13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2015-06-30, filed 2015-08-12, with 5,424 holding rows worth $156,663,128,000.
- Accession
- 0000948046-15-000070
- Filer
- CIK 948046
- Filed
- 2015-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A holdings report, 19,052 entries on the cover page, a total value of $156,663,128,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $156,663,128,000 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 |
|---|---|---|---|---|---|---|
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 5,000 | $61,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 2,759 | $61,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 722 | $61,000 | thousands by filing date | put |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 18,389 | $61,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 750 | $60,000 | thousands by filing date | put |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 7,600 | $60,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 1,522 | $60,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 2,069 | $60,000 | thousands by filing date | call |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 4,268 | $60,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 750 | $60,000 | thousands by filing date | put |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 7,300 | $59,000 | thousands by filing date | call |
| Pimco Income Oppty Fund | 72202B100 | COM | 2,441 | $59,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 3,400 | $59,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 1,110 | $58,000 | thousands by filing date | call |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 393 | $58,000 | thousands by filing date | call |
| HEWLETT PACKARD CO | 428236103 | COM | 1,950 | $58,000 | thousands by filing date | call |
| INVENTURE FOODS INC | 461212102 | COM | 5,798 | $58,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 3,725 | $58,000 | thousands by filing date | call |
| American Express Company | 025816109 | COM | 745 | $57,000 | thousands by filing date | put |
| Elevance Health, Inc. | 036752103 | COM | 350 | $57,000 | thousands by filing date | call |
| TIPTREE INC | 88822Q103 | COM | 7,959 | $57,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 4,325 | $57,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 1,200 | $57,000 | thousands by filing date | put |
| Medgenics Inc New | 58436Q203 | COM NEW | 9,444 | $57,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 17,585 | $57,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 185,600 | $57,000 | thousands by filing date | principal |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 6,260 | $57,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 1,351 | $56,000 | thousands by filing date | call |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 4,500 | $56,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 6,220 | $56,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,735 | $56,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 7,140 | $56,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 15,328 | $56,000 | thousands by filing date | call |
| GAS NAT INC | 367204104 | COM | 5,492 | $56,000 | thousands by filing date | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 9,818 | $56,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 1,063 | $56,000 | thousands by filing date | put |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 2,720 | $56,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 3,165 | $56,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 831 | $55,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 3,000 | $55,000 | thousands by filing date | call |
| 3M CO COM | 88579Y101 | Stock | 360 | $55,000 | thousands by filing date | call |
| DISCOVER FINL SVCS | 254709108 | COM | 968 | $55,000 | thousands by filing date | call |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 5,500 | $55,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 931 | $55,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 25,137 | $55,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 1,550 | $55,000 | thousands by filing date | call |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 3,696 | $55,000 | thousands by filing date | |
| AROWANA INC | G05011138 | UNIT 99/99/9999 | 5,460 | $55,000 | thousands by filing date | |
| GARNERO GROUP ACQUISITION CO | G5866L124 | UNIT 06/25/2016 | 5,555 | $55,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 500 | $54,000 | thousands by filing date | put |
| GREIF INC | 397624206 | CL B | 1,358 | $54,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 809 | $54,000 | thousands by filing date | call |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 38,019 | $54,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 3,401 | $54,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 34,213 | $54,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 12,400 | $54,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 800 | $53,000 | thousands by filing date | put |
| ZIONS BANCORPORATION | 989701107 | COM | 1,693 | $53,000 | thousands by filing date | put |
| LULULEMON ATHLETICA INC | 550021109 | COM | 817 | $53,000 | thousands by filing date | call |
| GARMIN LTD SHS | H2906T109 | Stock | 1,220 | $53,000 | thousands by filing date | call |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,432 | $53,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 3,645 | $53,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,277 | $53,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 40,001 | $53,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 9,418 | $53,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 21,833 | $53,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 5,130 | $53,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 1,850 | $52,000 | thousands by filing date | call |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 1,892 | $52,000 | thousands by filing date | call |
| WINMARK CORP | 974250102 | COM | 533 | $52,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 4,480 | $52,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 7,000 | $52,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 109,512 | $52,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 11,037 | $52,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 38,024 | $52,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 3,904 | $52,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 2,730 | $52,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 262 | $51,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 3,750 | $51,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 1,393 | $51,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 3,946 | $51,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 2,500 | $51,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 3,620 | $51,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 1,525 | $51,000 | thousands by filing date | call |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 7,209 | $51,000 | thousands by filing date | |
| MADISON COUNTY FINANCIAL INC | 556777100 | COM | 2,449 | $51,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 5,820 | $51,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 762 | $50,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 256 | $50,000 | thousands by filing date | call |
| AUTODESK INC COM | 052769106 | Stock | 1,000 | $50,000 | thousands by filing date | call |
| DOLLAR GEN CORP COM | 256677105 | Stock | 650 | $50,000 | thousands by filing date | call |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 5,757 | $50,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 915 | $50,000 | thousands by filing date | call |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,236 | $50,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 3,000 | $50,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 2,008 | $50,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 352 | $50,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 2,472 | $50,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 16,028 | $50,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 48,437 | $50,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 14,553 | $50,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 3,600 | $50,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 1,650 | $50,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 35,617 | $50,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 1,145 | $49,000 | thousands by filing date | put |
| TRUPANION INC | 898202106 | COM | 6,057 | $49,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 8,175 | $49,000 | thousands by filing date | call |
| AFFIMED N V | N01045108 | COM | 3,675 | $49,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 110,832 | $49,000 | thousands by filing date | call |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 465 | $48,000 | thousands by filing date | call |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 2,992 | $48,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 4,025 | $48,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 21,836 | $48,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 320,000 | $48,000 | thousands by filing date | principal |
| YELP INC CL A | 985817105 | Stock | 1,100 | $47,000 | thousands by filing date | call |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 3,000 | $47,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 824 | $47,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 6,060 | $47,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,973 | $47,000 | thousands by filing date | |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 3,177 | $47,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 3,063 | $47,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 500 | $47,000 | thousands by filing date | call |
| BOJANGLES INC | 097488100 | COM | 1,992 | $47,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 9,550 | $47,000 | thousands by filing date | |
| OMNICARE | 681904AQ1 | NOTE3 | 34,000 | $47,000 | thousands by filing date | principal |
| CHC GROUP LTD | G07021101 | SHS | 55,013 | $47,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 546 | $46,000 | thousands by filing date | call |
| ConocoPhillips | 20825C104 | COM | 750 | $46,000 | thousands by filing date | put |
| DOLLAR TREE INC COM | 256746108 | Stock | 589 | $46,000 | thousands by filing date | put |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 170,011 | $46,000 | thousands by filing date | principal |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,022 | $46,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 600 | $46,000 | thousands by filing date | put |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 137,109 | $46,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 4,439 | $46,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 2,550 | $45,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $45,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,758 | $45,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 393 | $45,000 | thousands by filing date | put |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 8,054 | $45,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 1,568 | $45,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 1,210 | $45,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 16,960 | $45,000 | thousands by filing date | |
| TCP International Holdings Ltd | H84689100 | COMMON | 11,029 | $45,000 | thousands by filing date | |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 8,570 | $45,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 12,865 | $45,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 1,140 | $44,000 | thousands by filing date | put |
| OIL DRI CORP AMER COM | 677864100 | Stock | 1,490 | $44,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 1,412 | $44,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 1,600 | $44,000 | thousands by filing date | call |
| SIMULATIONS PLUS INC | 829214105 | COM | 7,121 | $44,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 3,000 | $44,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 16,830 | $44,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 2,275 | $43,000 | thousands by filing date | call |
| Eaton Corp. Plc | G29183103 | COM | 650 | $43,000 | thousands by filing date | call |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 1,045 | $43,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 500 | $43,000 | thousands by filing date | put |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,570 | $43,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 7,616 | $43,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 39,774 | $43,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 9,681 | $43,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 22,153 | $43,000 | thousands by filing date | |
| BIO REFERENCE LABS INC | 09057G602 | COM | 1,050 | $43,000 | thousands by filing date | put |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 5,581 | $43,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N522 | DB 3X LONG UST | 97,304 | $43,000 | thousands by filing date | principal |
| DT ASIA INVTS LTD | G2615J112 | RIGHT 03/30/2016 | 193,700 | $43,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,920 | $42,000 | thousands by filing date | call |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 8,478 | $42,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 4,601 | $42,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 3,045 | $42,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 7,200 | $42,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 13,491 | $42,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 1,163 | $42,000 | thousands by filing date | call |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 9,602 | $42,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 735 | $42,000 | thousands by filing date | call |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,851 | $42,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 5,634 | $42,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 44,373 | $42,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 30,011 | $42,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 2,882 | $41,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 3,871 | $41,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 3,000 | $41,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 2,201 | $41,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 2,822 | $41,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 2,850 | $41,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 20,842 | $41,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 4,936 | $41,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 5,773 | $41,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 250 | $40,000 | thousands by filing date | put |
| Procter & Gamble Co | 742718109 | COM | 524 | $40,000 | thousands by filing date | put |
| NEWTEKONE INC | 652526203 | COM NEW | 2,258 | $40,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 1,900 | $40,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 20,000 | $40,000 | thousands by filing date | principal |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 50,165 | $40,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,613 | $40,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 6,327 | $39,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 2,284 | $39,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 6,200 | $39,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,071 | $39,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 4,641 | $39,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 3,938 | $39,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 34,891 | $39,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 929 | $38,000 | thousands by filing date | call |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 5,914 | $38,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 200,000 | $38,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 3,000 | $38,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 7,796 | $38,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 25,035 | $38,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 2,841 | $38,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 1,179 | $37,000 | thousands by filing date | call |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 2,500 | $37,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 3,182 | $37,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 4,605 | $37,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,457 | $37,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 3,488 | $37,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 2,300 | $37,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 10,000 | $37,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 5,200 | $37,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 2,476 | $37,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 5,351 | $37,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 90 | $36,000 | thousands by filing date | put |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 317 | $36,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 3,284 | $36,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,450 | $36,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 5,693 | $36,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 1,250 | $36,000 | thousands by filing date | call |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 5,117 | $36,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 4,214 | $36,000 | thousands by filing date | |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 13,000 | $36,000 | thousands by filing date | principal |
| NEFF CORP COM CL A | 640094207 | Stock | 3,596 | $36,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 1,135 | $35,000 | thousands by filing date | put |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 4,500 | $35,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 11,703 | $35,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 2,558 | $35,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 8,799 | $35,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 2,769 | $35,000 | thousands by filing date | |
| NEW SOURCE ENERGY PARTNERS L | 64881E109 | CMN | 8,400 | $35,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 3,050 | $34,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 250 | $34,000 | thousands by filing date | call |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 2,542 | $34,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 400 | $34,000 | thousands by filing date | put |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,806 | $34,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 3,697 | $34,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 2,735 | $34,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 7,080 | $34,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 7,044 | $34,000 | thousands by filing date | put |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 800 | $34,000 | thousands by filing date | put |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 6,080 | $34,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 24,100 | $34,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 5,070 | $34,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,326 | $34,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 500 | $33,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 9,521 | $33,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 10,622 | $33,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 182,278 | $33,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 5,086 | $33,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 4,638 | $33,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 4,507 | $33,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 1,852 | $33,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 3,316 | $33,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 310 | $32,000 | thousands by filing date | call |
| LULULEMON ATHLETICA INC | 550021109 | COM | 500 | $32,000 | thousands by filing date | put |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 470 | $32,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 58,600 | $32,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 3,000 | $32,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 2,500 | $32,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,901 | $32,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 16,000 | $32,000 | thousands by filing date | principal |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 600 | $31,000 | thousands by filing date | call |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 9,788 | $31,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 79,601 | $31,000 | thousands by filing date | principal |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 5,902 | $31,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 8,849 | $31,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 34,291 | $31,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 4,735 | $31,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 31,000 | $31,000 | thousands by filing date | principal |
| 6D Global Tech Inc | 83002F100 | COM | 4,754 | $31,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 29,669 | $31,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 801 | $30,000 | thousands by filing date | call |
| GAP INC COM | 364760108 | Stock | 788 | $30,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 4,095 | $30,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 4,027 | $30,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 750 | $30,000 | thousands by filing date | call |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 1,000 | $30,000 | thousands by filing date | call |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 1,407 | $30,000 | thousands by filing date | call |
| ISRAMCO INC | 465141406 | COM | 220 | $30,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 45,500 | $30,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 1,312 | $30,000 | thousands by filing date | |
| ILLUMINA INC | 452327AD1 | NOTE 0.250% 3/1 | 12,000 | $30,000 | thousands by filing date | principal |
| ROKA BIOSCIENCE INC | 775431109 | COM | 11,840 | $30,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 2,091 | $30,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 90,000 | $30,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 594 | $29,000 | thousands by filing date | call |
| FIVE9 INC | 338307101 | COM | 5,700 | $29,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 600 | $29,000 | thousands by filing date | put |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 1,457 | $29,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 337 | $29,000 | thousands by filing date | call |
| RYERSON HLDG CORP | 783754104 | COM | 3,376 | $29,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 680 | $29,000 | thousands by filing date | call |
| OCWEN FINL CORP | 675746309 | COM NEW | 2,900 | $29,000 | thousands by filing date | call |
| WESTERN REFNG INC | 959319104 | COM | 674 | $29,000 | thousands by filing date | call |
| BREEZE-EASTERN CORP | 106764103 | COMM STK | 2,549 | $29,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 2,400 | $29,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 511 | $28,000 | thousands by filing date | put |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 263 | $28,000 | thousands by filing date | call |
| AUTODESK INC COM | 052769106 | Stock | 568 | $28,000 | thousands by filing date | put |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 2,226 | $28,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 1,603 | $28,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 4,137 | $28,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 2,101 | $28,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 793 | $28,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 415 | $28,000 | thousands by filing date | call |
| TILLYS INC | 886885102 | CL A | 2,980 | $28,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 21 | $28,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 4,100 | $28,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 550 | $28,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 7,462 | $28,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 1,000 | $27,000 | thousands by filing date | call |
| MITEK SYS INC | 606710200 | COM NEW | 7,300 | $27,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,600 | $27,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 1,750 | $27,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,457 | $27,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 1,049 | $27,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 77,720 | $27,000 | thousands by filing date | principal |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 9,265 | $27,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 2,171 | $27,000 | thousands by filing date | call |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 27,896 | $27,000 | thousands by filing date | |
| INTEGRATED ELECTRICAL SERVIC | 45811E301 | COM | 3,871 | $27,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 4,290 | $27,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 30,836 | $27,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 150 | $26,000 | thousands by filing date | put |
| ServiceNow,Inc. | 81762P102 | COM | 350 | $26,000 | thousands by filing date | call |
| WORKIVA INC COM CL A | 98139A105 | Stock | 1,922 | $26,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 652 | $26,000 | thousands by filing date | call |
| PPL CORP COM | 69351T106 | Stock | 907 | $26,000 | thousands by filing date | call |
| BLOCK H & R INC COM | 093671105 | Stock | 903 | $26,000 | thousands by filing date | call |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 2,300 | $26,000 | thousands by filing date | call |
| Concho Resources Inc. | 20605P101 | COM | 237 | $26,000 | thousands by filing date | put |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 562 | $26,000 | thousands by filing date | call |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 492 | $26,000 | thousands by filing date | call |
| GOLDCORP INC NEW | 380956409 | COM | 1,678 | $26,000 | thousands by filing date | put |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 2,125 | $26,000 | thousands by filing date | put |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,381 | $26,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 37,391 | $26,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 6,203 | $26,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 18,800 | $26,000 | thousands by filing date | |
| HF FINANCIAL CORP | 404172108 | COMMON STOCK USD.01 | 1,743 | $26,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 108,567 | $26,000 | thousands by filing date | principal |
| KEURIG GREEN MTN INC | 49271M100 | COM | 344 | $26,000 | thousands by filing date | call |
| ATYR PHARMA INC | 002120103 | COM | 1,452 | $26,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 5,136 | $26,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 329 | $25,000 | thousands by filing date | call |
| BURLINGTON STORES INC COM | 122017106 | Stock | 500 | $25,000 | thousands by filing date | call |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,973 | $25,000 | thousands by filing date | call |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 2,000 | $25,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 1,900 | $25,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,500 | $25,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 4,314 | $25,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 1,160 | $25,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 50 | $24,000 | thousands by filing date | call |
| PAYCHEX INC | 704326107 | COM | 524 | $24,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 13,624 | $24,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 1,450 | $24,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 450 | $24,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 600 | $24,000 | thousands by filing date | call |
| Delta Apparel Inc | 247368103 | COM | 1,739 | $24,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 26,000 | $24,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 10,781 | $24,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 12,068 | $24,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 4,787 | $24,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 1,740 | $23,000 | thousands by filing date | call |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 1,000 | $23,000 | thousands by filing date | call |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 500 | $23,000 | thousands by filing date | call |
| CROWN HLDGS INC COM | 228368106 | Stock | 450 | $23,000 | thousands by filing date | call |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 777 | $23,000 | thousands by filing date | call |
| FIRST INTERNET BANCORP | 320557101 | COM | 961 | $23,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,726 | $23,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 1,702 | $23,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 310,000 | $23,000 | thousands by filing date | principal |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 1,516 | $23,000 | thousands by filing date | call |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 2,344 | $23,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 11,400 | $23,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 1,955 | $23,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 20,000 | $23,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 3,248 | $23,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 200 | $22,000 | thousands by filing date | call |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 1,012 | $22,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 2,000 | $22,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 4,860 | $22,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 2,550 | $22,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 933 | $22,000 | thousands by filing date | call |
| Castle Brands Inc | 148435100 | COM | 16,700 | $22,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 2,403 | $22,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 2,293 | $22,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 2,800 | $22,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 250 | $21,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,064 | $21,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 3,500 | $21,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 1,556 | $21,000 | thousands by filing date | call |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 12,500 | $21,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 43,200 | $21,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 2,965 | $21,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 150 | $20,000 | thousands by filing date | call |
| Boston Scientific Corporation | 101137107 | COM | 1,178 | $20,000 | thousands by filing date | call |
| Merck & Co.,Inc. | 58933Y105 | COM | 358 | $20,000 | thousands by filing date | put |
| DISCOVER FINL SVCS | 254709108 | COM | 350 | $20,000 | thousands by filing date | put |
| CIGNA CORPORATION | 125509109 | COM | 125 | $20,000 | thousands by filing date | put |
| ENSCO PLC | G3157S106 | SHS CLASS A | 900 | $20,000 | thousands by filing date | call |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 2,782 | $20,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 11,900 | $20,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 4,254 | $20,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 2,561 | $20,000 | thousands by filing date | |
| AVENUE FINL HLDGS INC | 05358K102 | COM | 1,629 | $20,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 1,327 | $19,000 | thousands by filing date | call |
| ROSS STORES INC COM | 778296103 | Stock | 410 | $19,000 | thousands by filing date | call |
| HUNTSMAN CORP | 447011107 | COM | 900 | $19,000 | thousands by filing date | call |
| BARRICK GOLD CORP | 067901108 | COM | 1,800 | $19,000 | thousands by filing date | put |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 291 | $19,000 | thousands by filing date | call |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 996 | $19,000 | thousands by filing date | put |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,892 | $19,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,174 | $19,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 42,164 | $19,000 | thousands by filing date | |
| VALLEY FINL CORP VA | 919629105 | COM | 900 | $19,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 2,400 | $19,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 1,500 | $19,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W308 | DB JAP GOV BD | 92,817 | $19,000 | thousands by filing date | principal |
| MOSAIC CO COM | 61945C103 | Stock | 400 | $18,000 | thousands by filing date | call |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,000 | $18,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 175 | $18,000 | thousands by filing date | put |
| INCYTE CORP COM | 45337C102 | Stock | 175 | $18,000 | thousands by filing date | call |
| CALAMOS DY COM NPV | 12811V105 | COM | 800 | $18,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 870 | $18,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 265 | $18,000 | thousands by filing date | call |
| STRATASYS LTD | M85548101 | SHS | 537 | $18,000 | thousands by filing date | put |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,429 | $18,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,650 | $18,000 | thousands by filing date | |
| GENESEE & WYO INC | 371559204 | UNIT 10/01/2015 | 195 | $18,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 1,166 | $18,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 35,600 | $18,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P170 | INV JAP GOV BD | 98,794 | $18,000 | thousands by filing date | principal |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 975 | $18,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 1,250 | $18,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W209 | DB 3X JAP GOV BD | 73,214 | $18,000 | thousands by filing date | principal |
| SOLAR3D INC | 83417A209 | COM NEW | 5,039 | $18,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 500 | $17,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 500 | $17,000 | thousands by filing date | call |
| Visa Inc | 92826C839 | COM | 264 | $17,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 17,200 | $17,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 4,615 | $17,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,500 | $17,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 644 | $17,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 4,499 | $17,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 969 | $17,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,200 | $17,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 800 | $17,000 | thousands by filing date | call |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 2,000 | $17,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 3,033 | $17,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 1,193 | $17,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 172 | $16,000 | thousands by filing date | put |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 230 | $16,000 | thousands by filing date | put |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,488 | $16,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 3,400 | $16,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,157 | $16,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 1,000 | $16,000 | thousands by filing date | call |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 30,739 | $16,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 29,022 | $16,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 3,988 | $16,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 1,825 | $16,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 7,297 | $16,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 2,952 | $16,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 400 | $15,000 | thousands by filing date | call |
| COTERRA ENERGY INC COM | 127097103 | Stock | 500 | $15,000 | thousands by filing date | put |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,280 | $15,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 600 | $15,000 | thousands by filing date | put |
| BLUE BIRD CORP | 095306106 | COM | 1,222 | $15,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 1,315 | $15,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 1,400 | $15,000 | thousands by filing date | call |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 2,000 | $15,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 1,000 | $15,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 1,855 | $15,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 1,180 | $15,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 275,883 | $15,000 | thousands by filing date | principal |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 100,000 | $15,000 | thousands by filing date | call |
| Charles Schwab Corp | 808513105 | COM | 458 | $14,000 | thousands by filing date | put |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,407 | $14,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 969 | $14,000 | thousands by filing date | call |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 202 | $14,000 | thousands by filing date | put |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 1,800 | $14,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 345 | $14,000 | thousands by filing date | put |
| FTI CONSULTING INC | 302941109 | COM | 345 | $14,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 075896100 | COM | 211 | $14,000 | thousands by filing date | put |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 800 | $14,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 750 | $14,000 | thousands by filing date | call |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,827 | $14,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 3,972 | $14,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | call |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 14,917 | $14,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 825 | $14,000 | thousands by filing date | put |
| AK STEEL HOLDING CORP | 001547108 | COM | 3,650 | $14,000 | thousands by filing date | call |
| PLANAR SYSTEMS INC | 726900103 | COM | 3,230 | $14,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 7,322 | $14,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-15-000070 | this filing | 2015-08-12 | acceptance time not in the bulk data set |