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 |
|---|---|---|---|---|---|---|
| CAPE BANCORP INC | 139209100 | COM | 565 | $5,000 | thousands by filing date | |
| DIGITAL CINEMA DESTINATIONS | 25383B109 | CL A CO | 762 | $5,000 | thousands by filing date | |
| PROSH ULTRAPRO SHORT S&P 500 | 74348A632 | CMN | 223 | $5,000 | thousands by filing date | |
| CHART ACQUISITION CORP | 161151204 | UNIT | 500 | $5,000 | thousands by filing date | |
| SALESFORCE COM INC | 79466LAB0 | BOND | 2,000 | $5,000 | thousands by filing date | principal |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 166 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 306 | $5,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 957 | $5,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 500 | $5,000 | thousands by filing date | call |
| PROSHARES VIX | 74347W684 | VIX MDTRM FUTR | 200 | $5,000 | thousands by filing date | call |
| CHINA HOUSING & LAND DEV INC | 16939V103 | COM | 2,257 | $5,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 300 | $5,000 | thousands by filing date | call |
| DOVER SADDLERY INC | 260412101 | COM | 1,205 | $5,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 448 | $5,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 5,500 | $5,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 3,731 | $5,000 | thousands by filing date | |
| MOD PAC CORP | 607495108 | COM | 548 | $5,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 3,673 | $5,000 | thousands by filing date | |
| ADVANCED PHOTONIX INC | 00754E107 | CLA | 8,096 | $5,000 | thousands by filing date | |
| ASTEA INTL INC | 04622E208 | COM | 1,817 | $5,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVTS COR | 76131N119 | WTS | 2,216 | $5,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 348 | $5,000 | thousands by filing date | |
| NOAH ED HLDGS LTD | 65487R303 | ADR | 2,568 | $5,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K105 | CL A SHS | 2,282 | $5,000 | thousands by filing date | |
| China Yida Holdings Co | 16945D303 | COM PAR $0.0001 | 909 | $5,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 4,363 | $5,000 | thousands by filing date | |
| CARROLLTON BANCORP | 145282109 | COM | 901 | $5,000 | thousands by filing date | |
| CMS BANCORP INC | 12600U102 | COM | 591 | $5,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 165 | $5,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 1,293 | $5,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 500 | $5,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 700 | $4,000 | thousands by filing date | put |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 100 | $4,000 | thousands by filing date | call |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 100 | $4,000 | thousands by filing date | call |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 800 | $4,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 100 | $4,000 | thousands by filing date | call |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 100 | $4,000 | thousands by filing date | put |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 100 | $4,000 | thousands by filing date | put |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 600 | $4,000 | thousands by filing date | call |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 100 | $4,000 | thousands by filing date | call |
| MOVADO GROUP INC COM | 624580106 | Stock | 100 | $4,000 | thousands by filing date | put |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 230 | $4,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,362 | $4,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 100 | $4,000 | thousands by filing date | call |
| FTI CONSULTING INC | 302941109 | COM | 100 | $4,000 | thousands by filing date | put |
| SHOE STA GROUP INC | 824889109 | COM | 155 | $4,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 100 | $4,000 | thousands by filing date | put |
| CODEXIS INC | 192005106 | COM | 2,109 | $4,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 94 | $4,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 300 | $4,000 | thousands by filing date | put |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 416 | $4,000 | thousands by filing date | |
| WORLD KINECT CORPORATION | 981475106 | COM | 100 | $4,000 | thousands by filing date | put |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 200 | $4,000 | thousands by filing date | put |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 600 | $4,000 | thousands by filing date | call |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 100 | $4,000 | thousands by filing date | call |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 1,800 | $4,000 | thousands by filing date | call |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 100 | $4,000 | thousands by filing date | call |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 204 | $4,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 300 | $4,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 79 | $4,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 61 | $4,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 150 | $4,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 78 | $4,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 100 | $4,000 | thousands by filing date | put |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 570 | $4,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 2,308 | $4,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 100 | $4,000 | thousands by filing date | call |
| NEENAH PAPER INC | 640079109 | COM | 100 | $4,000 | thousands by filing date | put |
| CARBONITE INC | 141337105 | COM | 300 | $4,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 610 | $4,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 500 | $4,000 | thousands by filing date | put |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 190 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 200 | $4,000 | thousands by filing date | put |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,377 | $4,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 251 | $4,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 893 | $4,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 2,918 | $4,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 331 | $4,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 716 | $4,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 200 | $4,000 | thousands by filing date | call |
| AEROFLEX HOLDING CORP | 007767106 | COMMON STOCK | 513 | $4,000 | thousands by filing date | |
| EL PASO PIPELINE PARTNERS | 283702108 | COMMON STOCK | 100 | $4,000 | thousands by filing date | call |
| BERKSHIRE BANCORP INC | 084597202 | COMMON STOCK | 455 | $4,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 5,000 | $4,000 | thousands by filing date | principal |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 3,000 | $4,000 | thousands by filing date | principal |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 600 | $4,000 | thousands by filing date | put |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 2,000 | $4,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 300 | $4,000 | thousands by filing date | call |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 200 | $4,000 | thousands by filing date | call |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 450 | $4,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 1,100 | $4,000 | thousands by filing date | call |
| AGENUS INC | 00847G705 | COM NEW | 1,400 | $4,000 | thousands by filing date | put |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 1,400 | $4,000 | thousands by filing date | put |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 600 | $4,000 | thousands by filing date | call |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 500 | $4,000 | thousands by filing date | put |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 600 | $4,000 | thousands by filing date | call |
| FELCOR LODGING TR INC | 31430F101 | COM | 600 | $4,000 | thousands by filing date | call |
| FOREST LABS INC | 345838106 | COM | 100 | $4,000 | thousands by filing date | put |
| NORTHEAST UTILS | 664397106 | COM | 100 | $4,000 | thousands by filing date | call |
| COMPUTER TASK GROUP INC | 205477102 | COM | 217 | $4,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 300 | $4,000 | thousands by filing date | call |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 100 | $4,000 | thousands by filing date | call |
| ROVI CORP | 779376102 | COM | 200 | $4,000 | thousands by filing date | call |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 200 | $4,000 | thousands by filing date | call |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 832 | $4,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 600 | $4,000 | thousands by filing date | put |
| CINCINNATI BELL INC NEW | 171871106 | COM | 1,300 | $4,000 | thousands by filing date | put |
| POLYPORE INTL INC | 73179V103 | COM | 100 | $4,000 | thousands by filing date | put |
| ELIZABETH ARDEN INC | 28660G106 | COM | 100 | $4,000 | thousands by filing date | call |
| ENDOCYTE INC | 29269A102 | COM | 300 | $4,000 | thousands by filing date | put |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 121 | $4,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 5,021 | $4,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 200 | $4,000 | thousands by filing date | put |
| GFI GROUP INC | 361652209 | COM | 1,001 | $4,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 300 | $4,000 | thousands by filing date | call |
| FIRSTMERIT CORP | 337915102 | COM | 200 | $4,000 | thousands by filing date | call |
| MINDRAY MEDICAL INTL LTD | 602675100 | SPON ADR | 100 | $4,000 | thousands by filing date | put |
| WALTER INVT MGMT CORP | 93317W102 | COM | 100 | $4,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 3,000 | $4,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 1,000 | $4,000 | thousands by filing date | put |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 161 | $4,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 3,000 | $4,000 | thousands by filing date | call |
| DIGITAL RIV INC | 25388B104 | COM | 200 | $4,000 | thousands by filing date | call |
| NEONODE INC | 64051M402 | COM NEW | 600 | $4,000 | thousands by filing date | put |
| UTI WORLDWIDE INC | G87210103 | ORD | 243 | $4,000 | thousands by filing date | |
| CON-WAY INC | 205944101 | COM | 104 | $4,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 161 | $4,000 | thousands by filing date | |
| PRIVATEBANCORP INC | 742962103 | COM | 200 | $4,000 | thousands by filing date | call |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 800 | $4,000 | thousands by filing date | call |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 1,500 | $4,000 | thousands by filing date | call |
| ISHARES INC MSCI UTD KINGD | 464286699 | COM | 200 | $4,000 | thousands by filing date | put |
| KAYDON CORP | 486587108 | COM | 100 | $4,000 | thousands by filing date | put |
| FINISH LINE/THE CL A | 317923100 | COM | 150 | $4,000 | thousands by filing date | |
| GENTIVA HEALTH SERVICES | 37247A102 | COM | 300 | $4,000 | thousands by filing date | put |
| DICE HOLDINGS INC | 253017107 | COM | 498 | $4,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 100 | $4,000 | thousands by filing date | call |
| WILLIS GROUP HOLDINGS PLC | G96666105 | COM | 100 | $4,000 | thousands by filing date | call |
| CTC MEDIA INC | 12642X106 | COM | 400 | $4,000 | thousands by filing date | call |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 300 | $4,000 | thousands by filing date | call |
| SEQUENOM INC COM NEW | 817337405 | COM | 1,400 | $4,000 | thousands by filing date | put |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 4,000 | $4,000 | thousands by filing date | principal |
| LIFELOCK INC COM | 53224V100 | COM | 300 | $4,000 | thousands by filing date | call |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 800 | $4,000 | thousands by filing date | call |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 1,000 | $4,000 | thousands by filing date | call |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 1,200 | $4,000 | thousands by filing date | put |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 1,684 | $4,000 | thousands by filing date | |
| NAM TAI ELECTRS INC | 629865205 | COM PAR $0.02 | 500 | $4,000 | thousands by filing date | call |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 1,500 | $4,000 | thousands by filing date | call |
| PERMA-FIX ENVIRONMENTAL SVCS | 714157104 | COM | 5,500 | $4,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 3,553 | $4,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 628 | $4,000 | thousands by filing date | |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 124 | $4,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 500 | $4,000 | thousands by filing date | put |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 80 | $4,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 500 | $4,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 1,688 | $4,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 200 | $4,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 572 | $4,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 500 | $4,000 | thousands by filing date | call |
| BOOKS-A-MILLION INC | 098570104 | COM | 1,718 | $4,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 287 | $4,000 | thousands by filing date | |
| ORBIT INTERNATIONAL CORP | 685559304 | COM | 1,210 | $4,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 1,550 | $4,000 | thousands by filing date | |
| VERENIUM CORP | 92340P209 | COM | 985 | $4,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 800 | $4,000 | thousands by filing date | call |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 1,000 | $4,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 1,000 | $4,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 638901306 | PFD | 326 | $4,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 1,036 | $4,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 1,100 | $4,000 | thousands by filing date | put |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 1,500 | $4,000 | thousands by filing date | put |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 100 | $4,000 | thousands by filing date | put |
| DENALI FD INC | 24823A102 | COM | 198 | $4,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 12,379 | $4,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 2,120 | $4,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 2,326 | $4,000 | thousands by filing date | |
| AVIS BUDGET GROUP | 053774AB1 | NOTE 3.500%10/0 | 2,000 | $4,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 100 | $4,000 | thousands by filing date | call |
| Professional Diversity Network | 74312y103 | COM | 820 | $4,000 | thousands by filing date | |
| POWERSHARES DYN MAGNIQUANT | 73935X468 | COM | 129 | $4,000 | thousands by filing date | |
| PROSHARES ULTSHRT RUS 2000 G | 74347X195 | COM | 355 | $4,000 | thousands by filing date | |
| POWERSHARES LUX | 73935X633 | LX NANOTCH PTF | 625 | $4,000 | thousands by filing date | |
| IMRIS INC | 45322N105 | COM | 2,488 | $4,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 400 | $4,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q841 | VELOCSHS EMKTS | 82 | $4,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 289 | $4,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 588 | $4,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 2,551 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 136 | $4,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 2,000 | $4,000 | thousands by filing date | put |
| TUFCO TECHNOLOGIES INC | 899040109 | COM | 778 | $4,000 | thousands by filing date | |
| UNIVERSAL POWER GROUP INC | 913788105 | COM | 2,048 | $4,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 1,694 | $4,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $4,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q759 | CMN | 175 | $4,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 1,000 | $4,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 880 | $4,000 | thousands by filing date | |
| VIMICRO INTL CORP | 92718N109 | ADR | 2,780 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 202 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A657 | PSHS ULPROSH NEW | 240 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 262 | $4,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S195 | *W EXP 12/31/201 | 6,675 | $4,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 781 | $4,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 2,816 | $4,000 | thousands by filing date | |
| FIRST TRUST VALUE LINE EQUITY | 336919105 | COM | 188 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461878 | UTILITIES GEMS | 285 | $4,000 | thousands by filing date | |
| BIRKS & MAYORS INC | 090881103 | CL A VTG | 1,801 | $4,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVTS COR | 76131N200 | UNIT 10/23/2014 | 286 | $4,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639209 | UNIT 12/06/20166 | 600 | $4,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 1,901 | $4,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 463 | $4,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90268A717 | ETRACS FIS GART | 136 | $4,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 3,067 | $4,000 | thousands by filing date | |
| GUANWEI RECYCLING CORP | 400685202 | COM NEW | 2,388 | $4,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 1,120 | $4,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 1,189 | $4,000 | thousands by filing date | |
| ARMCO METALS HLDGS INC | 042182105 | COM ADDED | 10,000 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461456 | EGSHS E MKTS DIV | 223 | $4,000 | thousands by filing date | |
| CIA CERVECERIAS-RTS | 204429112 | Com | 8,797 | $4,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 100 | $3,000 | thousands by filing date | call |
| AMER STATES WTR CO COM | 029899101 | Stock | 100 | $3,000 | thousands by filing date | call |
| EPAM SYS INC COM | 29414B104 | Stock | 100 | $3,000 | thousands by filing date | call |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 177 | $3,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 100 | $3,000 | thousands by filing date | call |
| HOME BANCSHARES INC COM | 436893200 | Stock | 100 | $3,000 | thousands by filing date | call |
| MASTEC INC COM | 576323109 | Stock | 100 | $3,000 | thousands by filing date | put |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 384 | $3,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 100 | $3,000 | thousands by filing date | call |
| CONMED CORP COM | 207410101 | Stock | 100 | $3,000 | thousands by filing date | call |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 100 | $3,000 | thousands by filing date | put |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 100 | $3,000 | thousands by filing date | call |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 100 | $3,000 | thousands by filing date | put |
| MASIMO CORP COM | 574795100 | Stock | 100 | $3,000 | thousands by filing date | call |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 100 | $3,000 | thousands by filing date | put |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 603 | $3,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 147 | $3,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 100 | $3,000 | thousands by filing date | call |
| ARBOR REALTY TRUST INC | 038923108 | COM | 500 | $3,000 | thousands by filing date | call |
| ALKERMES PLC | G01767105 | SHS | 100 | $3,000 | thousands by filing date | put |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 145 | $3,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 100 | $3,000 | thousands by filing date | call |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 150 | $3,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 200 | $3,000 | thousands by filing date | call |
| BAR HBR BANKSHARES | 066849100 | COM | 79 | $3,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 100 | $3,000 | thousands by filing date | call |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 140 | $3,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 200 | $3,000 | thousands by filing date | call |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 300 | $3,000 | thousands by filing date | call |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 100 | $3,000 | thousands by filing date | call |
| LSB INDS INC | 502160104 | COM | 100 | $3,000 | thousands by filing date | call |
| CALIX INC | 13100M509 | COM | 200 | $3,000 | thousands by filing date | call |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 192 | $3,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 100 | $3,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 700 | $3,000 | thousands by filing date | call |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 500 | $3,000 | thousands by filing date | put |
| LIQUIDITY SVCS INC | 53635B107 | COM | 100 | $3,000 | thousands by filing date | put |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 528 | $3,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 185 | $3,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 100 | $3,000 | thousands by filing date | put |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 227 | $3,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 443 | $3,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 100 | $3,000 | thousands by filing date | put |
| RIVERVIEW BANCORP INC | 769397100 | COM | 1,144 | $3,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 300 | $3,000 | thousands by filing date | call |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 100 | $3,000 | thousands by filing date | put |
| UMPQUA HOLDINGS | 904214103 | COM | 200 | $3,000 | thousands by filing date | call |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 1,827 | $3,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 1,116 | $3,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 210 | $3,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,000 | $3,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 1,271 | $3,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 418 | $3,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 166 | $3,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 817 | $3,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 1,404 | $3,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 60 | $3,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 386 | $3,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 600 | $3,000 | thousands by filing date | call |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 400 | $3,000 | thousands by filing date | call |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 300 | $3,000 | thousands by filing date | call |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 800 | $3,000 | thousands by filing date | call |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 1,483 | $3,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 1,500 | $3,000 | thousands by filing date | call |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 400 | $3,000 | thousands by filing date | call |
| SBA COMMUNICATIONS CORP | 78388JAM8 | CORPORATE OBLIG | 1,000 | $3,000 | thousands by filing date | principal |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 191 | $3,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 112 | $3,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 300 | $3,000 | thousands by filing date | call |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 1,500 | $3,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 300 | $3,000 | thousands by filing date | call |
| ISHARES | 464286830 | EXCHANGE TRADED | 200 | $3,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 1,600 | $3,000 | thousands by filing date | call |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 2,000 | $3,000 | thousands by filing date | call |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 500 | $3,000 | thousands by filing date | put |
| CLEARONE INC | 18506U104 | COM | 425 | $3,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 100 | $3,000 | thousands by filing date | call |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| ICONIX BRAND GROUP INC | 451055107 | COM | 100 | $3,000 | thousands by filing date | put |
| RESPONSYS INC | 761248103 | COM | 200 | $3,000 | thousands by filing date | call |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 3,000 | $3,000 | thousands by filing date | principal |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 3,000 | $3,000 | thousands by filing date | principal |
| COVANTA HLDG CORP | 22282EAC6 | NOTE 3.250% 6/0 | 2,000 | $3,000 | thousands by filing date | principal |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 1,000 | $3,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 1,374 | $3,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 3,000 | $3,000 | thousands by filing date | principal |
| OFFICEMAX INC DEL | 67622P101 | COM | 200 | $3,000 | thousands by filing date | call |
| K12 INC | 48273U102 | COM | 100 | $3,000 | thousands by filing date | put |
| PACER INTL INC TENN | 69373H106 | COM | 500 | $3,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 200 | $3,000 | thousands by filing date | call |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 100 | $3,000 | thousands by filing date | put |
| MENS WEARHOUSE INC | 587118100 | COM | 100 | $3,000 | thousands by filing date | call |
| RIGNET INC | 766582100 | COM | 84 | $3,000 | thousands by filing date | |
| RIO ALTO MNG LTD NEW | 76689T104 | COM | 1,272 | $3,000 | thousands by filing date | |
| VOCUS INC | 92858J108 | COM | 300 | $3,000 | thousands by filing date | put |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 3,000 | $3,000 | thousands by filing date | principal |
| MONSTER WORLDWIDE INC | 611742107 | COM | 700 | $3,000 | thousands by filing date | call |
| DYNEX CAP INC | 26817Q506 | COM NEW | 300 | $3,000 | thousands by filing date | call |
| ACETO CORP | 004446100 | COM | 200 | $3,000 | thousands by filing date | |
| HEALTH MGMT ASSOC INC NEW | 421933102 | CL A | 200 | $3,000 | thousands by filing date | call |
| INTELSAT S A | L5140P119 | MAN CONV JR PFD | 50 | $3,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 500 | $3,000 | thousands by filing date | put |
| CORELOGIC INC | 21871D103 | COM | 100 | $3,000 | thousands by filing date | put |
| CORELOGIC INC | 21871D103 | COM | 100 | $3,000 | thousands by filing date | call |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 100 | $3,000 | thousands by filing date | |
| ARRIS GROUP INC | 04270V106 | COM | 200 | $3,000 | thousands by filing date | call |
| BIO REFERENCE LABS INC | 09057G602 | COM | 100 | $3,000 | thousands by filing date | put |
| BIO REFERENCE LABS INC | 09057G602 | COM | 100 | $3,000 | thousands by filing date | call |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 300 | $3,000 | thousands by filing date | call |
| WAUSAU PAPER CORP | 943315101 | COM | 200 | $3,000 | thousands by filing date | call |
| The Jones Group Inc | 48020T101 | COM | 200 | $3,000 | thousands by filing date | put |
| ALLIANT TECHSYSTEMS 3.000/15/24 | 018804AK0 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 200 | $3,000 | thousands by filing date | put |
| SUNTECH PWR HLDGS CO LTD | 86800CAE4 | NOTE 3.000% 3/1 | 11,000 | $3,000 | thousands by filing date | principal |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 495 | $3,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 1,077 | $3,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 984 | $3,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 960 | $3,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 886 | $3,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 2,268 | $3,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 643 | $3,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 500 | $3,000 | thousands by filing date | call |
| KIOR INC - CL A | 497217109 | CL A | 1,000 | $3,000 | thousands by filing date | call |
| GROUP 1 AUTOMOTIVE INC | 398905AE9 | FRNT | 2,000 | $3,000 | thousands by filing date | principal |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 500 | $3,000 | thousands by filing date | put |
| PLANET PAYMENT INC | U72603118 | SHS | 1,117 | $3,000 | thousands by filing date | |
| CHINDEX INTERNATIONAL INC | 169467107 | COM | 200 | $3,000 | thousands by filing date | call |
| VERENIUM CORP | 92340P209 | COM | 700 | $3,000 | thousands by filing date | call |
| SYNTROLEUM CORP | 871630208 | COM | 649 | $3,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 1,000 | $3,000 | thousands by filing date | call |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 700 | $3,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 1,311 | $3,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 500 | $3,000 | thousands by filing date | put |
| PRIMUS TELECOMMUNICATIONS GR | 741929301 | COM | 972 | $3,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 3,000 | $3,000 | thousands by filing date | principal |
| NORDION INC | 65563c105 | COM | 293 | $3,000 | thousands by filing date | |
| ECOTALITY INC | 27922Y202 | COM NEW | 39,188 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 100 | $3,000 | thousands by filing date | put |
| Meru Networks, Inc. | 59047Q103 | COM | 800 | $3,000 | thousands by filing date | call |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 1,600 | $3,000 | thousands by filing date | put |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 200 | $3,000 | thousands by filing date | put |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 4,050 | $3,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 178 | $3,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 500 | $3,000 | thousands by filing date | call |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 1,600 | $3,000 | thousands by filing date | call |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 500 | $3,000 | thousands by filing date | put |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 2,000 | $3,000 | thousands by filing date | principal |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| CHINA GERUI ADVANCED MATERIA | G21101103 | CMN | 1,710 | $3,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 1,000 | $3,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 500 | $3,000 | thousands by filing date | call |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 123 | $3,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 4,000 | $3,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y645 | DLY RUSSIA BUL | 100 | $3,000 | thousands by filing date | call |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 471 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 114 | $3,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 562 | $3,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 126 | $3,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 299 | $3,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 800 | $3,000 | thousands by filing date | |
| QKL STORES INC | 74732Y303 | COM PAR $0.001 | 645 | $3,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 170 | $3,000 | thousands by filing date | |
| MEDIABISTRO INC | 58448U101 | COM | 2,184 | $3,000 | thousands by filing date | |
| SPORT CHALET INC | 849163308 | CLB | 2,339 | $3,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895101 | CLB | 338 | $3,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 2,256 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 127 | $3,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R204 | COM | 15,944 | $3,000 | thousands by filing date | |
| METHES ENERGIES INTL LTD | 591517107 | COM | 1,422 | $3,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 2,987 | $3,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 127 | $3,000 | thousands by filing date | |
| NOVAGOLD RES INC | 66987EAA5 | NOTE 5.500% 5/0 | 3,000 | $3,000 | thousands by filing date | principal |
| VESTIN RLTY MTG II INC | 92549X201 | COM NEW | 2,242 | $3,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 4,811 | $3,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678202 | COM NEW | 2,962 | $3,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 492 | $3,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 823 | $3,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 1,000 | $3,000 | thousands by filing date | call |
| PROSHARES TR | 74348A624 | PSHS UL1000NEW | 100 | $3,000 | thousands by filing date | |
| CIS ACQUISITION LTD | G21490118 | *W EXP 99/99/999 | 9,200 | $3,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H118 | *W EXP 02/08/201 | 100 | $3,000 | thousands by filing date | |
| ISHARES TR | 46429B432 | MSCI SING SMCP | 90 | $3,000 | thousands by filing date | |
| VALLEY FINL CORP VA | 919629105 | COM | 261 | $3,000 | thousands by filing date | |
| CHINA SHENGDA PACKAGING GROU | 16950V107 | COM | 2,785 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 107 | $3,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 580 | $3,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 1,027 | $3,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F102 | SHS | 2,365 | $3,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 343 | $3,000 | thousands by filing date | |
| EON COMMUNICATIONS CORP | 268763208 | COM NEW | 2,433 | $3,000 | thousands by filing date | |
| PRIME ACQUISITION CORP | G72436127 | WRT | 4,100 | $3,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 133 | $3,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 103 | $3,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 389 | $3,000 | thousands by filing date | |
| Prospect Global Resources Inc. | 74348X202 | COM | 1,132 | $3,000 | thousands by filing date | |
| REGADO BIOSCIENCE INC | 75874Q107 | COM | 454 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y322 | COM | 100 | $3,000 | thousands by filing date | call |
| ZALECORPNEW | 988858106 | COM | 100 | $2,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 426 | $2,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 100 | $2,000 | thousands by filing date | call |
| ENNIS INC COM | 293389102 | Stock | 100 | $2,000 | thousands by filing date | put |
| MERIT MED SYS INC COM | 589889104 | Stock | 200 | $2,000 | thousands by filing date | call |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 100 | $2,000 | thousands by filing date | put |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 36 | $2,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 100 | $2,000 | thousands by filing date | call |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 500 | $2,000 | thousands by filing date | put |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 500 | $2,000 | thousands by filing date | call |
| BRF SA | 10552T107 | SPONSORED ADR | 100 | $2,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 2,100 | $2,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 200 | $2,000 | thousands by filing date | call |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 100 | $2,000 | thousands by filing date | call |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 200 | $2,000 | thousands by filing date | put |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 100 | $2,000 | thousands by filing date | put |
| GENTHERM INC | 37253A103 | COM | 110 | $2,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 100 | $2,000 | thousands by filing date | call |
| CBIZ INC | 124805102 | COM | 310 | $2,000 | thousands by filing date | |
| COPT DEFENSE PROPERTIES | 22002T108 | SHS BEN INT | 100 | $2,000 | thousands by filing date | put |
| EVERTEC INC | 30040P103 | COM | 100 | $2,000 | thousands by filing date | call |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 200 | $2,000 | thousands by filing date | put |
| TERRENO RLTY CORP | 88146M101 | COM | 100 | $2,000 | thousands by filing date | call |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 100 | $2,000 | thousands by filing date | put |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 52 | $2,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 100 | $2,000 | thousands by filing date | put |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 200 | $2,000 | thousands by filing date | call |
| TITAN MACHY INC | 88830R101 | COM | 100 | $2,000 | thousands by filing date | put |
| PAR TECHNOLOGY CORP | 698884103 | COM | 375 | $2,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 100 | $2,000 | thousands by filing date | call |
| KRATON CORPORATION | 50077C106 | COM | 100 | $2,000 | thousands by filing date | call |
| CENTURY ALUM CO | 156431108 | COM | 300 | $2,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 100 | $2,000 | thousands by filing date | call |
| ENVIRI CORP | 415864107 | COM | 100 | $2,000 | thousands by filing date | call |
| EZCORP INC | 302301106 | CL A NON VTG | 100 | $2,000 | thousands by filing date | call |
| 8X8 INC | 282914100 | COMMON STOCK | 200 | $2,000 | thousands by filing date | call |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 200 | $2,000 | thousands by filing date | put |
| CREXENDO INC | 226552107 | COMMON STOCK | 664 | $2,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 225 | $2,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 100 | $2,000 | thousands by filing date | call |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 154 | $2,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 1,296 | $2,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 100 | $2,000 | thousands by filing date | call |
| ATLANTIC AMERN CORP | 048209100 | COM | 585 | $2,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 1,358 | $2,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 100 | $2,000 | thousands by filing date | put |
| VOC ENERGY TR | 91829B103 | TR UNIT | 100 | $2,000 | thousands by filing date | call |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 1,357 | $2,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 100 | $2,000 | thousands by filing date | call |
| INTREXON CORP | 46122T102 | COM | 100 | $2,000 | thousands by filing date | call |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 135 | $2,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 107 | $2,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 100 | $2,000 | thousands by filing date | call |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 800 | $2,000 | thousands by filing date | put |
| EVERBANK FINANCIAL CORPORATION | 29977G102 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| EVERBANK FINANCIAL CORPORATION | 29977G102 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| LIFEPOINT HEALTH INC | 53219LAH2 | CORPORATE OBLIG | 2,000 | $2,000 | thousands by filing date | principal |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 300 | $2,000 | thousands by filing date | call |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 300 | $2,000 | thousands by filing date | put |
| QLT INC | 746927102 | COMMON STOCK | 505 | $2,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 100 | $2,000 | thousands by filing date | put |
| AVIV REIT INC | 05381L101 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 23 | $2,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 984 | $2,000 | thousands by filing date | |
| Tandy Brands Accessories Inc | 875378101 | COM | 3,116 | $2,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 2,878 | $2,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 400 | $2,000 | thousands by filing date | put |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 200 | $2,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 115 | $2,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 3 | $2,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 100 | $2,000 | thousands by filing date | put |
| TEARLAB CORP | 878193101 | COM | 200 | $2,000 | thousands by filing date | put |
| BON-TON STORES INC | 09776J101 | COM | 200 | $2,000 | thousands by filing date | put |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 100 | $2,000 | thousands by filing date | put |
| FXCM INC | 302693106 | COM | 100 | $2,000 | thousands by filing date | call |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 1,000 | $2,000 | thousands by filing date | principal |
| Alamos Gold, Inc. | 011527108 | COM | 100 | $2,000 | thousands by filing date | call |
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 |