13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-17, with 5,284 holding rows worth $129,359,675,000.
- Accession
- 0000948046-15-000093
- Filer
- CIK 948046
- Filed
- 2015-11-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 19,332 entries on the cover page, a total value of $129,359,675,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $129,359,675,000 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 |
|---|---|---|---|---|---|---|
| CONTROL4 CORP | 21240D107 | COM | 5,832 | $46,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 18,709 | $46,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 4,686 | $46,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 1,280 | $45,000 | thousands by filing date | call |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $45,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 5,000 | $45,000 | thousands by filing date | call |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 2,012 | $45,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 3,193 | $45,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 11,300 | $45,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 8,986 | $45,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,715 | $45,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 1,000 | $44,000 | thousands by filing date | call |
| NAM TAI PROPERTY INC | G63907102 | Com | 7,313 | $44,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 2,131 | $44,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 7,735 | $44,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 4,143 | $44,000 | thousands by filing date | |
| Global Partner Acquisition Corp | 37954X113 | *W EXP 07/01/202 | 165,000 | $44,000 | thousands by filing date | call |
| ConocoPhillips | 20825C104 | COM | 899 | $43,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 552 | $43,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 320 | $43,000 | thousands by filing date | call |
| NETAPP INC COM | 64110D104 | Stock | 1,481 | $43,000 | thousands by filing date | call |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 4,061 | $43,000 | thousands by filing date | call |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 2,882 | $43,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 12,807 | $43,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 3,300 | $43,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 1,160 | $43,000 | thousands by filing date | call |
| CYTRX CORP | 232828509 | COM PAR $.001 | 18,299 | $43,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 6,987 | $43,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 1,063 | $43,000 | thousands by filing date | put |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,022 | $42,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 500 | $42,000 | thousands by filing date | put |
| AES TR III | 00808N202 | PFD CV 6.75% | 864 | $42,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 39,233 | $42,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 2,850 | $42,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 10,743 | $42,000 | thousands by filing date | |
| AR CAP ACQUISITION CORP | 00191R117 | *W EXP 10/06/201 | 175,000 | $42,000 | thousands by filing date | call |
| NEWMONT CORP | 651639106 | COM | 2,616 | $41,000 | thousands by filing date | put |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 926 | $41,000 | thousands by filing date | call |
| WORKDAY INC CL A | 98138H101 | Stock | 600 | $41,000 | thousands by filing date | call |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 50,700 | $41,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 15,816 | $41,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 19,308 | $41,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 2,550 | $40,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 1,842 | $40,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 4,843 | $40,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 2,568 | $40,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 600 | $39,000 | thousands by filing date | call |
| NATERA INC COM | 632307104 | Stock | 3,755 | $39,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 37,960 | $39,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 1,679 | $39,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 2,299 | $38,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 357 | $38,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 500 | $38,000 | thousands by filing date | put |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 75,275 | $38,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,758 | $38,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 6,434 | $38,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,370 | $38,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 3,000 | $38,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 2,214 | $38,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 2,750 | $37,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 6,429 | $37,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 5,820 | $37,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 1,643 | $37,000 | thousands by filing date | call |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 6,788 | $37,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 2,348 | $37,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 1,040 | $37,000 | thousands by filing date | put |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 1,535 | $37,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 3,954 | $37,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 4,342 | $37,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 6,292 | $37,000 | thousands by filing date | |
| VIMICRO INTL CORP | 92718N109 | ADR | 3,077 | $37,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 5,404 | $37,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 550 | $36,000 | thousands by filing date | put |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 163,535 | $36,000 | thousands by filing date | principal |
| ENERGY FUELS INC | 292671708 | COM NEW | 12,438 | $36,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 525 | $36,000 | thousands by filing date | call |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 7,218 | $36,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 400 | $36,000 | thousands by filing date | put |
| Enzo Biochem Inc | 294100102 | Common Stock | 11,664 | $36,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 20,000 | $36,000 | thousands by filing date | principal |
| Medgenics Inc New | 58436Q203 | COM NEW | 4,644 | $36,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 2,300 | $36,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 3,385 | $36,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 6,800 | $36,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 33,000 | $36,000 | thousands by filing date | principal |
| Caterpillar Inc. | 149123101 | COM | 546 | $35,000 | thousands by filing date | call |
| CLOROX CO DEL | 189054109 | COM | 310 | $35,000 | thousands by filing date | call |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 2,500 | $35,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 4,000 | $35,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 2,288 | $35,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 5,433 | $35,000 | thousands by filing date | |
| 38259p508 | COM | 56 | $35,000 | thousands by filing date | put | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 3,513 | $35,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 11,045 | $35,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 26,398 | $35,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 534 | $34,000 | thousands by filing date | put |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 8,539 | $34,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 9,355 | $34,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 3,628 | $34,000 | thousands by filing date | call |
| YAMANA GOLD INC | 98462Y100 | COM | 20,000 | $34,000 | thousands by filing date | put |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 1,491 | $34,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 3,402 | $34,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 1,800 | $34,000 | thousands by filing date | |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 50,889 | $34,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 9,550 | $34,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 650 | $33,000 | thousands by filing date | call |
| EXELON CORP COM | 30161N101 | Stock | 1,135 | $33,000 | thousands by filing date | put |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 1,581 | $33,000 | thousands by filing date | call |
| TRUPANION INC | 898202106 | COM | 4,519 | $33,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 5,875 | $33,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 7,044 | $33,000 | thousands by filing date | put |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 925 | $33,000 | thousands by filing date | call |
| UNILIFE CORP NEW | 90478E103 | COM | 34,961 | $33,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 16,523 | $33,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 4,922 | $33,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 1,518 | $33,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 10,710 | $33,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 2,872 | $32,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 3,182 | $32,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,707 | $32,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 300 | $32,000 | thousands by filing date | call |
| BIODEL INC | 09064M204 | COM | 74,700 | $32,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 3,720 | $32,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 90,000 | $32,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W209 | DB 3X JAP GOV BD | 123,214 | $32,000 | thousands by filing date | principal |
| WORKIVA INC COM CL A | 98139A105 | Stock | 2,102 | $31,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 3,050 | $31,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 4,176 | $31,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 500 | $31,000 | thousands by filing date | call |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 2,201 | $31,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 2,807 | $31,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 3,072 | $31,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 1,014 | $31,000 | thousands by filing date | call |
| HOLLYFRONTIER CORP | 436106108 | COM | 650 | $31,000 | thousands by filing date | call |
| TEARLAB CORP | 878193101 | COM | 15,628 | $31,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 5,248 | $31,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 4,882 | $31,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,469 | $31,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 13,211 | $31,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 4,082 | $31,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 13,223 | $31,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 1,230 | $30,000 | thousands by filing date | put |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 250 | $30,000 | thousands by filing date | call |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 482 | $30,000 | thousands by filing date | call |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 9,788 | $30,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,457 | $30,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 42,749 | $30,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 5,556 | $30,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 329 | $29,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 3,000 | $29,000 | thousands by filing date | call |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 2,226 | $29,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 150 | $29,000 | thousands by filing date | put |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 1,294 | $29,000 | thousands by filing date | put |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 10,263 | $29,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 11,728 | $29,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 9,771 | $29,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 674 | $29,000 | thousands by filing date | call |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 101,800 | $29,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 16,600 | $29,000 | thousands by filing date | |
| AMERIANA BANCORP | 023613102 | COM | 1,300 | $29,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 131,000 | $29,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 2,125 | $29,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 2,383 | $29,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 14,000 | $29,000 | thousands by filing date | principal |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 17,800 | $29,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 100,000 | $29,000 | thousands by filing date | call |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 640 | $28,000 | thousands by filing date | call |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 181 | $28,000 | thousands by filing date | call |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 2,900 | $28,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 2,500 | $28,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 2,500 | $28,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 10,599 | $28,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 7,000 | $28,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 3,000 | $28,000 | thousands by filing date | call |
| YAHOO INC | 984332106 | COM | 989 | $28,000 | thousands by filing date | call |
| IMATION CORP | 45245A107 | COM | 13,932 | $28,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 5,432 | $28,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 4,500 | $27,000 | thousands by filing date | call |
| WYNN RESORTS LTD | 983134107 | COM | 522 | $27,000 | thousands by filing date | put |
| PREFORMED LINE PRODS CO | 740444104 | COM | 756 | $27,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 1,900 | $27,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 14,375 | $27,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 1,000 | $27,000 | thousands by filing date | call |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 5,874 | $27,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 1,520 | $27,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 7,198 | $27,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 75,328 | $27,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 9,602 | $27,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,381 | $27,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 4,200 | $27,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 12,466 | $27,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 45,500 | $27,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 5,346 | $27,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 2,956 | $27,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,521 | $27,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J112 | RIGHT 03/30/2016 | 193,700 | $27,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 400 | $26,000 | thousands by filing date | call |
| NEWMONT CORP | 651639106 | COM | 1,666 | $26,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 27,410 | $26,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 90 | $26,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 1,000 | $26,000 | thousands by filing date | call |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 1,501 | $26,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 300 | $26,000 | thousands by filing date | call |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 4,800 | $26,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 3,299 | $26,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 4,975 | $26,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 17,085 | $26,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 2,000 | $26,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 8,000 | $26,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 150 | $25,000 | thousands by filing date | put |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 397 | $25,000 | thousands by filing date | call |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 3,500 | $25,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 597 | $25,000 | thousands by filing date | put |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 2,697 | $25,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 600 | $25,000 | thousands by filing date | call |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,973 | $25,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 3,842 | $25,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 5,673 | $25,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 5,700 | $25,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 3,951 | $25,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 3,797 | $25,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 1,897 | $25,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 1,650 | $24,000 | thousands by filing date | call |
| FIVE9 INC | 338307101 | COM | 6,532 | $24,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 511 | $24,000 | thousands by filing date | put |
| INCYTE CORP COM | 45337C102 | Stock | 225 | $24,000 | thousands by filing date | put |
| INCYTE CORP COM | 45337C102 | Stock | 225 | $24,000 | thousands by filing date | call |
| BAXTER INTL INC | 071813109 | COM | 751 | $24,000 | thousands by filing date | call |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 13,420 | $24,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 3,000 | $24,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 26,400 | $24,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 313 | $24,000 | thousands by filing date | call |
| ABERDEEN INDIA FD INC | 454089103 | COM | 1,049 | $24,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 18,999 | $24,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 11,148 | $24,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 4,636 | $24,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 5,530 | $23,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 200 | $23,000 | thousands by filing date | call |
| CALAMOS DY COM NPV | 12811V105 | COM | 1,300 | $23,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 1,600 | $23,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,726 | $23,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 1,895 | $23,000 | thousands by filing date | put |
| JOY GLOBAL INC | 481165108 | COM | 1,593 | $23,000 | thousands by filing date | call |
| LINKEDIN CORP | 53578A108 | COM | 125 | $23,000 | thousands by filing date | call |
| FXCM INC | 302693106 | COM | 27,294 | $23,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 1,982 | $23,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 3,400 | $23,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 11,812 | $23,000 | thousands by filing date | |
| NAUGATUCK VY FINL CORP MD | 63906P107 | COM | 2,200 | $23,000 | thousands by filing date | |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 15,700 | $23,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 390 | $23,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 7,657 | $23,000 | thousands by filing date | |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 4,600 | $23,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 50 | $22,000 | thousands by filing date | call |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 472 | $22,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 801 | $22,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 600 | $22,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 1,200 | $22,000 | thousands by filing date | call |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,552 | $22,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 2,295 | $22,000 | thousands by filing date | call |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 3,837 | $22,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 442 | $22,000 | thousands by filing date | call |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 1,359 | $22,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 415 | $22,000 | thousands by filing date | call |
| SILVER WHEATON CORP | 828336107 | COM | 1,843 | $22,000 | thousands by filing date | put |
| B/E AEROSPACE INC | 073302101 | COM | 521 | $22,000 | thousands by filing date | call |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 2,848 | $22,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 12,625 | $22,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 2,234 | $22,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 4,632 | $22,000 | thousands by filing date | |
| ILLUMINA INC | 452327AD1 | NOTE 0.250% 3/1 | 11,000 | $22,000 | thousands by filing date | principal |
| CODE REBEL CORP | 19200J106 | COM | 3,214 | $22,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 2,300 | $21,000 | thousands by filing date | call |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,440 | $21,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 4,860 | $21,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 9,730 | $21,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 16 | $21,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 1,750 | $21,000 | thousands by filing date | call |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 17,649 | $21,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 9,400 | $21,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 13,200 | $21,000 | thousands by filing date | |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 2,206 | $21,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 383 | $20,000 | thousands by filing date | put |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,575 | $20,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 450 | $20,000 | thousands by filing date | call |
| BROOKDALE SR LIVING INC | 112463104 | COM | 900 | $20,000 | thousands by filing date | call |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 490 | $20,000 | thousands by filing date | call |
| EXONE CO | 302104104 | COM | 3,115 | $20,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 106,637 | $20,000 | thousands by filing date | principal |
| AMBER ROAD INC | 02318Y108 | COM | 4,985 | $20,000 | thousands by filing date | |
| 6D Global Tech Inc | 83002F100 | COM | 7,202 | $20,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T308 | COMMON | 3,399 | $20,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W308 | DB JAP GOV BD | 92,817 | $20,000 | thousands by filing date | principal |
| Berkshire Hathaway Inc | 084670702 | COM | 150 | $19,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 1,469 | $19,000 | thousands by filing date | call |
| PHILLIPS 66 COM | 718546104 | Stock | 251 | $19,000 | thousands by filing date | put |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 1,626 | $19,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,890 | $19,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 26,704 | $19,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 2,865 | $19,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,257 | $19,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 449 | $18,000 | thousands by filing date | put |
| Applied Materials,Inc. | 038222105 | COM | 1,287 | $18,000 | thousands by filing date | put |
| Boston Scientific Corporation | 101137107 | COM | 1,178 | $18,000 | thousands by filing date | call |
| USBANCORPDEL | 902973304 | COM NEW | 450 | $18,000 | thousands by filing date | put |
| DOLLAR GEN CORP COM | 256677105 | Stock | 250 | $18,000 | thousands by filing date | put |
| KOHLS CORP | 500255104 | COM | 400 | $18,000 | thousands by filing date | call |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 2,000 | $18,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 1,646 | $18,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,429 | $18,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 11,189 | $18,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 3,109 | $18,000 | thousands by filing date | put |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 1,166 | $18,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 9,752 | $18,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 11,400 | $18,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 42,503 | $18,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 2,719 | $18,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 1,388 | $18,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 300 | $17,000 | thousands by filing date | put |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 200 | $17,000 | thousands by filing date | call |
| HALLIBURTON CO COM | 406216101 | Stock | 500 | $17,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 075896100 | COM | 300 | $17,000 | thousands by filing date | call |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,300 | $17,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 53,720 | $17,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 2,000 | $17,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P170 | INV JAP GOV BD | 98,794 | $17,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052206 | COM | 4,300 | $17,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 1,394 | $17,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 2,490 | $17,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 1,660 | $17,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 110,832 | $17,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 500 | $16,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 500 | $16,000 | thousands by filing date | call |
| COMERICAINC | 200340107 | COM | 400 | $16,000 | thousands by filing date | call |
| PTC INC COM | 69370C100 | Stock | 515 | $16,000 | thousands by filing date | call |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,280 | $16,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 125 | $16,000 | thousands by filing date | put |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,787 | $16,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 1,112 | $16,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 1,950 | $16,000 | thousands by filing date | put |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 14,958 | $16,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,650 | $16,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,326 | $16,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 500 | $16,000 | thousands by filing date | call |
| SUPPORT COM INC | 86858W101 | COM | 14,640 | $16,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 4,170 | $16,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 16,000 | $16,000 | thousands by filing date | principal |
| ERIN ENERGY CORP COM | 295625107 | Stock | 4,103 | $16,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 1,611 | $16,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 17,200 | $15,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 454 | $15,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,104 | $15,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 500 | $15,000 | thousands by filing date | put |
| STEALTHGAS INC | Y81669106 | COM | 3,377 | $15,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 838 | $15,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 3,400 | $15,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 400 | $15,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 1,593 | $15,000 | thousands by filing date | put |
| PANDORA MEDIA INC | 698354107 | COM | 712 | $15,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 16,960 | $15,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 2,782 | $15,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 1,180 | $15,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 6,400 | $15,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 2,419 | $15,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 4,616 | $15,000 | thousands by filing date | put |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 28,506 | $15,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 20,460 | $15,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 255 | $14,000 | thousands by filing date | put |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 200 | $14,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,092 | $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 |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 2,702 | $14,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,387 | $14,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 746 | $14,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,413 | $14,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 5,000 | $14,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 246 | $14,000 | thousands by filing date | call |
| VALHI INC NEW | 918905100 | COM | 8,386 | $14,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,650 | $14,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 43,823 | $14,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 800 | $14,000 | thousands by filing date | call |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 1,100 | $14,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 25,184 | $14,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 200 | $13,000 | thousands by filing date | put |
| TOLL BROTHERS INC COM | 889478103 | Stock | 400 | $13,000 | thousands by filing date | call |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 132 | $13,000 | thousands by filing date | call |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 240 | $13,000 | thousands by filing date | put |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 865 | $13,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 755 | $13,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 1,040 | $13,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 1,068 | $13,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 3,500 | $13,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 1,404 | $13,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 500 | $13,000 | thousands by filing date | call |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 300 | $13,000 | thousands by filing date | put |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 5,226 | $13,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 953 | $13,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 579 | $13,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,100 | $13,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 33,300 | $13,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 9,744 | $13,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 7,804 | $13,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 2,930 | $13,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 3,677 | $13,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 174 | $12,000 | thousands by filing date | put |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 200 | $12,000 | thousands by filing date | call |
| NEWS CORP NEW CL A | 65249B109 | Stock | 969 | $12,000 | thousands by filing date | call |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 700 | $12,000 | thousands by filing date | call |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 1,800 | $12,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 4,000 | $12,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,500 | $12,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 211 | $12,000 | thousands by filing date | put |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 277 | $12,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,000 | $12,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 3,159 | $12,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 2,000 | $12,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 900 | $12,000 | thousands by filing date | call |
| OCWEN FINL CORP | 675746309 | COM NEW | 1,900 | $12,000 | thousands by filing date | call |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 10,800 | $12,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 12,798 | $12,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 1,020 | $12,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 1,767 | $12,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 5,868 | $12,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 1,533 | $12,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 1,250 | $12,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 900 | $12,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 14,789 | $12,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,451 | $11,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 175 | $11,000 | thousands by filing date | call |
| MARATHON PETE CORP COM | 56585A102 | Stock | 251 | $11,000 | thousands by filing date | call |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 2,306 | $11,000 | thousands by filing date | put |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 600 | $11,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 580 | $11,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,800 | $11,000 | thousands by filing date | put |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 996 | $11,000 | thousands by filing date | put |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 1,000 | $11,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 105,950 | $11,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 2,244 | $11,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 3,432 | $11,000 | thousands by filing date | call |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,400 | $11,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | Y2685T115 | Cmn | 3,068 | $11,000 | thousands by filing date | |
| NORANDA ALUMINUM HOLDING CORP | 65542W206 | COM | 6,967 | $11,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 170 | $10,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 160 | $10,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 463 | $10,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 500 | $10,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 1,564 | $10,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 1,039 | $10,000 | thousands by filing date | call |
| KOHLS CORP | 500255104 | COM | 229 | $10,000 | thousands by filing date | put |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 1,000 | $10,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 1,400 | $10,000 | thousands by filing date | call |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 3,521 | $10,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 1,100 | $10,000 | thousands by filing date | call |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 4,500 | $10,000 | thousands by filing date | call |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,800 | $10,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 6,068 | $10,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 750 | $10,000 | thousands by filing date | call |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 5,136 | $10,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 266 | $9,000 | thousands by filing date | put |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 800 | $9,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 600 | $9,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 600 | $9,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 2,000 | $9,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 1,000 | $9,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 1,000 | $9,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 889 | $9,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 114,130 | $9,000 | thousands by filing date | principal |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 31,381 | $9,000 | thousands by filing date | principal |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,527 | $9,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 1,639 | $9,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,000 | $9,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 3,500 | $9,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 242 | $9,000 | thousands by filing date | call |
| DEUTSCHE BK AG LONDON BRH | 25154P188 | 3X INV JAP GOV | 64,393 | $9,000 | thousands by filing date | principal |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 400 | $9,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 2,538 | $9,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 1,040 | $9,000 | thousands by filing date | |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 6,000 | $9,000 | thousands by filing date | principal |
| CSX Corporation | 126408103 | COM | 326 | $8,000 | thousands by filing date | call |
| UNITED RENTALS INC COM | 911363109 | Stock | 136 | $8,000 | thousands by filing date | call |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 3,552 | $8,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 2,900 | $8,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 119 | $8,000 | thousands by filing date | call |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 750 | $8,000 | thousands by filing date | call |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 400 | $8,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 2,200 | $8,000 | thousands by filing date | call |
| RYLAND GROUP INC | 783764103 | COM | 200 | $8,000 | thousands by filing date | put |
| PENNEY J C INC | 708160106 | COM | 900 | $8,000 | thousands by filing date | put |
| SOLARCITY CORP | 83416T100 | COM | 200 | $8,000 | thousands by filing date | call |
| AK STEEL HOLDING CORP | 001547108 | COM | 3,650 | $8,000 | thousands by filing date | call |
| ANCHOR | 032838104 | COMMON STOCK | 400 | $8,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 17,108 | $8,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 1,410 | $8,000 | thousands by filing date | call |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 700 | $8,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 2,897 | $8,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 1,254 | $8,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 1,869 | $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 |
| Adobe Inc | 00724F101 | COM | 88 | $7,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-15-000093 | this filing | 2015-11-17 | acceptance time not in the bulk data set |