13F-HR filed by UBS AG
UBS AG filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-13, with 10,403 holding rows worth $97,741,973,000.
- Accession
- 0000950123-13-009322
- Filer
- CIK 1114446
- Filed
- 2013-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 15,485 entries on the cover page, a total value of $97,741,973,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $97,741,976,000 with VALUE read as thousands by filing date, 13F file number 028-10396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerUBS Financial Services Inc. 028-11496
- included managerUBS Swiss Financial Advisors AG 028-11603
- included managerUBS AG, New York Branch 028-07344
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 |
|---|---|---|---|---|---|---|
| TRANSCAT INC | 893529107 | COM | 3,885 | $31,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 3,100 | $31,000 | thousands by filing date | call |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 400 | $31,000 | thousands by filing date | call |
| M/I HOMES INC | 55305B101 | COM | 1,500 | $31,000 | thousands by filing date | put |
| SLR INVESTMENT CORP | 83413U100 | COM | 1,400 | $31,000 | thousands by filing date | call |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 900 | $31,000 | thousands by filing date | call |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 2,718 | $31,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 1,647 | $31,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 987 | $31,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 900 | $31,000 | thousands by filing date | put |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 1,122 | $31,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 2,000 | $31,000 | thousands by filing date | call |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 400 | $31,000 | thousands by filing date | put |
| PALL CORP | 696429307 | COM | 400 | $31,000 | thousands by filing date | put |
| ENCORE ENERGY CORP F | 97717W174 | COM | 1,396 | $31,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 600 | $31,000 | thousands by filing date | put |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,238 | $31,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 16,266 | $31,000 | thousands by filing date | |
| WAUSAU PAPER CORP | 943315101 | COM | 2,347 | $31,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 1,100 | $31,000 | thousands by filing date | put |
| CELSION CORPORATION | 15117N305 | COM NEW | 27,300 | $31,000 | thousands by filing date | put |
| NORTHEAST BANCORP | 663904209 | COM | 3,122 | $31,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 2,400 | $31,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR | 57060U431 | LATAM AGGR BD | 1,301 | $31,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 2,517 | $31,000 | thousands by filing date | |
| CUSHING ROYALTY | 23164R104 | COM SH BEN INT | 1,820 | $31,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K833 | MTL SHRT ETN38 | 1,627 | $31,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 2,147 | $31,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 700 | $30,000 | thousands by filing date | put |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 700 | $30,000 | thousands by filing date | put |
| SAP SE SPON ADR | 803054204 | ADR | 400 | $30,000 | thousands by filing date | call |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 700 | $30,000 | thousands by filing date | call |
| AVERY DENNISON CORP COM | 053611109 | Stock | 700 | $30,000 | thousands by filing date | call |
| BRADY CORP | 104674106 | CL A | 1,000 | $30,000 | thousands by filing date | call |
| FTI CONSULTING INC | 302941109 | COM | 800 | $30,000 | thousands by filing date | call |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 2,155 | $30,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 1,700 | $30,000 | thousands by filing date | call |
| GREEN PLAINS INC | 393222104 | COM | 1,900 | $30,000 | thousands by filing date | call |
| BLUEBIRD BIO INC | 09609G100 | COM | 1,120 | $30,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 600 | $30,000 | thousands by filing date | call |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 600 | $30,000 | thousands by filing date | call |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 2,121 | $30,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 2,021 | $30,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,662 | $30,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 596 | $30,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 3,530 | $30,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 959 | $30,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,207 | $30,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 4,924 | $30,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 2,253 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 843 | $30,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 2,700 | $30,000 | thousands by filing date | call |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 1,800 | $30,000 | thousands by filing date | call |
| B/E AEROSPACE INC | 073302101 | COM | 400 | $30,000 | thousands by filing date | put |
| FIFTH & PAC COS INC | 316645100 | COM | 1,200 | $30,000 | thousands by filing date | call |
| ALMOST FAMILY INC | 020409108 | COM | 1,562 | $30,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 1,400 | $30,000 | thousands by filing date | put |
| QUALITY SYS INC | 747582104 | COM | 1,400 | $30,000 | thousands by filing date | call |
| REACHLOCAL INC | 75525F104 | COM | 2,551 | $30,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CN8 | NOTE 4.250%11/1 | 15,000 | $30,000 | thousands by filing date | principal |
| NEUSTAR INC | 64126X201 | CL A | 600 | $30,000 | thousands by filing date | call |
| INVENTURE FOODS INC | 461212102 | COM | 2,888 | $30,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 2,098 | $30,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 500 | $30,000 | thousands by filing date | call |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 6,825 | $30,000 | thousands by filing date | |
| ProShares UltraShort Russell 2000 ETF | 74348A202 | Com | 2,100 | $30,000 | thousands by filing date | call |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 6,000 | $30,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 64,429 | $30,000 | thousands by filing date | |
| L+L ENERGY INC | 50162D100 | COM | 23,500 | $30,000 | thousands by filing date | put |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 31,000 | $30,000 | thousands by filing date | call |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 2,232 | $30,000 | thousands by filing date | |
| OFFICIAL PMTS HLDGS INC | 67623R106 | COM | 3,605 | $30,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 379 | $30,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 15,678 | $30,000 | thousands by filing date | |
| POWERSHARES DB ITALIAN TREAS | 25154W704 | CMN | 1,241 | $30,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 2,130 | $30,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A113 | WTS | 911 | $30,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 6,900 | $30,000 | thousands by filing date | put |
| MARKET VECTORS ETF TR | 57060U571 | VECTRS POL ETF | 1,326 | $30,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 400 | $29,000 | thousands by filing date | call |
| AZZ INC COM | 002474104 | Stock | 700 | $29,000 | thousands by filing date | call |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 1,496 | $29,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 26,800 | $29,000 | thousands by filing date | put |
| STIFEL FINL CORP | 860630102 | COM | 700 | $29,000 | thousands by filing date | call |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 12,500 | $29,000 | thousands by filing date | call |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 4,700 | $29,000 | thousands by filing date | call |
| PIPER SANDLER COMPANIES | 724078100 | COM | 843 | $29,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 373 | $29,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,101 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 943 | $29,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 1,686 | $29,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES | 007903AL1 | CORPORATE OBLIG | 28,000 | $29,000 | thousands by filing date | principal |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 5,100 | $29,000 | thousands by filing date | call |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 3,244 | $29,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 1,800 | $29,000 | thousands by filing date | call |
| PENN WEST PETE LTD NEW | 707887105 | COM | 2,600 | $29,000 | thousands by filing date | put |
| CHEMTURA CORP | 163893209 | COM NEW | 1,251 | $29,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 1,018 | $29,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 23,200 | $29,000 | thousands by filing date | put |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 30,000 | $29,000 | thousands by filing date | principal |
| SCHAWK INC | 806373106 | CL A | 1,948 | $29,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 1,660 | $29,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 3,400 | $29,000 | thousands by filing date | call |
| METROCORP BANCSHARES INC | 591650106 | COM | 2,124 | $29,000 | thousands by filing date | |
| MOLYCORP INC $0.055 PFD | 608753208 | PREFERRED | 1,439 | $29,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 1,261 | $29,000 | thousands by filing date | |
| FACTORSHARES 2X: SP500-USD | 303048102 | COM | 1,102 | $29,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 460 | $29,000 | thousands by filing date | |
| ZIPREALTY INC | 98974V107 | COM | 5,236 | $29,000 | thousands by filing date | |
| LIPOSCIENCE INC | 53630M108 | COM | 5,662 | $29,000 | thousands by filing date | |
| REVETT MINERALS INC | 761505205 | COM NEW | 26,000 | $29,000 | thousands by filing date | call |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 895 | $29,000 | thousands by filing date | |
| DIREXION DLY LAT AMER BULL3X | 25459Y652 | CMN | 1,239 | $29,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R767 | GERM BD IDX FD | 283 | $29,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P873 | COM | 1,512 | $29,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y784 | ACCUVS GLB OPP | 1,050 | $29,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,900 | $28,000 | thousands by filing date | put |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 500 | $28,000 | thousands by filing date | put |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 1,160 | $28,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 700 | $28,000 | thousands by filing date | call |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 400 | $28,000 | thousands by filing date | call |
| HELMERICH & PAYNE INC | 423452101 | COM | 400 | $28,000 | thousands by filing date | put |
| CHEMOCENTRYX INC | 16383L106 | COM | 5,000 | $28,000 | thousands by filing date | call |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 360 | $28,000 | thousands by filing date | call |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 4,655 | $28,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 2,000 | $28,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 2,607 | $28,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 2,000 | $28,000 | thousands by filing date | call |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 1,103 | $28,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 1,322 | $28,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,725 | $28,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 498 | $28,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 2,100 | $28,000 | thousands by filing date | call |
| AGENUS INC | 00847G705 | COM NEW | 10,200 | $28,000 | thousands by filing date | call |
| SIMS LTD SPON ADR EA | 829160100 | Common Stock | 3,200 | $28,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 1,072 | $28,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 2,400 | $28,000 | thousands by filing date | put |
| PHARMACYCLICS INC | 716933106 | COM | 200 | $28,000 | thousands by filing date | put |
| OVASCIENCE INC | 69014Q101 | COM | 2,840 | $28,000 | thousands by filing date | |
| ASSOCIATED ESTATES RLTY CORP | 045604105 | COM | 1,900 | $28,000 | thousands by filing date | put |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 12,555 | $28,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 800 | $28,000 | thousands by filing date | put |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,418 | $28,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 3,169 | $28,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 3,200 | $28,000 | thousands by filing date | put |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 1,508 | $28,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,507 | $28,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,519 | $28,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P143 | RBS NASD LKD41 | 850 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 1,189 | $28,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786U101 | COM | 794 | $28,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U225 | RETAIL ETF | 500 | $28,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 858 | $28,000 | thousands by filing date | |
| HUNTINGTON US EQUITY ROTATIO | 446698102 | CMN | 858 | $28,000 | thousands by filing date | |
| World Energy Solutions Inc. | 98145W208 | COM | 8,521 | $28,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 20,000 | $28,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 1,179 | $28,000 | thousands by filing date | |
| ISHARES TR | 464289800 | S&P TARGET 40 | 674 | $28,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,704 | $28,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W605 | PWSH 3X ITL TR | 858 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X229 | ULTRSH MSCI PAC | 1,092 | $28,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P184 | ROGR ENH AGRIC | 1,311 | $28,000 | thousands by filing date | |
| ZALECORPNEW | 988858106 | COM | 1,800 | $27,000 | thousands by filing date | put |
| SMITH A O CORP COM | 831865209 | Stock | 600 | $27,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 2,300 | $27,000 | thousands by filing date | put |
| ALKERMES PLC | G01767105 | SHS | 800 | $27,000 | thousands by filing date | call |
| AGILYSYS INC | 00847J105 | COM | 2,232 | $27,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 36,882 | $27,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 750 | $27,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 1,600 | $27,000 | thousands by filing date | put |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 500 | $27,000 | thousands by filing date | put |
| TITAN MACHY INC | 88830R101 | COM | 1,677 | $27,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 281 | $27,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 2,799 | $27,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 1,300 | $27,000 | thousands by filing date | call |
| PIONEER SOUTHWEST ENERGY | 72388B106 | COMMON STOCK | 600 | $27,000 | thousands by filing date | call |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 1,200 | $27,000 | thousands by filing date | call |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 7,400 | $27,000 | thousands by filing date | put |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 2,200 | $27,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 800 | $27,000 | thousands by filing date | call |
| Delta Apparel Inc | 247368103 | COM | 1,611 | $27,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 800 | $27,000 | thousands by filing date | call |
| BEMIS INC | 081437105 | COM | 700 | $27,000 | thousands by filing date | call |
| INTEVAC INC | 461148108 | COM | 4,573 | $27,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 4,300 | $27,000 | thousands by filing date | put |
| HORIZON PHARMA INC | 44047T109 | COM | 8,000 | $27,000 | thousands by filing date | call |
| CEPHEID | 15670R107 | COM | 700 | $27,000 | thousands by filing date | call |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 1,000 | $27,000 | thousands by filing date | call |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 6,900 | $27,000 | thousands by filing date | call |
| SIRONA DENTAL SYSTEMS INC | 82966C103 | COM | 400 | $27,000 | thousands by filing date | put |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 1,331 | $27,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 16,308 | $27,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 905 | $27,000 | thousands by filing date | |
| EGShares Health Care Gems ETF | 268461605 | COM | 1,165 | $27,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 800 | $27,000 | thousands by filing date | call |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 3,293 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 1,000 | $27,000 | thousands by filing date | call |
| AMERICAN INCOME FD INC | 02672T109 | COM | 3,701 | $27,000 | thousands by filing date | |
| Jacksonville Bancorp, Inc. (IL) | 46924R106 | Common Stock | 1,368 | $27,000 | thousands by filing date | |
| IPATH PURE BETA GRAINS | 06740P270 | CMN | 593 | $27,000 | thousands by filing date | |
| ISHARES MSCI FAR E F S IN FD | 464289214 | CMN | 874 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347X518 | ULT MSCIMEX CAPP | 695 | $27,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461506 | EGSHARE FINL GEM | 1,351 | $27,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B720 | KBW INS PORT | 466 | $27,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,600 | $26,000 | thousands by filing date | call |
| CMS ENERGY CORP COM | 125896100 | Stock | 1,000 | $26,000 | thousands by filing date | call |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 1,500 | $26,000 | thousands by filing date | call |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 400 | $26,000 | thousands by filing date | put |
| WISDOMTREE INC | 97717P104 | COM | 2,200 | $26,000 | thousands by filing date | put |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 2,064 | $26,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 3,914 | $26,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 1,900 | $26,000 | thousands by filing date | call |
| DAUCH CORP | 024061103 | COM | 1,300 | $26,000 | thousands by filing date | put |
| NEKTAR THERAPEUTICS | 640268108 | COM | 2,500 | $26,000 | thousands by filing date | put |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 2,936 | $26,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 1,000 | $26,000 | thousands by filing date | put |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 1,300 | $26,000 | thousands by filing date | call |
| VELOCITYSHARES | 22542D571 | EXCHANGE TRADED | 1,664 | $26,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 2,333 | $26,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 400 | $26,000 | thousands by filing date | call |
| ASGN INC | 682159108 | COM | 800 | $26,000 | thousands by filing date | put |
| BIOTA PHARMACEUTIALS INC | 090694100 | COM | 6,184 | $26,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 3,500 | $26,000 | thousands by filing date | call |
| CEMPRA INC | 15130J109 | COM | 2,199 | $26,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 1,300 | $26,000 | thousands by filing date | call |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 5,700 | $26,000 | thousands by filing date | call |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 3,300 | $26,000 | thousands by filing date | call |
| QUANTUM CORP | 747906204 | COM DSSG | 19,063 | $26,000 | thousands by filing date | |
| SPANSION INC | 84649R200 | COM CL A NEW | 2,594 | $26,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 2,015 | $26,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 5,800 | $26,000 | thousands by filing date | put |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 300 | $26,000 | thousands by filing date | put |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 10,781 | $26,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 3,636 | $26,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 190 | $26,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 2,500 | $26,000 | thousands by filing date | call |
| CAMAC ENERGY INC | 131745101 | COM | 31,930 | $26,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 3,700 | $26,000 | thousands by filing date | put |
| JOES JEANS INC | 47777N101 | COM | 24,500 | $26,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 10,000 | $26,000 | thousands by filing date | call |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 10,578 | $26,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 6,300 | $26,000 | thousands by filing date | call |
| NASB FINANCIAL INC | 628968109 | COM | 962 | $26,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 2,000 | $26,000 | thousands by filing date | put |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 1,828 | $26,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 7,176 | $26,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 7,766 | $26,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 1,000 | $26,000 | thousands by filing date | call |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 1,410 | $26,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 592 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288455 | EPRA/NAR NA IN | 561 | $26,000 | thousands by filing date | |
| DB-X FUNDS | 233052505 | XTRAK INDEP TRGT | 882 | $26,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 5,682 | $26,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 1,001 | $26,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 9,530 | $26,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 2,500 | $25,000 | thousands by filing date | call |
| WABTEC COM | 929740108 | Stock | 400 | $25,000 | thousands by filing date | call |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 600 | $25,000 | thousands by filing date | put |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 500 | $25,000 | thousands by filing date | put |
| EVERCORE INC CLASS A | 29977A105 | Stock | 500 | $25,000 | thousands by filing date | put |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 3,500 | $25,000 | thousands by filing date | put |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 800 | $25,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 12,300 | $25,000 | thousands by filing date | call |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 1,000 | $25,000 | thousands by filing date | call |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 300 | $25,000 | thousands by filing date | call |
| VERA BRADLEY INC | 92335C106 | COM | 1,200 | $25,000 | thousands by filing date | call |
| CUSHING RENAISSANCE FD | 231647108 | COM | 1,114 | $25,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 1,536 | $25,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,948 | $25,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 2,379 | $25,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 1,565 | $25,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 1,000 | $25,000 | thousands by filing date | put |
| Enzo Biochem Inc | 294100102 | Common Stock | 10,010 | $25,000 | thousands by filing date | |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 1,521 | $25,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 2,744 | $25,000 | thousands by filing date | |
| VITRAN CORP | 92850E107 | COMMON STOCK | 5,048 | $25,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,435 | $25,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 3,000 | $25,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 1,000 | $25,000 | thousands by filing date | call |
| SANTARUS INC | 802817304 | COM | 1,100 | $25,000 | thousands by filing date | put |
| Zagg, Inc. | 98884U108 | COM | 5,500 | $25,000 | thousands by filing date | call |
| HORIZON PHARMA INC | 44047T109 | COM | 7,551 | $25,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 3,200 | $25,000 | thousands by filing date | put |
| JUST ENERGY GROUP INC | 48213W101 | COM | 4,000 | $25,000 | thousands by filing date | put |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 1,700 | $25,000 | thousands by filing date | call |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 400 | $25,000 | thousands by filing date | call |
| VOLCANO CORPORATION | 928645100 | COM | 1,062 | $25,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 784 | $25,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 12,870 | $25,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 13,300 | $25,000 | thousands by filing date | call |
| ANALOGIC CORP | 032657207 | COM | 300 | $25,000 | thousands by filing date | call |
| ANN INC | 035623107 | COM | 700 | $25,000 | thousands by filing date | call |
| Female Health Company | 314462102 | COM | 2,500 | $25,000 | thousands by filing date | call |
| Almaden Minerals Ltd | 020283107 | COM | 18,115 | $25,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 76,100 | $25,000 | thousands by filing date | call |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 9,600 | $25,000 | thousands by filing date | call |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 2,429 | $25,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 4,000 | $25,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,770 | $25,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 275 | $25,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H459 | PS CMDT LG ETN | 1,858 | $25,000 | thousands by filing date | |
| ISHARES TR | 464289586 | CMN | 402 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 1,150 | $25,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 472 | $25,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 600 | $24,000 | thousands by filing date | put |
| EQUIFAX INC COM | 294429105 | Stock | 400 | $24,000 | thousands by filing date | call |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 2,600 | $24,000 | thousands by filing date | put |
| WEIS MKTS INC COM | 948849104 | Stock | 500 | $24,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 1,200 | $24,000 | thousands by filing date | call |
| BRINKER INTL INC COM | 109641100 | Stock | 600 | $24,000 | thousands by filing date | call |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 300 | $24,000 | thousands by filing date | put |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 100 | $24,000 | thousands by filing date | put |
| OSHKOSH CORP COM | 688239201 | Stock | 500 | $24,000 | thousands by filing date | call |
| BOSTON BEER INC CL A | 100557107 | Stock | 100 | $24,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 469 | $24,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 1,084 | $24,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,500 | $24,000 | thousands by filing date | put |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,500 | $24,000 | thousands by filing date | call |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 3,517 | $24,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 743 | $24,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 700 | $24,000 | thousands by filing date | call |
| MEREDITH CORP | 589433101 | COM | 500 | $24,000 | thousands by filing date | put |
| CST BRANDS INC | 12646R105 | COM | 800 | $24,000 | thousands by filing date | call |
| ALLIENT INC | 019330109 | COM | 2,970 | $24,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 3,500 | $24,000 | thousands by filing date | call |
| MESABI TR | 590672101 | CTF BEN INT | 1,100 | $24,000 | thousands by filing date | call |
| READING INTL INC | 755408101 | CL A | 3,622 | $24,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 1,700 | $24,000 | thousands by filing date | call |
| APOLLO INVT CORP | 03761U106 | COM | 2,900 | $24,000 | thousands by filing date | put |
| TRIANGLE CAP CORP | 895848109 | COM | 800 | $24,000 | thousands by filing date | put |
| ACXIOM CORP | 005125109 | COMMON STOCK | 856 | $24,000 | thousands by filing date | |
| CEC ENTERTAINMENT INC | 125137109 | COMMON STOCK | 512 | $24,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 500 | $24,000 | thousands by filing date | call |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 14,161 | $24,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 1,630 | $24,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 400 | $24,000 | thousands by filing date | call |
| EMAGIN CORP | 29076N206 | COM | 8,122 | $24,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 13,464 | $24,000 | thousands by filing date | |
| L-3 COMMUNICATIONS CORP | 502413AW7 | DEBT 3.000% 8/0 | 22,000 | $24,000 | thousands by filing date | principal |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 2,000 | $24,000 | thousands by filing date | put |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 449 | $24,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 400 | $24,000 | thousands by filing date | call |
| INTL GAME TECH 3.250 | 459902AQ5 | NOTE 3.250% 5/0 | 22,000 | $24,000 | thousands by filing date | principal |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 2,500 | $24,000 | thousands by filing date | put |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 8,959 | $24,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 938 | $24,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 1,187 | $24,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 32,800 | $24,000 | thousands by filing date | call |
| VRINGO INC | 92911N104 | COM | 8,400 | $24,000 | thousands by filing date | put |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 10,688 | $24,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 6,200 | $24,000 | thousands by filing date | call |
| BEBE STORES INC | 075571109 | COM | 4,000 | $24,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 8,883 | $24,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 3,800 | $24,000 | thousands by filing date | put |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 9,390 | $24,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 4,606 | $24,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 790 | $24,000 | thousands by filing date | |
| CAMCO FINANCIAL CORP | 132618109 | COM | 6,092 | $24,000 | thousands by filing date | |
| J F CHINA REGION FD INC | 46614T107 | COM | 1,656 | $24,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 2,184 | $24,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,234 | $24,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F184 | FUND | 450 | $24,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W506 | PWRSHR DB GERM | 991 | $24,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 500 | $23,000 | thousands by filing date | put |
| MATADOR RES CO COM | 576485205 | Stock | 1,400 | $23,000 | thousands by filing date | put |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 1,200 | $23,000 | thousands by filing date | put |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 1,000 | $23,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 648 | $23,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 692 | $23,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,500 | $23,000 | thousands by filing date | put |
| CLEAN HARBORS INC COM | 184496107 | Stock | 400 | $23,000 | thousands by filing date | call |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 400 | $23,000 | thousands by filing date | call |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 1,800 | $23,000 | thousands by filing date | call |
| LA Z BOY INC | 505336107 | COM | 1,000 | $23,000 | thousands by filing date | call |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,000 | $23,000 | thousands by filing date | put |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 929 | $23,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 2,938 | $23,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,113 | $23,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,395 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 1,180 | $23,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 5,768 | $23,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 1,000 | $23,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 1,003 | $23,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 744 | $23,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 2,000 | $23,000 | thousands by filing date | put |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 600 | $23,000 | thousands by filing date | call |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 6,500 | $23,000 | thousands by filing date | call |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 1,100 | $23,000 | thousands by filing date | call |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 1,499 | $23,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 1,000 | $23,000 | thousands by filing date | put |
| BEMIS INC | 081437105 | COM | 600 | $23,000 | thousands by filing date | put |
| COMSTOCK RESOURCES INC | 205768203 | COM | 1,430 | $23,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 800 | $23,000 | thousands by filing date | call |
| AXIALL CORP | 05463D100 | COM | 600 | $23,000 | thousands by filing date | put |
| EDGEN GROUP INC | 28014Q107 | CL A | 3,000 | $23,000 | thousands by filing date | |
| INFORMATICA CORP | 45666Q102 | COM | 600 | $23,000 | thousands by filing date | call |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 2,976 | $23,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 4,904 | $23,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 600 | $23,000 | thousands by filing date | call |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 1,531 | $23,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 2,100 | $23,000 | thousands by filing date | call |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 24,038 | $23,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 22,000 | $23,000 | thousands by filing date | principal |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 9,900 | $23,000 | thousands by filing date | put |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 5,100 | $23,000 | thousands by filing date | put |
| MEETME INC | 585141104 | COM | 12,625 | $23,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 6,700 | $23,000 | thousands by filing date | call |
| GIVEN IMAGING LTD | M52020100 | ORD | 1,200 | $23,000 | thousands by filing date | call |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 1,600 | $23,000 | thousands by filing date | put |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 1,300 | $23,000 | thousands by filing date | call |
| DAWSON GEOPHYSICAL CO | 239359102 | COM | 700 | $23,000 | thousands by filing date | put |
| PARK STERLING CORP | 70086Y105 | COM | 3,511 | $23,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 7,178 | $23,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 8,361 | $23,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 1,496 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347B409 | ULTSH NASD BIOT | 888 | $23,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 975 | $23,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 610 | $23,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641661 | S&P500 GLD ETN | 470 | $23,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U530 | LAT AM SML CAP | 1,152 | $23,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 1,768 | $23,000 | thousands by filing date | |
| INFINITY CROSS BORDER ACQUIS | G4772R127 | UNIT 99/99/9999 | 2,700 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 1,157 | $23,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 1,275 | $23,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740H666 | LNGC S&P500 14 | 102 | $23,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525202 | PFD CV SER A | 1,601 | $23,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 1,260 | $22,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,000 | $22,000 | thousands by filing date | put |
| LKQ CORP COM | 501889208 | Stock | 700 | $22,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 760 | $22,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 732 | $22,000 | thousands by filing date | |
| SILGAN HLDGS INC | 827048109 | COM | 465 | $22,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 200 | $22,000 | thousands by filing date | put |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 828 | $22,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 200 | $22,000 | thousands by filing date | put |
| Concho Resources Inc. | 20605P101 | COM | 200 | $22,000 | thousands by filing date | put |
| AEGON N V | 007924103 | NY REGISTRY SHS | 3,000 | $22,000 | thousands by filing date | put |
| VARIAN MED SYS INC | 92220P105 | COM | 300 | $22,000 | thousands by filing date | put |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 400 | $22,000 | thousands by filing date | call |
| TORCHMARK CORP | 891027104 | COM | 300 | $22,000 | thousands by filing date | call |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 2,837 | $22,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 1,500 | $22,000 | thousands by filing date | call |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 600 | $22,000 | thousands by filing date | call |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 772 | $22,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 873 | $22,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 518 | $22,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 3,014 | $22,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 5,000 | $22,000 | thousands by filing date | call |
| COMMONWEALTH REIT | 203233101 | COMMON STOCK | 1,000 | $22,000 | thousands by filing date | put |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 200 | $22,000 | thousands by filing date | put |
| Q | 74876Y101 | Stock | 500 | $22,000 | thousands by filing date | call |
| PRIMO WTR CORP | 74165N105 | COM | 9,400 | $22,000 | thousands by filing date | call |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 2,400 | $22,000 | thousands by filing date | put |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 1,100 | $22,000 | thousands by filing date | call |
| ATWOOD OCEANICS INC | 050095108 | COM | 400 | $22,000 | thousands by filing date | put |
| CURIS INC | 231269101 | COM | 4,900 | $22,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 700 | $22,000 | thousands by filing date | call |
| OMNICARE INC | 681904108 | COM | 400 | $22,000 | thousands by filing date | call |
| ORTHOFIX INTL N V | N6748L102 | COM | 1,092 | $22,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 1,100 | $22,000 | thousands by filing date | put |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 1,377 | $22,000 | thousands by filing date | |
| COMPUWARE CORP | 205638109 | COM | 2,000 | $22,000 | thousands by filing date | call |
| GLOBE SPECIALTY METALS INC | 37954N206 | COM | 1,400 | $22,000 | thousands by filing date | call |
| PROCERA NETWORKS INC | 74269U203 | COM | 1,400 | $22,000 | thousands by filing date | call |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 9,400 | $22,000 | thousands by filing date | call |
| GASTAR EXPL LTD | 367299203 | COM NEW | 5,500 | $22,000 | thousands by filing date | call |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,339 | $22,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,578 | $22,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 10,703 | $22,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 5,889 | $22,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,000 | $22,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 800 | $22,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 14,000 | $22,000 | thousands by filing date | principal |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,105 | $22,000 | thousands by filing date | |
| PROSHARES ULTRASHORT RE | 74348A871 | COM | 1,000 | $22,000 | thousands by filing date | put |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 1,747 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y462 | DLY CHINBR3X NEW | 943 | $22,000 | thousands by filing date | |
| FedFirst Financial Corporation | 31429C101 | Common Stock | 1,129 | $22,000 | thousands by filing date | |
| Polonia Bancorp, Inc. | 73158Q109 | Common Stock | 2,240 | $22,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 12,360 | $22,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 3,937 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 571 | $22,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,800 | $22,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 800 | $21,000 | thousands by filing date | call |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 559 | $21,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 200 | $21,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 636 | $21,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 806 | $21,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 700 | $21,000 | thousands by filing date | put |
| LEGGETT & PLATT INC | 524660107 | COM | 700 | $21,000 | thousands by filing date | call |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 600 | $21,000 | thousands by filing date | call |
| TE CONNECTIVITY LTD | H84989104 | SHS | 400 | $21,000 | thousands by filing date | put |
| AEGON N V | 007924103 | NY REGISTRY SHS | 2,900 | $21,000 | thousands by filing date | call |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 300 | $21,000 | thousands by filing date | put |
| IMAX CORP | 45245E109 | COM | 700 | $21,000 | thousands by filing date | put |
| RADNET INC | 750491102 | COM | 8,730 | $21,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,405 | $21,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 4,571 | $21,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,200 | $21,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 2,844 | $21,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-13-009322 | this filing | 2013-11-13 | acceptance time not in the bulk data set |