13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2015-03-31, filed 2015-05-15, with 5,316 holding rows worth $160,762,251,000.
- Accession
- 0000948046-15-000050
- Filer
- CIK 948046
- Filed
- 2015-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2015
A holdings report, 19,119 entries on the cover page, a total value of $160,762,251,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $160,762,251,000 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 |
|---|---|---|---|---|---|---|
| GENIE ENERGY LTD | 372284208 | CL B | 4,500 | $34,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 3,000 | $34,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 535 | $34,000 | thousands by filing date | call |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 3,044 | $34,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 71,200 | $34,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 5,086 | $34,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 3,833 | $34,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 1,600 | $34,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 5,760 | $34,000 | thousands by filing date | |
| MACROCURE LTD | M67872107 | SHS | 3,700 | $34,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 315 | $33,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 801 | $33,000 | thousands by filing date | call |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 500 | $33,000 | thousands by filing date | put |
| SIMULATIONS PLUS INC | 829214105 | COM | 5,529 | $33,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 4,500 | $33,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 2,500 | $33,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 2,220 | $33,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 57,930 | $33,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 11,400 | $33,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 90,000 | $33,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 500 | $32,000 | thousands by filing date | put |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 2,600 | $32,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 4,000 | $32,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 400 | $32,000 | thousands by filing date | call |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 1,858 | $32,000 | thousands by filing date | call |
| VALHI INC NEW | 918905100 | COM | 5,268 | $32,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 1,679 | $32,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 66,846 | $32,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 8,707 | $32,000 | thousands by filing date | call |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 1,600 | $32,000 | thousands by filing date | call |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 31,000 | $32,000 | thousands by filing date | principal |
| WIX COM LTD SHS | M98068105 | Stock | 1,679 | $31,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 50,153 | $31,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 1,137 | $31,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 2,200 | $31,000 | thousands by filing date | put |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,292 | $31,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,443 | $31,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 4,229 | $31,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,174 | $31,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 3,867 | $31,000 | thousands by filing date | |
| GEEKNET INC | 36846Q203 | COM | 4,044 | $31,000 | thousands by filing date | |
| 6D Global Tech Inc | 83002F100 | COM | 3,918 | $31,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,055 | $30,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 907 | $30,000 | thousands by filing date | call |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 1,420 | $30,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 1,238 | $30,000 | thousands by filing date | call |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 2,139 | $30,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 8,150 | $30,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 3,920 | $30,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 2,360 | $30,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 7,547 | $30,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 4,100 | $30,000 | thousands by filing date | |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 2,894 | $30,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J112 | RIGHT 03/30/2016 | 193,700 | $30,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 450 | $29,000 | thousands by filing date | put |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 437 | $29,000 | thousands by filing date | call |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 700 | $29,000 | thousands by filing date | put |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 464 | $29,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 7,662 | $29,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,546 | $29,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 5,000 | $29,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 4,008 | $29,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,299 | $29,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 2,297 | $29,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 35,982 | $29,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 3,139 | $29,000 | thousands by filing date | |
| ABENGOA YIELD PLC | G00349103 | ORD SHS | 895 | $29,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 1,150 | $29,000 | thousands by filing date | call |
| ACHAOGEN INC | 004449104 | COM | 3,050 | $29,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 903 | $28,000 | thousands by filing date | call |
| SHAKE SHACK INC | 819047101 | CL A | 589 | $28,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 2,100 | $28,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,400 | $28,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 8,000 | $28,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 21 | $28,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,200 | $28,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 1,783 | $28,000 | thousands by filing date | call |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,381 | $28,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 325 | $28,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 4,221 | $28,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 35,786 | $28,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 4,648 | $28,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 847 | $27,000 | thousands by filing date | put |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,500 | $27,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2,150 | $27,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 237 | $27,000 | thousands by filing date | put |
| APACHE CORP | 037411105 | COM | 450 | $27,000 | thousands by filing date | put |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,900 | $27,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 996 | $27,000 | thousands by filing date | put |
| MARINE PRODS CORP | 568427108 | cs | 3,314 | $27,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 7,148 | $27,000 | thousands by filing date | |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 10,141 | $27,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,148 | $27,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 5,077 | $27,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 2,600 | $26,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 1,715 | $26,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 1,426 | $26,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 2,338 | $26,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 9,788 | $26,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 2,529 | $26,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 3,000 | $26,000 | thousands by filing date | put |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 301 | $26,000 | thousands by filing date | call |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 1,824 | $26,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 350 | $25,000 | thousands by filing date | call |
| METLIFE INC COM | 59156R108 | Stock | 511 | $25,000 | thousands by filing date | put |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,483 | $25,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 2,530 | $25,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 3,457 | $25,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 5,742 | $25,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 230 | $24,000 | thousands by filing date | put |
| MITEK SYS INC | 606710200 | COM NEW | 8,000 | $24,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 900 | $24,000 | thousands by filing date | call |
| ALICO INC | 016230104 | COM | 492 | $24,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 2,000 | $24,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 604 | $24,000 | thousands by filing date | call |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 1,675 | $24,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 80,125 | $24,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 3,000 | $24,000 | thousands by filing date | put |
| LENDINGCLUB CORP | 52603A109 | COM | 1,271 | $24,000 | thousands by filing date | call |
| UCP INC - CL A | 90265Y106 | Common Stock | 2,821 | $24,000 | thousands by filing date | |
| BOULEVARD ACQUISITION CORP | 10157P112 | *W EXP 02/19/201 | 41,580 | $24,000 | thousands by filing date | call |
| Abbott Laboratories | 002824100 | COM | 502 | $23,000 | thousands by filing date | put |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 671 | $23,000 | thousands by filing date | put |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,780 | $23,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 1,525 | $23,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 17,200 | $23,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 391 | $23,000 | thousands by filing date | call |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 4,860 | $23,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 2,556 | $23,000 | thousands by filing date | put |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 18,236 | $23,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 17,427 | $23,000 | thousands by filing date | |
| AMERICAN EAGLE ENERGY | 02554F300 | COM | 130,881 | $23,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 250 | $22,000 | thousands by filing date | call |
| THOR INDS INC | 885160101 | COM | 350 | $22,000 | thousands by filing date | call |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 153 | $22,000 | thousands by filing date | call |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 2,000 | $22,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 415 | $22,000 | thousands by filing date | call |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 2,000 | $22,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 455 | $22,000 | thousands by filing date | call |
| 22ND CENTY GROUP INC | 90137F103 | COM | 26,355 | $22,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 2,700 | $22,000 | thousands by filing date | call |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 1,700 | $22,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 1,600 | $22,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 12,474 | $22,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 20,315 | $22,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 437 | $22,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,370 | $22,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 3,272 | $22,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 4,147 | $22,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 13,389 | $22,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 10,937 | $22,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 150 | $21,000 | thousands by filing date | call |
| PALO ALTO NETWORKS INC | 697435105 | COM | 150 | $21,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 1,327 | $21,000 | thousands by filing date | call |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 2,068 | $21,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 600 | $21,000 | thousands by filing date | call |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 3,000 | $21,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 3,666 | $21,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 7,659 | $21,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 1,000 | $21,000 | thousands by filing date | call |
| BLACKHAWK NET B | 09238E203 | Common Stock | 600 | $21,000 | thousands by filing date | call |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 2,157 | $21,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 761 | $20,000 | thousands by filing date | put |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 85 | $20,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 750 | $20,000 | thousands by filing date | call |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 5,377 | $20,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 2,244 | $20,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 19,500 | $20,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 400 | $20,000 | thousands by filing date | call |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,150 | $20,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 251 | $19,000 | thousands by filing date | put |
| PACKAGING CORP AMER COM | 695156109 | Stock | 250 | $19,000 | thousands by filing date | put |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,000 | $19,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 591 | $19,000 | thousands by filing date | call |
| BARRICK GOLD CORP | 067901108 | COM | 1,800 | $19,000 | thousands by filing date | put |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 294 | $19,000 | thousands by filing date | call |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 1,400 | $19,000 | thousands by filing date | call |
| CLEARONE INC | 18506U104 | COM | 1,872 | $19,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 32,959 | $19,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 4,200 | $19,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 1,942 | $19,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 7,976 | $19,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 159 | $18,000 | thousands by filing date | call |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 1,450 | $18,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,276 | $18,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 5,072 | $18,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 1,315 | $18,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 463 | $18,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 692 | $18,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 16,414 | $18,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 900 | $18,000 | thousands by filing date | call |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 5,953 | $18,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 30,295 | $18,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 12,443 | $18,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 1,700 | $18,000 | thousands by filing date | put |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 3,378 | $18,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,032 | $18,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 3,972 | $18,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 800 | $18,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 500 | $17,000 | thousands by filing date | call |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 170 | $17,000 | thousands by filing date | call |
| VUZIX CORP | 92921W300 | COM NEW | 3,165 | $17,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 900 | $17,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 500 | $17,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 3,186 | $17,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 3,400 | $17,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 1,000 | $17,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 1,000 | $17,000 | thousands by filing date | call |
| PIXELWORKS INC | 72581M305 | COM NEW | 3,474 | $17,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 2,232 | $17,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 903 | $17,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,569 | $17,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 12,781 | $17,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 3,988 | $17,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 7,851 | $17,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 225 | $16,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 500 | $16,000 | thousands by filing date | call |
| NEWTEKONE INC | 652526203 | COM NEW | 1,005 | $16,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 125 | $16,000 | thousands by filing date | put |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 2,000 | $16,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 1,593 | $16,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 3,650 | $16,000 | thousands by filing date | call |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 1,033 | $16,000 | thousands by filing date | call |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 2,300 | $16,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 2,000 | $16,000 | thousands by filing date | |
| SEMILEDS CORP | 816645105 | COM | 26,500 | $16,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 7,476 | $16,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 6,178 | $16,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 100,000 | $16,000 | thousands by filing date | call |
| KBHOME | 48666K109 | COM | 1,000 | $15,000 | thousands by filing date | call |
| TOLL BROTHERS INC COM | 889478103 | Stock | 400 | $15,000 | thousands by filing date | call |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 6,693 | $15,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 600 | $15,000 | thousands by filing date | put |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 1,377 | $15,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 833 | $15,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 752 | $15,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,065 | $15,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 341 | $15,000 | thousands by filing date | call |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 40,131 | $15,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 1,679 | $15,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,000 | $15,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 13,189 | $15,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 5,136 | $15,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 158 | $14,000 | thousands by filing date | put |
| TRINITY INDS INC | 896522109 | COM | 400 | $14,000 | thousands by filing date | put |
| AUTODESK INC COM | 052769106 | Stock | 250 | $14,000 | thousands by filing date | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 1,000 | $14,000 | thousands by filing date | put |
| COTERRA ENERGY INC COM | 127097103 | Stock | 500 | $14,000 | thousands by filing date | put |
| GOGO INC | 38046C109 | COM | 793 | $14,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 567 | $14,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 1,134 | $14,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,473 | $14,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,000 | $14,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 2,000 | $14,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 1,000 | $14,000 | thousands by filing date | call |
| PLANAR SYSTEMS INC | 726900103 | COM | 2,290 | $14,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 1,850 | $14,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 2,433 | $14,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 9,000 | $14,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 500 | $14,000 | thousands by filing date | principal |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 700 | $13,000 | thousands by filing date | put |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 215 | $13,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 840 | $13,000 | thousands by filing date | call |
| TRAVELZOO | 89421Q205 | CMN | 1,436 | $13,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 1,000 | $13,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 4,941 | $13,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 2,700 | $13,000 | thousands by filing date | put |
| PEABODY ENERGY CORP | 704549104 | COM | 2,700 | $13,000 | thousands by filing date | call |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 27,093 | $13,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 381 | $13,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 2,000 | $13,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895309 | COM | 4,900 | $13,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 150 | $12,000 | thousands by filing date | put |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 2,000 | $12,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 136 | $12,000 | thousands by filing date | call |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 600 | $12,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 1,196 | $12,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,471 | $12,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 6,000 | $12,000 | thousands by filing date | principal |
| Galena Biopharma Inc | 363256108 | COM | 9,819 | $12,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 6,234 | $12,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,987 | $12,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,800 | $12,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 1,157 | $12,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 125 | $11,000 | thousands by filing date | put |
| INCYTE CORP COM | 45337C102 | Stock | 125 | $11,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,834 | $11,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 2,753 | $11,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 162 | $11,000 | thousands by filing date | call |
| SEALED AIR CORP NEW | 81211K100 | COM | 250 | $11,000 | thousands by filing date | call |
| NRC HEALTH | 637372202 | COMMON STOCK | 826 | $11,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 250 | $11,000 | thousands by filing date | call |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 750 | $11,000 | thousands by filing date | call |
| WHITING PETE CORP NEW | 966387102 | COM | 375 | $11,000 | thousands by filing date | put |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 10,016 | $11,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 1,225 | $11,000 | thousands by filing date | |
| VIMICRO INTL CORP | 92718N109 | ADR | 1,177 | $11,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 90 | $10,000 | thousands by filing date | put |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 500 | $10,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 156 | $10,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 4,229 | $10,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 208 | $10,000 | thousands by filing date | call |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 500 | $10,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,910 | $10,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 251 | $10,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 2,200 | $10,000 | thousands by filing date | call |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 749 | $10,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 1,117 | $10,000 | thousands by filing date | put |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 691 | $10,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 1,156 | $10,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 984 | $10,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 1,061 | $10,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 550 | $10,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 1,016 | $10,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 14,789 | $10,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 1,157 | $9,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 1,990 | $9,000 | thousands by filing date | call |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 1,345 | $9,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 1,350 | $9,000 | thousands by filing date | call |
| MODEL N INC | 607525102 | COM | 858 | $9,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 1,000 | $9,000 | thousands by filing date | call |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 3,147 | $9,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 600 | $9,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 767 | $9,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 418 | $9,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 5,000 | $9,000 | thousands by filing date | principal |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 100 | $8,000 | thousands by filing date | call |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 386 | $8,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 400 | $8,000 | thousands by filing date | call |
| SEABOARD CORP DEL | 811543107 | COM | 2 | $8,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,018 | $8,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 305 | $8,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,104 | $8,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2,591 | $8,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 400 | $8,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 898 | $8,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 160 | $8,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 500 | $8,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 365 | $8,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 700 | $8,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 826 | $8,000 | thousands by filing date | call |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 1,000 | $8,000 | thousands by filing date | call |
| SALIX PHARMACEUTICALS INC | 795435106 | COM | 51 | $8,000 | thousands by filing date | put |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 953 | $8,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 3,591 | $8,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 200 | $8,000 | thousands by filing date | principal |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 1,000 | $8,000 | thousands by filing date | |
| ILLUMINA INC | 452327AD1 | NOTE 0.250% 3/1 | 4,000 | $8,000 | thousands by filing date | principal |
| CVSL INC | 12665T206 | Cmn | 3,547 | $8,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J138 | *W EXP 03/29/202 | 98,500 | $8,000 | thousands by filing date | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 3,605 | $7,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,242 | $7,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 89 | $7,000 | thousands by filing date | call |
| 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 | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 3,101 | $7,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 849 | $7,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 400 | $7,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 9,500 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,000 | $7,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 2,789 | $7,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 3,233 | $7,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 6,373 | $7,000 | thousands by filing date | call |
| MEDIVATION INC | 58501NAA9 | NOTE | 3,000 | $7,000 | thousands by filing date | principal |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 4,028 | $7,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC | 127387AJ7 | NOTE | 3,000 | $7,000 | thousands by filing date | principal |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 400 | $7,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 284 | $7,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 993 | $7,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 900 | $7,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 62 | $7,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 6,319 | $7,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 324 | $6,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 200 | $6,000 | thousands by filing date | call |
| INPHI CORP | 45772F107 | COM | 352 | $6,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 301 | $6,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 866 | $6,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 3,050 | $6,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 500 | $6,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 150 | $6,000 | thousands by filing date | call |
| EXPRESS INC | 30219E103 | COMMON STOCK | 413 | $6,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 341 | $6,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 5,318 | $6,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 1,004 | $6,000 | thousands by filing date | |
| ROSETTA RESOURCES INC | 777779307 | COM | 360 | $6,000 | thousands by filing date | call |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 2,441 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 1,500 | $6,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,388 | $6,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 800 | $6,000 | thousands by filing date | |
| HAMPDEN BANCORP INC | 40867E107 | COM | 301 | $6,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 3,700 | $6,000 | thousands by filing date | |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 20,000 | $6,000 | thousands by filing date | call |
| OREXIGEN THERAPEUTICS INC | 686164AB0 | NOTE 2.750%12/0 | 6,000 | $6,000 | thousands by filing date | principal |
| ELBIT IMAGING LTD | M37605116 | Cmn | 5,516 | $6,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 39 | $5,000 | thousands by filing date | put |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 483 | $5,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 67 | $5,000 | thousands by filing date | call |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 116 | $5,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 217 | $5,000 | thousands by filing date | put |
| CARNIVAL PLC ADS | 14365C103 | ADR | 104 | $5,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 388 | $5,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 290 | $5,000 | thousands by filing date | call |
| CANADIAN SOLAR INC | 136635109 | COM | 158 | $5,000 | thousands by filing date | call |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 51 | $5,000 | thousands by filing date | call |
| VECTOR GROUP LTD | 92240M108 | COM | 250 | $5,000 | thousands by filing date | call |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 879 | $5,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 1,275 | $5,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 281 | $5,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 1,025 | $5,000 | thousands by filing date | call |
| SANOFI | 80105N113 | COMMON STOCK-FO | 8,000 | $5,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 11,500 | $5,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 452 | $5,000 | thousands by filing date | call |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 10,900 | $5,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 1,187 | $5,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 1,000 | $5,000 | thousands by filing date | |
| HEARTWARE INTERNATIONAL | 422368AA8 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| SELECTICA INC | 816288203 | COM | 804 | $5,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 3,264 | $5,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 334 | $4,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 175 | $4,000 | thousands by filing date | call |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 200 | $4,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 641 | $4,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 500 | $4,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,135 | $4,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 234 | $4,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 212 | $4,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 600 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 400 | $4,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 200 | $4,000 | thousands by filing date | call |
| INTEVAC INC | 461148108 | COM | 755 | $4,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 420 | $4,000 | thousands by filing date | put |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 2,167 | $4,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 418 | $4,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 300 | $4,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 5,000 | $4,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 435 | $4,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 500 | $4,000 | thousands by filing date | call |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 4,600 | $4,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 2,708 | $4,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 2,800 | $4,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 600 | $4,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 293 | $4,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 500 | $4,000 | thousands by filing date | |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 2,969 | $4,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 398 | $4,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 1,058 | $4,000 | thousands by filing date | |
| SANCHEZ PRODTN PARTNE | 79971C102 | COMMON | 2,300 | $4,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 706 | $3,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 177 | $3,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 46 | $3,000 | thousands by filing date | call |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 105 | $3,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 453 | $3,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 978 | $3,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 2,549 | $3,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 1,306 | $3,000 | thousands by filing date | call |
| PLY GEM HLDGS INC | 72941W100 | COM | 293 | $3,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 2,000 | $3,000 | thousands by filing date | principal |
| Female Health Company | 314462102 | COM | 1,405 | $3,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 5,000 | $3,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 231 | $3,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 535 | $3,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 1,500 | $3,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 527 | $3,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 4,068 | $3,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 4,000 | $3,000 | thousands by filing date | principal |
| CAROLINA TR BK LINCOLNTON NC | 144200102 | COM | 594 | $3,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 243 | $3,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 1,128 | $3,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 1,086 | $3,000 | thousands by filing date | |
| SKYSTAR BIO-PHARMA CO | 830884300 | COM PAR $.001 | 908 | $3,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 202 | $3,000 | thousands by filing date | |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 2,000 | $3,000 | thousands by filing date | principal |
| SPECTRANETICS CORP | 84760CAA5 | MTNF 2.625% 6/0 | 3,000 | $3,000 | thousands by filing date | principal |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 580 | $3,000 | thousands by filing date | |
| GARNERO GROUP ACQUISITION CO | G5866L132 | RIGHT 06/25/2016 | 21,145 | $3,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 100 | $2,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 350 | $2,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 270 | $2,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 166 | $2,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 249 | $2,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 275 | $2,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 703 | $2,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 201 | $2,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 182 | $2,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 437 | $2,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 200 | $2,000 | thousands by filing date | put |
| BARCLAYS BK PLC | 06740P114 | FUND | 90 | $2,000 | thousands by filing date | principal |
| MECHEL OAO | 583840103 | SPONSORED ADR | 1,721 | $2,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 45 | $2,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 5,670 | $2,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 100 | $2,000 | thousands by filing date | call |
| INTELSAT S A | L5140P119 | MAN CONV JR PFD | 78 | $2,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 300 | $2,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 1,450 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-15-000050 | this filing | 2015-05-15 | acceptance time not in the bulk data set |