000 | thousands by filing date | call |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 850 | $13,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 1,950 | $13,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,021 | $13,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 1,200 | $13,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,800 | $13,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 730 | $13,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 238 | $12,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 600 | $12,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 521 | $12,000 | thousands by filing date | call |
| KOHLS CORP | 500255104 | COM | 200 | $12,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 800 | $12,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 206 | $12,000 | thousands by filing date | call |
| CIGNA CORPORATION | 125509109 | COM | 125 | $12,000 | thousands by filing date | put |
| ISHARES TR | 464287846 | DOW JONES US ETF | 118 | $12,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 851 | $12,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,300 | $12,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 1,990 | $12,000 | thousands by filing date | call |
| TESARO INC | 881569107 | COM | 334 | $12,000 | thousands by filing date | call |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 216 | $12,000 | thousands by filing date | put |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 400 | $12,000 | thousands by filing date | call |
| ROYAL BK SCOTLAND GROUP PL | 780097754 | ADR PREF SHS Q | 509 | $12,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 809 | $12,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 2,933 | $12,000 | thousands by filing date | |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 25,000 | $12,000 | thousands by filing date | principal |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 9,000 | $12,000 | thousands by filing date | principal |
| FIRST FED NORTHN MICH BANCOR | 32021X105 | COM | 2,239 | $12,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 33 | $11,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 542 | $11,000 | thousands by filing date | put |
| JETBLUE AWYS CORP | 477143101 | COM | 700 | $11,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 200 | $11,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 900 | $11,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 1,000 | $11,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 1,268 | $11,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 840 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 141 | $11,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 1,600 | $11,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 571 | $11,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 1,654 | $11,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 6,000 | $11,000 | thousands by filing date | principal |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 100 | $11,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 500 | $11,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 3,426 | $11,000 | thousands by filing date | |
| MEDIVATION INC | 58501NAA9 | NOTE | 6,000 | $11,000 | thousands by filing date | principal |
| COMSTOCK MNG INC | 205750102 | COM | 16,130 | $11,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 10,660 | $11,000 | thousands by filing date | |
| AMERICAN EAGLE ENERGY | 02554F300 | COM | 18,911 | $11,000 | thousands by filing date | |
| ILLUMINA INC | 452327AD1 | NOTE 0.250% 3/1 | 5,000 | $11,000 | thousands by filing date | principal |
| FIVE9 INC | 338307101 | COM | 2,375 | $10,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 200 | $10,000 | thousands by filing date | call |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,242 | $10,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 175 | $10,000 | thousands by filing date | call |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,133 | $10,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,104 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 800 | $10,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 2,622 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $10,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 2,200 | $10,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 722 | $10,000 | thousands by filing date | call |
| ROSETTA RESOURCES INC | 777779307 | COM | 460 | $10,000 | thousands by filing date | call |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 4,135 | $10,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 691 | $10,000 | thousands by filing date | |
| UROPLASTY INC | 917277204 | COM NEW | 5,269 | $10,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 3,954 | $10,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,051 | $10,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 10,000 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 420 | $10,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 1,308 | $10,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 5,600 | $10,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 1,000 | $10,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 699 | $10,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A309 | COM PAR$.00001 | 20,800 | $10,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 8,000 | $10,000 | thousands by filing date | |
| GARNERO GROUP ACQUISITION CO | G5866L132 | RIGHT 06/25/2016 | 33,645 | $10,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 232 | $9,000 | thousands by filing date | call |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 131 | $9,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 200 | $9,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 265 | $9,000 | thousands by filing date | put |
| TIME WARNER INC | 887317303 | COM NEW | 112 | $9,000 | thousands by filing date | call |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 640 | $9,000 | thousands by filing date | call |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 500 | $9,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 1,300 | $9,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 700 | $9,000 | thousands by filing date | call |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 1,345 | $9,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 2,200 | $9,000 | thousands by filing date | call |
| REACHLOCAL INC | 75525F104 | COM | 2,906 | $9,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 750 | $9,000 | thousands by filing date | call |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 7,931 | $9,000 | thousands by filing date | call |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 1,777 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 67 | $9,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 6,205 | $9,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 993 | $9,000 | thousands by filing date | put |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 264 | $9,000 | thousands by filing date | |
| ISHARES TR | 46429B226 | INDUSTRIAL SCT | 200 | $9,000 | thousands by filing date | |
| COLLABRIUM JAPAN ACQUISITN C | G2266G128 | UNIT 99/99/9999 | 900 | $9,000 | thousands by filing date | |
| AMERICAN CARESOURCE HLDGS IN | 02505A202 | COM | 3,421 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 250 | $9,000 | thousands by filing date | |
| SKYSTAR BIO-PHARMA CO | 830884300 | COM PAR $.001 | 2,199 | $9,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 2,952 | $9,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 400 | $9,000 | thousands by filing date | |
| FMSA HLDGS INC | 30255X106 | COM | 1,302 | $9,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 750 | $9,000 | thousands by filing date | call |
| NXT ID INC COM | 67091J107 | Stock | 4,270 | $9,000 | thousands by filing date | |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 716 | $9,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 3,000 | $8,000 | thousands by filing date | call |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 386 | $8,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 76 | $8,000 | thousands by filing date | put |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 145 | $8,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 200 | $8,000 | thousands by filing date | put |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 898 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 113 | $8,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 250 | $8,000 | thousands by filing date | call |
| DENISON MINES CORP | 91688T104 | COM | 7,566 | $8,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 500 | $8,000 | thousands by filing date | put |
| METABOLIX INC | 591018809 | COM | 21,813 | $8,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 1,728 | $8,000 | thousands by filing date | call |
| XOOM CORP | 98419Q101 | COM | 519 | $8,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 824 | $8,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 500 | $8,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 142 | $8,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 2,000 | $8,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 613 | $8,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 200 | $8,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 750 | $8,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 7,952 | $8,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 1,000 | $8,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 900 | $8,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C303 | COM NEW | 5,200 | $8,000 | thousands by filing date | |
| LIQUID HLDGS GROUP INC COM | 53633A101 | COM | 27,086 | $8,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 141 | $7,000 | thousands by filing date | call |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 80 | $7,000 | thousands by filing date | put |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 80 | $7,000 | thousands by filing date | call |
| CAREDX INC | 14167L103 | COM | 1,000 | $7,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 120 | $7,000 | thousands by filing date | put |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 391 | $7,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 800 | $7,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 780 | $7,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 155 | $7,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 249 | $7,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 546 | $7,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 500 | $7,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 1,284 | $7,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 277 | $7,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 800 | $7,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 5,058 | $7,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 418 | $7,000 | thousands by filing date | call |
| LEXMARK INTL NEW | 529771107 | CL A | 187 | $7,000 | thousands by filing date | call |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 1,000 | $7,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 2,500 | $7,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 4,188 | $7,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 5,073 | $7,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 14,078 | $7,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 5,000 | $7,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 400 | $7,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 400 | $7,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 4,000 | $7,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 925 | $7,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC | 127387AJ7 | NOTE | 3,000 | $7,000 | thousands by filing date | principal |
| HAMPDEN BANCORP INC | 40867E107 | COM | 349 | $7,000 | thousands by filing date | |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 16,573 | $7,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 600 | $7,000 | thousands by filing date | |
| METHES ENERGIES INTL LTD | 591517107 | COM | 5,309 | $7,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 1,991 | $7,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,000 | $7,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 2,600 | $7,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 62 | $7,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 194 | $7,000 | thousands by filing date | |
| BORDERFREE INC | 09970L100 | COM | 803 | $7,000 | thousands by filing date | |
| FORCEFIELD ENERGY | 34520U103 | COM | 1,100 | $7,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 84 | $6,000 | thousands by filing date | put |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 253 | $6,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 1,000 | $6,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 280 | $6,000 | thousands by filing date | call |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 275 | $6,000 | thousands by filing date | call |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 500 | $6,000 | thousands by filing date | put |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 100 | $6,000 | thousands by filing date | call |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 338 | $6,000 | thousands by filing date | call |
| RE MAX HLDGS INC | 75524W108 | CL A | 208 | $6,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 122 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 126 | $6,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 1,122 | $6,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 598 | $6,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 800 | $6,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 625 | $6,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,672 | $6,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 866 | $6,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 1,300 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 148 | $6,000 | thousands by filing date | |
| Equinix, Inc. | 29444U502 | EQIX | 27 | $6,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,000 | $6,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 8,000 | $6,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 1,750 | $6,000 | thousands by filing date | call |
| CARVER BANCORP ORD | 146875604 | COM | 968 | $6,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 341 | $6,000 | thousands by filing date | |
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 250 | $6,000 | thousands by filing date | call |
| EXETER RES CORP | 301835104 | COM | 11,800 | $6,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 1,000 | $6,000 | thousands by filing date | call |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 3,064 | $6,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 548 | $6,000 | thousands by filing date | call |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 1,000 | $6,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 3,447 | $6,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 5,957 | $6,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 544 | $6,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 3,252 | $6,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605116 | Cmn | 4,116 | $6,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 48 | $5,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 95 | $5,000 | thousands by filing date | call |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 165 | $5,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 30 | $5,000 | thousands by filing date | call |
| ELECTROMED INC | 285409108 | COMMON STOCK | 2,100 | $5,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 2,801 | $5,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 300 | $5,000 | thousands by filing date | put |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 300 | $5,000 | thousands by filing date | call |
| ALPHA PRO TECH LTD | 020772109 | COM | 2,120 | $5,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 1,275 | $5,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 229 | $5,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,917 | $5,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 1,222 | $5,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 2,341 | $5,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 1,551 | $5,000 | thousands by filing date | put |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,800 | $5,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 250 | $5,000 | thousands by filing date | call |
| CZR | 127686103 | Stock | 345 | $5,000 | thousands by filing date | call |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 2,783 | $5,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 536 | $5,000 | thousands by filing date | put |
| RETROPHIN INC | 761299106 | COM | 450 | $5,000 | thousands by filing date | call |
| ENSCO PLC | G3157S106 | SHS CLASS A | 200 | $5,000 | thousands by filing date | put |
| BAKER HUGHES INC | 057224107 | COM | 96 | $5,000 | thousands by filing date | call |
| ZOES KITCHEN INC | 98979J109 | COM | 200 | $5,000 | thousands by filing date | call |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 223 | $5,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 599 | $5,000 | thousands by filing date | call |
| PHARMATHENE INC | 71714G102 | COM | 3,200 | $5,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 468 | $5,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 504 | $5,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 2,367 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 116 | $5,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 1,500 | $5,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 854 | $5,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 302 | $5,000 | thousands by filing date | |
| HEARTWARE INTERNATIONAL | 422368AA8 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 321 | $5,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 6,495 | $5,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 275 | $5,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 2,900 | $5,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 7,784 | $5,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,000 | $5,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 864 | $5,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 846 | $5,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 800 | $5,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 433 | $4,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 3,127 | $4,000 | thousands by filing date | call |
| EAGLE MATLS INC COM | 26969P108 | Stock | 54 | $4,000 | thousands by filing date | call |
| BLOCK H & R INC COM | 093671105 | Stock | 124 | $4,000 | thousands by filing date | put |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 316 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 57 | $4,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 200 | $4,000 | thousands by filing date | put |
| FIRST INTERNET BANCORP | 320557101 | COM | 276 | $4,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 180 | $4,000 | thousands by filing date | call |
| VERA BRADLEY INC | 92335C106 | COM | 236 | $4,000 | thousands by filing date | call |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 204 | $4,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 227 | $4,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 55 | $4,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 583 | $4,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 91 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 100 | $4,000 | thousands by filing date | call |
| BARNWELL INDS INC | 068221100 | COM | 1,507 | $4,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,264 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 100 | $4,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 212 | $4,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 82,660 | $4,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 98 | $4,000 | thousands by filing date | call |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 1,387 | $4,000 | thousands by filing date | put |
| Transition Therapeutics, Inc. | 893716209 | COM | 618 | $4,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 135 | $4,000 | thousands by filing date | call |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 300 | $4,000 | thousands by filing date | put |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 795 | $4,000 | thousands by filing date | call |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 114 | $4,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 453 | $4,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 10,038 | $4,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 556 | $4,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 582 | $4,000 | thousands by filing date | |
| FRISCH'S RESTAURANTS INC | 358748101 | COM | 187 | $4,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 555 | $4,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 580 | $4,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 1,342 | $4,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 1,102 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 200 | $4,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 315 | $4,000 | thousands by filing date | put |
| MELA SCIENCES INC | 55277R308 | COM NEW | 4,189 | $4,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 500 | $4,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 338 | $4,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 866 | $4,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 3,715 | $4,000 | thousands by filing date | |
| CELATOR PHARMACEUTICALS INC | 15089R102 | Cmn | 2,300 | $4,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 34 | $3,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 12 | $3,000 | thousands by filing date | call |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 126 | $3,000 | thousands by filing date | put |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 62 | $3,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 567 | $3,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 168 | $3,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 111 | $3,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 38 | $3,000 | thousands by filing date | call |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 200 | $3,000 | thousands by filing date | put |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 500 | $3,000 | thousands by filing date | call |
| PROFIRE ENERGY INC | 74316X101 | COM | 1,609 | $3,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 2,571 | $3,000 | thousands by filing date | put |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 1,271 | $3,000 | thousands by filing date | |
| INTELSAT S A | L5140P119 | MAN CONV JR PFD | 78 | $3,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 1,855 | $3,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 300 | $3,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 2,000 | $3,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 21,612 | $3,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 1,074 | $3,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 3,389 | $3,000 | thousands by filing date | |
| T.G.C. INDUSTRIES INC | 872417308 | COM | 1,578 | $3,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 2,000 | $3,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 1,884 | $3,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L407 | GOLD TRENDP ETN | 125 | $3,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 416 | $3,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 267 | $3,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 4,000 | $3,000 | thousands by filing date | principal |
| PHI INC | 69336T106 | COM VTG | 97 | $3,000 | thousands by filing date | |
| Athens Bancshares Corporation | 047042106 | Common Stock | 131 | $3,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 630 | $3,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 974 | $3,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 1,940 | $3,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 150 | $3,000 | thousands by filing date | put |
| EP ENERGY CORP | 268785102 | CL A | 384 | $3,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 234 | $3,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 605 | $3,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 200 | $3,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760CAA5 | MTNF 2.625% 6/0 | 3,000 | $3,000 | thousands by filing date | principal |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 600 | $3,000 | thousands by filing date | |
| ASCENT SOLAR TECHNOLOGIES IN | 043635309 | COM NEW | 3,364 | $3,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 81,758 | $3,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 25 | $2,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 35 | $2,000 | thousands by filing date | call |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 31 | $2,000 | thousands by filing date |
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 |