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 |
|---|---|---|---|---|---|---|
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,846 | $21,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,763 | $21,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 2,058 | $21,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 535 | $21,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 593 | $21,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,239 | $21,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 4,564 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 480 | $21,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 1,214 | $21,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 843 | $21,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 1,779 | $21,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 9,689 | $21,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 6,300 | $21,000 | thousands by filing date | put |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 1,700 | $21,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 900 | $21,000 | thousands by filing date | put |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 920 | $21,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 8,000 | $21,000 | thousands by filing date | put |
| SALISBURY BANCORP INC | 795226109 | COM | 808 | $21,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 400 | $21,000 | thousands by filing date | call |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 11,921 | $21,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 2,843 | $21,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 2,076 | $21,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 500 | $21,000 | thousands by filing date | call |
| Peregrine Semiconductor | 71366R703 | COM | 2,410 | $21,000 | thousands by filing date | |
| Proshs Ultrapro New Etf | 74348A665 | PSHS ULTSHT INDL | 1,000 | $21,000 | thousands by filing date | put |
| FBR & CO | 30247C400 | COM NEW | 800 | $21,000 | thousands by filing date | call |
| ATHERSYS INC | 04744L106 | COM | 12,900 | $21,000 | thousands by filing date | call |
| SYNACOR INC | 871561106 | COM | 8,300 | $21,000 | thousands by filing date | put |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 9,900 | $21,000 | thousands by filing date | call |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 15,800 | $21,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 800 | $21,000 | thousands by filing date | put |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 541 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 827 | $21,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 876 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 693 | $21,000 | thousands by filing date | |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 3,852 | $21,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 825 | $21,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 1,046 | $21,000 | thousands by filing date | |
| FREESEAS INC | Y26496201 | SHS PAR.001 2013 | 31,358 | $21,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 1,107 | $21,000 | thousands by filing date | |
| ISHARES TR | 464289578 | MATRLS IDX FD | 430 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y397 | DLY JPN BEAR 3X | 732 | $21,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 200 | $20,000 | thousands by filing date | put |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 200 | $20,000 | thousands by filing date | call |
| AES CORP COM | 00130H105 | Stock | 1,500 | $20,000 | thousands by filing date | put |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 300 | $20,000 | thousands by filing date | call |
| XYLEM INC COM | 98419M100 | Stock | 700 | $20,000 | thousands by filing date | call |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 8,800 | $20,000 | thousands by filing date | put |
| BEL FUSE INC | 077347300 | CL B | 1,173 | $20,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,900 | $20,000 | thousands by filing date | call |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 260 | $20,000 | thousands by filing date | put |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 600 | $20,000 | thousands by filing date | put |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 600 | $20,000 | thousands by filing date | put |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 100 | $20,000 | thousands by filing date | put |
| SOTHEBYS | 835898107 | COM | 400 | $20,000 | thousands by filing date | call |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 1,000 | $20,000 | thousands by filing date | put |
| LIQUIDITY SVCS INC | 53635B107 | COM | 600 | $20,000 | thousands by filing date | call |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 1,459 | $20,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 300 | $20,000 | thousands by filing date | call |
| AUDIOCODES LTD | M15342104 | ORD | 2,900 | $20,000 | thousands by filing date | call |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 241 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 538 | $20,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 600 | $20,000 | thousands by filing date | call |
| INTERNATIONAL RECTIFIER CORP | 460254105 | COMMON STOCK | 800 | $20,000 | thousands by filing date | put |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,800 | $20,000 | thousands by filing date | put |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 1,285 | $20,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 6,100 | $20,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 5,300 | $20,000 | thousands by filing date | call |
| FORTUNA MNG CORP F | 349915108 | COM | 5,600 | $20,000 | thousands by filing date | call |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 500 | $20,000 | thousands by filing date | put |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 4,000 | $20,000 | thousands by filing date | put |
| BIOSCRIP INC | 09069N108 | COM | 2,300 | $20,000 | thousands by filing date | call |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 9,800 | $20,000 | thousands by filing date | put |
| CEPHEID | 15670R107 | COM | 500 | $20,000 | thousands by filing date | put |
| UNILIFE CORP NEW | 90478E103 | COM | 6,000 | $20,000 | thousands by filing date | put |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 15,895 | $20,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 800 | $20,000 | thousands by filing date | put |
| VICAL INC | 925602104 | COM | 16,327 | $20,000 | thousands by filing date | |
| DREW INDS INC | 26168L205 | COM NEW | 450 | $20,000 | thousands by filing date | |
| NORTH VALLEY BANCORP | 66304M204 | COM NEW | 1,081 | $20,000 | thousands by filing date | |
| HITTITE MICROWAVE CORP | 43365Y104 | COM | 300 | $20,000 | thousands by filing date | call |
| HOWARD BANCORP INC COM | 442496105 | COM | 2,285 | $20,000 | thousands by filing date | |
| NUVERRA ENVIRNMNTL SOLUTIO | 67091K104 | COM | 8,900 | $20,000 | thousands by filing date | put |
| MITCHAM INDS INC COM | 606501104 | COM | 1,300 | $20,000 | thousands by filing date | call |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 7,500 | $20,000 | thousands by filing date | put |
| ALON USA ENERGY INC | 020520102 | COM | 2,000 | $20,000 | thousands by filing date | call |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 1,000 | $20,000 | thousands by filing date | call |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,700 | $20,000 | thousands by filing date | put |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 5,172 | $20,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 6,400 | $20,000 | thousands by filing date | call |
| EVERYWARE GLOBAL INC | 300439106 | COM | 1,727 | $20,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 2,600 | $20,000 | thousands by filing date | put |
| TICC CAPITAL CORP | 87244T109 | COM | 2,100 | $20,000 | thousands by filing date | put |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,384 | $20,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 1,300 | $20,000 | thousands by filing date | call |
| ONEIDA FINL CORP MD | 682479100 | COM | 1,518 | $20,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R759 | CDA BD IDX FD | 209 | $20,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N522 | DB 3X LONG UST | 597 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347R347 | PSHS ULTSHRT JAP | 1,149 | $20,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 46625H761 | ETN 130/30 23 | 677 | $20,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461860 | EGSHARE ENGY GEM | 892 | $20,000 | thousands by filing date | |
| Alliance Bancorp, Inc. of Pennsylvania | 01890A108 | Common Stock | 1,404 | $20,000 | thousands by filing date | |
| Colonial Financial Services, Inc. | 19566B101 | Common Stock | 1,497 | $20,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 5,513 | $20,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 1,525 | $20,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U415 | COLUMBIA ETF | 1,055 | $20,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 3,425 | $20,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y735 | PRING TRNR BUS | 751 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P866 | FUND | 440 | $20,000 | thousands by filing date | |
| S&W SEED CO | 785135120 | *W EXP 05/03/201 | 20,153 | $20,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U381 | GERMANY SM CAP | 723 | $20,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W407 | PWRSHR 3X GERM | 583 | $20,000 | thousands by filing date | |
| HUNTINGTON STRATEGY SHS | 446698201 | ECOL STRAT ETF | 618 | $20,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y743 | ADV GLBALPBETA | 700 | $20,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 392 | $20,000 | thousands by filing date | |
| CHINA COML CR INC | 16891K103 | COM | 2,100 | $20,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 300 | $19,000 | thousands by filing date | put |
| 1ST SOURCE CORP COM | 336901103 | Stock | 720 | $19,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 500 | $19,000 | thousands by filing date | call |
| TEXTRON INC COM | 883203101 | Stock | 700 | $19,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 9,200 | $19,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 374 | $19,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 400 | $19,000 | thousands by filing date | call |
| AMERICAN PUB ED INC | 02913V103 | COM | 500 | $19,000 | thousands by filing date | call |
| COGNEX CORP | 192422103 | COM | 600 | $19,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 499 | $19,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 300 | $19,000 | thousands by filing date | call |
| MEDIFAST INC | 58470H101 | COM | 700 | $19,000 | thousands by filing date | call |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 500 | $19,000 | thousands by filing date | call |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 613 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 720 | $19,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 1,300 | $19,000 | thousands by filing date | put |
| COURIER CORP | 222660102 | COMMON STOCK | 1,175 | $19,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 2,541 | $19,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 600 | $19,000 | thousands by filing date | put |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 881 | $19,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 400 | $19,000 | thousands by filing date | call |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 300 | $19,000 | thousands by filing date | call |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 1,500 | $19,000 | thousands by filing date | put |
| VALARIS ORD | 920355104 | COM | 300 | $19,000 | thousands by filing date | put |
| LORAL SPACE & COM INC | 543881106 | COM | 284 | $19,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 2,200 | $19,000 | thousands by filing date | put |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 6,117 | $19,000 | thousands by filing date | |
| KNIGHT TRANSN INC | 499064103 | COM | 1,130 | $19,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 300 | $19,000 | thousands by filing date | put |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 1,400 | $19,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 2,615 | $19,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 2,619 | $19,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 14,900 | $19,000 | thousands by filing date | call |
| HANSEN MEDICAL INC | 411307101 | COM | 10,800 | $19,000 | thousands by filing date | call |
| PARKERVISION INC | 701354102 | COM | 5,700 | $19,000 | thousands by filing date | put |
| GIVEN IMAGING LTD | M52020100 | ORD | 1,000 | $19,000 | thousands by filing date | put |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 11,204 | $19,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 1,405 | $19,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 1,200 | $19,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 3,893 | $19,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 897 | $19,000 | thousands by filing date | |
| ETFS WHITE METALS BASKET TR | 26923B104 | PHY WM BSK SHS | 470 | $19,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 620 | $19,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 538 | $19,000 | thousands by filing date | |
| BAXANO SURGICAL | 071773105 | COM | 14,139 | $19,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H467 | PS CMDTY SH ETN | 743 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E481 | GLB X CDA PFD | 1,457 | $19,000 | thousands by filing date | |
| ISHARES TR | 46429B374 | ALCO ASIA INFO | 656 | $19,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W105 | SPONSORED ADR | 14,505 | $19,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 665 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347X161 | PSHS ULSHT MC VA | 957 | $19,000 | thousands by filing date | |
| CHIPOTLE MEXICAN GRILL INC | 73937B738 | COM | 438 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347X179 | ULT MSCIMEX CAPP | 721 | $19,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 749 | $19,000 | thousands by filing date | |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 1,000 | $19,000 | thousands by filing date | |
| PROSHARES TR II | 74347W494 | PROSHS ULT AUS | 547 | $19,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 3,939 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 200 | $18,000 | thousands by filing date | call |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 400 | $18,000 | thousands by filing date | call |
| ACUITY INC COM | 00508Y102 | Stock | 200 | $18,000 | thousands by filing date | call |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 400 | $18,000 | thousands by filing date | put |
| INSULET CORP COM | 45784P101 | Stock | 500 | $18,000 | thousands by filing date | call |
| FLEX LTD ORD | Y2573F102 | Stock | 2,000 | $18,000 | thousands by filing date | call |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 8,000 | $18,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 2,100 | $18,000 | thousands by filing date | call |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 1,000 | $18,000 | thousands by filing date | call |
| WORLD ACCEP CORPORATION | 981419104 | COM | 200 | $18,000 | thousands by filing date | put |
| DAUCH CORP | 024061103 | COM | 900 | $18,000 | thousands by filing date | call |
| PETMED EXPRESS INC | 716382106 | COM | 1,100 | $18,000 | thousands by filing date | call |
| PDC ENERGY INC | 69327R101 | COM | 300 | $18,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 2,850 | $18,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 300 | $18,000 | thousands by filing date | call |
| TITAN MACHY INC | 88830R101 | COM | 1,100 | $18,000 | thousands by filing date | call |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,299 | $18,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 2,072 | $18,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,611 | $18,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,200 | $18,000 | thousands by filing date | call |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,443 | $18,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 800 | $18,000 | thousands by filing date | put |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,365 | $18,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,056 | $18,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,500 | $18,000 | thousands by filing date | call |
| KELLY SVCS INC | 488152307 | CL B | 899 | $18,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 700 | $18,000 | thousands by filing date | call |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 700 | $18,000 | thousands by filing date | call |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,064 | $18,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 2,635 | $18,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 183 | $18,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 23,100 | $18,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 989 | $18,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 20,500 | $18,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 701 | $18,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 200 | $18,000 | thousands by filing date | put |
| APPROACH RESOURCES INC | 03834A103 | COM | 700 | $18,000 | thousands by filing date | call |
| BBCN BANCORP INC | 073295107 | COM | 1,281 | $18,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 813 | $18,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,313 | $18,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 1,500 | $18,000 | thousands by filing date | put |
| COBIZ FINANCIAL INC | 190897108 | COM | 1,875 | $18,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 9,200 | $18,000 | thousands by filing date | call |
| MCCLATCHY CO | 579489105 | CL A | 5,740 | $18,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 3,847 | $18,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 2,400 | $18,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 1,100 | $18,000 | thousands by filing date | put |
| GSE HOLDING INC | 36191X100 | COM | 8,600 | $18,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 11,733 | $18,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 3,000 | $18,000 | thousands by filing date | |
| CLIFTON SAVINGS BANCORP INC | 18712Q103 | COM | 1,492 | $18,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 400 | $18,000 | thousands by filing date | call |
| BEBE STORES INC | 075571109 | COM | 3,000 | $18,000 | thousands by filing date | call |
| PSIVIDA CORP | 74440J101 | COM | 4,500 | $18,000 | thousands by filing date | put |
| SYSTEMAX INC | 871851101 | COM | 1,942 | $18,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 2,134 | $18,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 1,052 | $18,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 3,100 | $18,000 | thousands by filing date | put |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 6,448 | $18,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 5,118 | $18,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 4,622 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 700 | $18,000 | thousands by filing date | put |
| DB-X FUNDS | 233052406 | XTRAK 2040TGT DT | 678 | $18,000 | thousands by filing date | |
| MAYFLOWER BANCORP INC | 578321101 | COM | 964 | $18,000 | thousands by filing date | |
| NB & T FINL GROUP INC | 62874M104 | COM | 800 | $18,000 | thousands by filing date | |
| UBIC INC | 90346V105 | SPONSORED ADR | 2,379 | $18,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 1,500 | $17,000 | thousands by filing date | put |
| INSULET CORP COM | 45784P101 | Stock | 470 | $17,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,039 | $17,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 1,200 | $17,000 | thousands by filing date | put |
| HURON CONSULTING GROUP INC | 447462102 | COM | 336 | $17,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 500 | $17,000 | thousands by filing date | put |
| AMEDISYS INC | 023436108 | COM | 1,000 | $17,000 | thousands by filing date | call |
| CENTRAL SECURITIES CORP | 155123102 | COM | 736 | $17,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 600 | $17,000 | thousands by filing date | call |
| BARNES GROUP INC | 067806109 | COM | 500 | $17,000 | thousands by filing date | call |
| CUTERA INC | 232109108 | COM | 1,947 | $17,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 1,000 | $17,000 | thousands by filing date | put |
| EZCORP INC | 302301106 | CL A NON VTG | 1,000 | $17,000 | thousands by filing date | put |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,698 | $17,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 1,000 | $17,000 | thousands by filing date | put |
| NATUS MEDICAL INC | 639050103 | COM | 1,200 | $17,000 | thousands by filing date | put |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 400 | $17,000 | thousands by filing date | put |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 1,200 | $17,000 | thousands by filing date | call |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 678 | $17,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 2,400 | $17,000 | thousands by filing date | call |
| AH BELO CORP | 001282102 | COMMON STOCK | 2,195 | $17,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 1,345 | $17,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 200 | $17,000 | thousands by filing date | put |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 2,504 | $17,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 8,700 | $17,000 | thousands by filing date | call |
| NET SERVICOS DE COMUNICACAO | 64109T201 | SPONSD ADR NEW | 1,361 | $17,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 500 | $17,000 | thousands by filing date | call |
| CRAY INC | 225223304 | COM NEW | 700 | $17,000 | thousands by filing date | call |
| NUANCE COMMUNICATIONS INC | 67020YAB6 | DBCV 2.750% 8/1 | 15,000 | $17,000 | thousands by filing date | principal |
| PIKE ELEC CORP | 721283109 | COM | 1,504 | $17,000 | thousands by filing date | |
| IGATE CORP | 45169U105 | COM | 600 | $17,000 | thousands by filing date | call |
| TOWERSTREAM CORP | 892000100 | COM | 6,100 | $17,000 | thousands by filing date | call |
| AG MTG INVT TR INC | 001228105 | COM | 1,000 | $17,000 | thousands by filing date | call |
| INTELSAT S A | L5140P101 | COM | 730 | $17,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 6,737 | $17,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 890 | $17,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 1,080 | $17,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,000 | $17,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 700 | $17,000 | thousands by filing date | call |
| SUPPORT COM INC | 86858W101 | COM | 2,998 | $17,000 | thousands by filing date | |
| COBRA ELECTRONICS CORP | 191042100 | COM | 6,105 | $17,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 5,800 | $17,000 | thousands by filing date | call |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,975 | $17,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 4,000 | $17,000 | thousands by filing date | |
| JAPAN EQUITY FD INC | 471057109 | COM | 2,517 | $17,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 3,537 | $17,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 2,418 | $17,000 | thousands by filing date | |
| PROSH ULTRAPRO SHORT S&P 500 | 74348A632 | CMN | 800 | $17,000 | thousands by filing date | put |
| ISHARES INC | 464286368 | MSCI GL SL MET | 874 | $17,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 707 | $17,000 | thousands by filing date | |
| COUNTRY STYLE COOKING REST ADR | 22238M109 | ADR-EMG MKT | 1,843 | $17,000 | thousands by filing date | |
| PIZZA INN HOLDINGS INC | 725846109 | COM | 2,230 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74348A830 | CMN | 429 | $17,000 | thousands by filing date | |
| SKYPEOPLE FRUIT JUICE INC | 83086T208 | COM NEW | 8,407 | $17,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 1,110 | $17,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 100 | $16,000 | thousands by filing date | put |
| ASSURANT INC COM | 04621X108 | Stock | 300 | $16,000 | thousands by filing date | put |
| NEWS CORP NEW CL A | 65249B109 | Stock | 1,000 | $16,000 | thousands by filing date | call |
| LKQ CORP COM | 501889208 | Stock | 500 | $16,000 | thousands by filing date | put |
| WINNEBAGO INDS INC | 974637100 | COM | 600 | $16,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 13,489 | $16,000 | thousands by filing date | |
| ABM INDS INC | 000957100 | COM | 600 | $16,000 | thousands by filing date | call |
| KELLY SVCS INC | 488152208 | CL A | 800 | $16,000 | thousands by filing date | call |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,200 | $16,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 8,893 | $16,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,251 | $16,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 400 | $16,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 1,400 | $16,000 | thousands by filing date | call |
| VECTOR GROUP LTD | 92240M108 | COM | 1,000 | $16,000 | thousands by filing date | put |
| VECTOR GROUP LTD | 92240M108 | COM | 1,000 | $16,000 | thousands by filing date | call |
| CUBIC CORP | 229669106 | COM | 300 | $16,000 | thousands by filing date | call |
| EATON VANCE CORP | 278265103 | COM NON VTG | 400 | $16,000 | thousands by filing date | call |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 1,177 | $16,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 354 | $16,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 1,730 | $16,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 890 | $16,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 3,322 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 300 | $16,000 | thousands by filing date | call |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 700 | $16,000 | thousands by filing date | put |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 2,700 | $16,000 | thousands by filing date | call |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 7,300 | $16,000 | thousands by filing date | call |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 500 | $16,000 | thousands by filing date | put |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 1,899 | $16,000 | thousands by filing date | |
| FIRSTBANK CORPORATION | 33761G104 | COMMON STOCK | 830 | $16,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 2,400 | $16,000 | thousands by filing date | call |
| NW Biotherapeutics | 66737P600 | USD | 4,700 | $16,000 | thousands by filing date | call |
| Hugoton Royalty Trust | 444717102 | COM | 2,200 | $16,000 | thousands by filing date | put |
| Bowater Inc | 09066L105 | COMMON STOCKS | 4,275 | $16,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 300 | $16,000 | thousands by filing date | call |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 668 | $16,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 1,100 | $16,000 | thousands by filing date | call |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 1,300 | $16,000 | thousands by filing date | call |
| SWIFT ENERGY CO | 870738101 | COM | 1,400 | $16,000 | thousands by filing date | call |
| STANDARD PARKING CORP | 853790103 | COM | 578 | $16,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 4,333 | $16,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 7,000 | $16,000 | thousands by filing date | call |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 1,821 | $16,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 400 | $16,000 | thousands by filing date | put |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 200,048 | $16,000 | thousands by filing date | |
| NUVERRA ENVIRNMNTL SOLUTIO | 67091K104 | COM | 7,100 | $16,000 | thousands by filing date | call |
| OI S.A. | 670851104 | SPONSORED ADR | 8,337 | $16,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 9,200 | $16,000 | thousands by filing date | |
| GASTAR EXPL LTD | 367299203 | COM NEW | 4,000 | $16,000 | thousands by filing date | put |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 1,770 | $16,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 17,941 | $16,000 | thousands by filing date | |
| US STEEL CORP | 912909AE8 | NOTE | 16,000 | $16,000 | thousands by filing date | principal |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 1,622 | $16,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 6,400 | $16,000 | thousands by filing date | put |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 4,238 | $16,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 7,759 | $16,000 | thousands by filing date | |
| LEHIGH GAS PARTNERS LP | 524814100 | UT LTD PTN INT | 565 | $16,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 1,200 | $16,000 | thousands by filing date | call |
| FOOD TECHNOLOGY SERVICE INC | 344798202 | COM NEW | 3,130 | $16,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 1,588 | $16,000 | thousands by filing date | |
| KEATING CAPITAL INC | 48722R106 | COM | 2,148 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 400 | $16,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 902 | $16,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R734 | FORN CURR STRT | 338 | $16,000 | thousands by filing date | |
| ISHARES TR | 464289172 | MSCI EM MK FNL | 671 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E317 | GLBLX CEN ASIA | 1,160 | $16,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 1,398 | $16,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 6,700 | $16,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 796 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 551 | $16,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 2,148 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L527 | 30 YR TREAS BULL | 246 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347X252 | PSHS ULSHRT TELE | 816 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 250 | $16,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 200 | $15,000 | thousands by filing date | call |
| TREX CO INC | 89531P105 | COM | 300 | $15,000 | thousands by filing date | call |
| VERISIGN INC COM | 92343E102 | Stock | 300 | $15,000 | thousands by filing date | put |
| RAMBUS INC DEL COM | 750917106 | Stock | 1,550 | $15,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 300 | $15,000 | thousands by filing date | call |
| TARGA RES CORP COM | 87612G101 | Stock | 200 | $15,000 | thousands by filing date | put |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 400 | $15,000 | thousands by filing date | put |
| ROSS STORES INC COM | 778296103 | Stock | 200 | $15,000 | thousands by filing date | put |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 500 | $15,000 | thousands by filing date | call |
| AZENTA INC | 114340102 | COM | 1,600 | $15,000 | thousands by filing date | call |
| DORMAN PRODS INC | 258278100 | COM | 300 | $15,000 | thousands by filing date | call |
| CENOVUS ENERGY INC | 15135U109 | COM | 500 | $15,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 200 | $15,000 | thousands by filing date | call |
| PTC THERAPEUTICS INC | 69366J200 | COM | 698 | $15,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 400 | $15,000 | thousands by filing date | call |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 1,200 | $15,000 | thousands by filing date | put |
| DUKE REALTY CORP | 264411505 | COM NEW | 1,000 | $15,000 | thousands by filing date | put |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 300 | $15,000 | thousands by filing date | put |
| M.D.C. HOLDINGS INC | 552676108 | COM | 500 | $15,000 | thousands by filing date | put |
| OSI SYSTEMS INC | 671044105 | COM | 200 | $15,000 | thousands by filing date | put |
| ENCORE WIRE CORP | 292562105 | COM | 374 | $15,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 900 | $15,000 | thousands by filing date | call |
| COSAN LTD | G25343107 | SHS A | 1,000 | $15,000 | thousands by filing date | put |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 1,062 | $15,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 1,191 | $15,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 700 | $15,000 | thousands by filing date | call |
| RPC INC | 749660106 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | call |
| CENTURY CASINOS INC | 156492100 | COM | 2,560 | $15,000 | thousands by filing date | |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 100 | $15,000 | thousands by filing date | put |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,600 | $15,000 | thousands by filing date | put |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 640 | $15,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 319 | $15,000 | thousands by filing date | |
| CARDTRONICS INC | 14161H108 | COMMON STOCK | 400 | $15,000 | thousands by filing date | call |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 600 | $15,000 | thousands by filing date | put |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 276 | $15,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 650 | $15,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 1,893 | $15,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 6,593 | $15,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 900 | $15,000 | thousands by filing date | put |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 6,500 | $15,000 | thousands by filing date | call |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 400 | $15,000 | thousands by filing date | call |
| FARMER BROS CO | 307675108 | COM | 970 | $15,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 2,700 | $15,000 | thousands by filing date | call |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,716 | $15,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 1,262 | $15,000 | thousands by filing date | |
| NIELSEN HOLDINGS N V | N63218106 | COM | 400 | $15,000 | thousands by filing date | call |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 500 | $15,000 | thousands by filing date | put |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 1,101 | $15,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 1,468 | $15,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 800 | $15,000 | thousands by filing date | put |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 100 | $15,000 | thousands by filing date | put |
| BSB BANCORP INC MD | 05573H108 | COM | 1,041 | $15,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 5,352 | $15,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 4,968 | $15,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 2,000 | $15,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 500 | $15,000 | thousands by filing date | call |
| ALERE INC | 01449J105 | COM | 500 | $15,000 | thousands by filing date | put |
| ALERE INC | 01449J105 | COM | 500 | $15,000 | thousands by filing date | call |
| TELLABS INC | 879664100 | COM | 6,500 | $15,000 | thousands by filing date | call |
| IPC THE HOSPITALIST CO | 44984A105 | COM | 281 | $15,000 | thousands by filing date | |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 5,493 | $15,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 600 | $15,000 | thousands by filing date | call |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 3,600 | $15,000 | thousands by filing date | put |
| WHITING USA TR II | 966388100 | TR UNIT | 1,200 | $15,000 | thousands by filing date | put |
| FIRST BUSEY CORP | 319383105 | COM | 2,800 | $15,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 585 | $15,000 | thousands by filing date | |
| KIPS BAY MEDICAL INC | 49726K105 | COM | 17,654 | $15,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 599 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 508 | $15,000 | thousands by filing date | |
| ISHARES MSCI | 464289545 | UTILTS IDX FD | 362 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X883 | GLB RL RETURN | 368 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 875 | $15,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 2,068 | $15,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,668 | $15,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 7,500 | $15,000 | thousands by filing date | call |
| LSB FINL CORP | 501925101 | COM | 525 | $15,000 | thousands by filing date | |
| MSB FINANCIAL CORPORATION | 55352P102 | COM | 2,072 | $15,000 | thousands by filing date | |
| SIGNATURE BANK-CW18 | 82669G112 | Wt | 250 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y819 | TOTAL MKT BEAR | 597 | $15,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461407 | CONSMR SVC GEM | 660 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347X187 | PSHS ULSHT MC GR | 778 | $15,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 300 | $14,000 | thousands by filing date | call |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 300 | $14,000 | thousands by filing date | call |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 200 | $14,000 | thousands by filing date | put |
| VALMONT INDS INC COM | 920253101 | Stock | 100 | $14,000 | thousands by filing date | put |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 1,000 | $14,000 | thousands by filing date | put |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 300 | $14,000 | thousands by filing date | call |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 400 | $14,000 | thousands by filing date | call |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 400 | $14,000 | thousands by filing date | call |
| COPA HOLDINGS SA | P31076105 | CL A | 100 | $14,000 | thousands by filing date | put |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,900 | $14,000 | thousands by filing date | call |
| DUCOMMUN INC DEL | 264147109 | COM | 500 | $14,000 | thousands by filing date | call |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 500 | $14,000 | thousands by filing date | call |
| M/I HOMES INC | 55305B101 | COM | 700 | $14,000 | thousands by filing date | call |
| CHEMOCENTRYX INC | 16383L106 | COM | 2,500 | $14,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 346 | $14,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 198 | $14,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 269 | $14,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 700 | $14,000 | thousands by filing date | call |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 200 | $14,000 | thousands by filing date | put |
| CENTURY ALUM CO | 156431108 | COM | 1,700 | $14,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 3,911 | $14,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 800 | $14,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 3,200 | $14,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 551 | $14,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 600 | $14,000 | thousands by filing date | call |
| HEALTHCARE RLTY TR | 421946104 | COM | 600 | $14,000 | thousands by filing date | put |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 1,000 | $14,000 | thousands by filing date | call |
| MAC-GRAY CORP | 554153106 | COMMON STOCK | 988 | $14,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,237 | $14,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 1,600 | $14,000 | thousands by filing date | call |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 5,500 | $14,000 | thousands by filing date | put |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 1,028 | $14,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 844 | $14,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 913 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 600 | $14,000 | thousands by filing date | put |
| VONAGE HLDGS CORP | 92886T201 | COM | 4,600 | $14,000 | thousands by filing date | call |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 743 | $14,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 1,304 | $14,000 | thousands by filing date | |
| SONDE RESOURCES CORP | 835426107 | COM | 14,243 | $14,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664707 | PFD SER K | 617 | $14,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 10,000 | $14,000 | thousands by filing date | principal |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 3,790 | $14,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 4,196 | $14,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 300 | $14,000 | thousands by filing date | put |
| PROVIDENCE SVC CORP | 743815102 | COM | 500 | $14,000 | thousands by filing date | put |
| BROADSOFT INC | 11133B409 | COM | 400 | $14,000 | thousands by filing date | call |
| VICAL INC | 925602104 | COM | 10,900 | $14,000 | thousands by filing date | call |
| HARTE-HANKS INC | 416196103 | COM | 1,600 | $14,000 | thousands by filing date | call |
| XENOPORT INC | 98411C100 | COM | 2,470 | $14,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 23,000 | $14,000 | thousands by filing date | call |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 564 | $14,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 1,546 | $14,000 | 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 |