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 |
|---|---|---|---|---|---|---|
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 100 | $2,000 | thousands by filing date | put |
| SWIFT ENERGY CO | 870738101 | COM | 200 | $2,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 800 | $2,000 | thousands by filing date | call |
| PHARMATHENE INC | 71714G102 | COM | 1,000 | $2,000 | thousands by filing date | call |
| PICO HLDGS INC | 693366205 | COM NEW | 100 | $2,000 | thousands by filing date | call |
| TRW AUTOMOTIVE INC | 87264MAH2 | NOTE 3.500%12/0 | 1,000 | $2,000 | thousands by filing date | principal |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 200 | $2,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 203 | $2,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 900 | $2,000 | thousands by filing date | call |
| ORTHOFIX INTL N V | N6748L102 | COM | 100 | $2,000 | thousands by filing date | put |
| PANTRY INC | 698657103 | COM | 191 | $2,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 200 | $2,000 | thousands by filing date | put |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 1,000 | $2,000 | thousands by filing date | principal |
| KNIGHT TRANSN INC | 499064103 | COM | 100 | $2,000 | thousands by filing date | call |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 500 | $2,000 | thousands by filing date | put |
| METABOLIX INC | 591018809 | COM | 1,500 | $2,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 1,600 | $2,000 | thousands by filing date | call |
| WILSHIRE BANCORP INC | 97186T108 | COM | 235 | $2,000 | thousands by filing date | |
| WILSHIRE BANCORP INC | 97186T108 | COM | 200 | $2,000 | thousands by filing date | call |
| ANGIES LIST INC | 034754101 | COM | 100 | $2,000 | thousands by filing date | call |
| XENOPORT INC | 98411C100 | COM | 400 | $2,000 | thousands by filing date | put |
| ACETO CORP | 004446100 | COM | 100 | $2,000 | thousands by filing date | put |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 1,017 | $2,000 | thousands by filing date | |
| VALUECLICK INC | 92046N102 | COM | 100 | $2,000 | thousands by filing date | put |
| AIXTRON SE | 009606104 | SPONSORED ADR | 100 | $2,000 | thousands by filing date | call |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 100 | $2,000 | thousands by filing date | call |
| STEINER LEISURE LTD | P8744Y102 | ORD | 39 | $2,000 | thousands by filing date | |
| GENTIVA HEALTH SERVICES | 37247A102 | COM | 167 | $2,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 58 | $2,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268100 | COM | 300 | $2,000 | thousands by filing date | call |
| GLOBECOMM SYSTEMS INC | 37956X103 | COM | 150 | $2,000 | thousands by filing date | |
| CHEMED CORP NEW 1.875 | 16359RAC7 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| EXAMWORKS GROUP INC COM | 30066A105 | COM | 88 | $2,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 121 | $2,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 100 | $2,000 | thousands by filing date | put |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 200 | $2,000 | thousands by filing date | put |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 58 | $2,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 400 | $2,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652AC3 | DBCV 4.750% 4/1 | 2,000 | $2,000 | thousands by filing date | principal |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 300 | $2,000 | thousands by filing date | put |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 10,110 | $2,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 249 | $2,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 700 | $2,000 | thousands by filing date | put |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 800 | $2,000 | thousands by filing date | call |
| VERSO PAPER CORP | 92531L108 | COM | 2,000 | $2,000 | thousands by filing date | |
| GREENWAY MED TECHNOLOGIES IN | 39679B103 | COM | 100 | $2,000 | thousands by filing date | call |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 700 | $2,000 | thousands by filing date | call |
| HANSEN MEDICAL INC | 411307101 | COM | 1,000 | $2,000 | thousands by filing date | put |
| NAM TAI ELECTRS INC | 629865205 | COM PAR $0.02 | 200 | $2,000 | thousands by filing date | put |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 100 | $2,000 | thousands by filing date | put |
| INERGY MIDSTREAM LP | 45671U106 | U LTD PARTNERS | 100 | $2,000 | thousands by filing date | call |
| ProShares UltraShort Russell 2000 ETF | 74348A202 | Com | 114 | $2,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,806 | $2,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 1,045 | $2,000 | thousands by filing date | |
| LCA-VISION INC | 501803308 | COM | 601 | $2,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 1,300 | $2,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 2,010 | $2,000 | thousands by filing date | |
| ZOOM TECHNOLOGIES INC | 98976E301 | COM | 9,471 | $2,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 42 | $2,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 411 | $2,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 1,000 | $2,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 861 | $2,000 | thousands by filing date | |
| FORTEGRA FINANCIAL CORP | 34954W104 | COM | 260 | $2,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 2,000 | $2,000 | thousands by filing date | call |
| HASTINGS ENTERTAINMENT INC | 418365102 | COM | 606 | $2,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 3,418 | $2,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 600 | $2,000 | thousands by filing date | call |
| REEDS INC COM | 758338107 | Stock | 300 | $2,000 | thousands by filing date | call |
| BLACKROCK HIGH YIELD TR | 09248N102 | SHS | 289 | $2,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 2,000 | $2,000 | thousands by filing date | principal |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 287 | $2,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 1,854 | $2,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 1,523 | $2,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 502 | $2,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 318 | $2,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 1,000 | $2,000 | thousands by filing date | call |
| Trunkbow Intl Holdings | 89818A102 | COM | 1,832 | $2,000 | thousands by filing date | |
| PSB HLDGS INC | 69360W108 | COM | 256 | $2,000 | thousands by filing date | |
| FACTORSHARES 2X: SP500-TBD | 303046106 | COM | 142 | $2,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 310 | $2,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 918 | $2,000 | thousands by filing date | |
| HELIOS HIGH | 42327X204 | COM NEW | 250 | $2,000 | thousands by filing date | |
| TRI-TECH HOLDING | G9103F106 | SHS | 1,058 | $2,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 100 | $2,000 | thousands by filing date | call |
| IBIO INC | 451033104 | COM | 4,754 | $2,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 995 | $2,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 272 | $2,000 | thousands by filing date | |
| MAXCOM TELECOMUNICACIONES SA | 57773A508 | ADR REP PR CTF | 832 | $2,000 | thousands by filing date | |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 29,282 | $2,000 | thousands by filing date | |
| LONCOR RESOURCES INC | 54179W101 | COM | 9,400 | $2,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 100 | $2,000 | thousands by filing date | put |
| New Century Bancorp, Inc. | 64353M100 | Common Stock | 383 | $2,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 59 | $2,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 608 | $2,000 | thousands by filing date | |
| NTS INC NEV COM | 62943b105 | COM | 1,546 | $2,000 | thousands by filing date | |
| STARZ | 85571Q201 | COM | 83 | $2,000 | thousands by filing date | |
| AMERICAN SPECTRUM REALTY INC | 02970Q203 | COM | 1,104 | $2,000 | thousands by filing date | |
| ISHARES TR | 464289594 | CMN | 30 | $2,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q767 | CMN | 100 | $2,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 400 | $2,000 | thousands by filing date | call |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 1,296 | $2,000 | thousands by filing date | |
| TELIK INC | 87959M208 | COM NEW | 1,546 | $2,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255302 | COM PAR $0.0001 | 1,155 | $2,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 181 | $2,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 2,209 | $2,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 658 | $2,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 619 | $2,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 1,824 | $2,000 | thousands by filing date | |
| THT HEAT TRANSFER TECHNOLOGY | 886031103 | COM | 1,520 | $2,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 350 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 61 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 281 | $2,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS-ADR | 98386D208 | COM | 400 | $2,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 200 | $2,000 | thousands by filing date | call |
| PATHFINDER BANCORP INC | 70320A103 | COM | 156 | $2,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 46634X864 | COMMON | 58 | $2,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 1,135 | $2,000 | thousands by filing date | |
| LIQUID HLDGS GROUP INC COM | 53633A101 | COM | 286 | $2,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 200 | $1,000 | thousands by filing date | call |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 116 | $1,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 100 | $1,000 | thousands by filing date | call |
| FABRINET SHS | G3323L100 | Stock | 53 | $1,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 100 | $1,000 | thousands by filing date | call |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 100 | $1,000 | thousands by filing date | call |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 100 | $1,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 100 | $1,000 | thousands by filing date | put |
| TIPTREE INC | 88822Q103 | COM | 100 | $1,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 100 | $1,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 100 | $1,000 | thousands by filing date | put |
| MICROVISION INC DEL | 594960304 | COM NEW | 400 | $1,000 | thousands by filing date | call |
| MITEK SYS INC | 606710200 | COM NEW | 100 | $1,000 | thousands by filing date | put |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 100 | $1,000 | thousands by filing date | put |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 100 | $1,000 | thousands by filing date | put |
| EGAIN CORP | 28225C806 | COM NEW | 59 | $1,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 100 | $1,000 | thousands by filing date | call |
| AXT INC | 00246W103 | COM | 400 | $1,000 | thousands by filing date | call |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 130 | $1,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 100 | $1,000 | thousands by filing date | put |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 122 | $1,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 200 | $1,000 | thousands by filing date | call |
| COMPUGEN LTD | M25722105 | ORD | 100 | $1,000 | thousands by filing date | call |
| DESTINATION XL GROUP INC | 25065K104 | COM | 100 | $1,000 | thousands by filing date | call |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 26 | $1,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 100 | $1,000 | thousands by filing date | put |
| SUNOPTA INC | 8676EP108 | COM | 100 | $1,000 | thousands by filing date | call |
| TRIO TECH INTL | 896712205 | COM NEW | 279 | $1,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 547 | $1,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 56 | $1,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 200 | $1,000 | thousands by filing date | call |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 164 | $1,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 100 | $1,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 538 | $1,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 500 | $1,000 | thousands by filing date | call |
| Community West Bancshares | 204157101 | Common Stock | 121 | $1,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 100 | $1,000 | thousands by filing date | call |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 250 | $1,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 100 | $1,000 | thousands by filing date | call |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 2,029 | $1,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 50 | $1,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| MFRI INC | 552721102 | COMMON STOCK | 107 | $1,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 136 | $1,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 170 | $1,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 1,098 | $1,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 600 | $1,000 | thousands by filing date | call |
| DENNYS CORP | 24869P104 | COM | 200 | $1,000 | thousands by filing date | call |
| LUNA INNOVATIONS INC | 550351100 | COM | 888 | $1,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 1,000 | $1,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 300 | $1,000 | thousands by filing date | put |
| POWER REIT | 73933H101 | COM | 114 | $1,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 100 | $1,000 | thousands by filing date | call |
| Gevo Inc | 374396109 | COMMON | 500 | $1,000 | thousands by filing date | put |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 89 | $1,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 77 | $1,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 74 | $1,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 200 | $1,000 | thousands by filing date | put |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 100 | $1,000 | thousands by filing date | put |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 100 | $1,000 | thousands by filing date | call |
| BON-TON STORES INC | 09776J101 | COM | 50 | $1,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 671 | $1,000 | thousands by filing date | |
| DIGITAL RIV INC | 25388BAB0 | NOTE 1.250% 1/0 | 1,000 | $1,000 | thousands by filing date | principal |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 200 | $1,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 500 | $1,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 300 | $1,000 | thousands by filing date | call |
| IMATION CORP | 45245A107 | COM | 346 | $1,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| PACER INTL INC TENN | 69373H106 | COM | 100 | $1,000 | thousands by filing date | call |
| EXETER RES CORP | 301835104 | COM | 723 | $1,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 76 | $1,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 100 | $1,000 | thousands by filing date | put |
| TOWERSTREAM CORP | 892000100 | COM | 200 | $1,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 400 | $1,000 | thousands by filing date | call |
| RENREN INC | 759892102 | SPONSORED ADR | 400 | $1,000 | thousands by filing date | put |
| VELTI PLC ST HELIER | G93285107 | SHS | 4,000 | $1,000 | thousands by filing date | |
| VELTI PLC ST HELIER | G93285107 | SHS | 3,300 | $1,000 | thousands by filing date | put |
| VELTI PLC ST HELIER | G93285107 | SHS | 2,800 | $1,000 | thousands by filing date | call |
| ARQULE INC | 04269E107 | COM | 300 | $1,000 | thousands by filing date | put |
| MARIN SOFTWARE INC | 56804T106 | COM | 100 | $1,000 | thousands by filing date | call |
| HARVEST CAP CR CORP | 41753F109 | COM | 54 | $1,000 | thousands by filing date | |
| XILINX INC | 983919AD3 | SDCV 3.125% 3/1 | 600 | $1,000 | thousands by filing date | principal |
| DEMAND MEDIA INC | 24802N109 | COM | 200 | $1,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 1,100 | $1,000 | thousands by filing date | put |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 100 | $1,000 | thousands by filing date | call |
| NEW YORK & CO INC | 649295102 | COM | 160 | $1,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 200 | $1,000 | thousands by filing date | call |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 25 | $1,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 100 | $1,000 | thousands by filing date | call |
| RAND CAP CORP | 752185108 | COM | 400 | $1,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| MEDIVATION INC | 58501NAA9 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| Galena Biopharma Inc | 363256108 | COM | 600 | $1,000 | thousands by filing date | call |
| ALON USA ENERGY INC | 020520102 | COM | 100 | $1,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 1,986 | $1,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 2,821 | $1,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 500 | $1,000 | thousands by filing date | put |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 400 | $1,000 | thousands by filing date | put |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 500 | $1,000 | thousands by filing date | call |
| EMERALD OIL INC | 29101U209 | COM NEW | 200 | $1,000 | thousands by filing date | call |
| LUCAS ENERGY INC | 549333201 | COM NEW | 671 | $1,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 1,100 | $1,000 | thousands by filing date | call |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 730 | $1,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 300 | $1,000 | thousands by filing date | call |
| UROPLASTY INC | 917277204 | COM NEW | 416 | $1,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 1,100 | $1,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 500 | $1,000 | thousands by filing date | call |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| RED LION HOTELS CORP | 756764106 | COM | 274 | $1,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 719 | $1,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 500 | $1,000 | thousands by filing date | put |
| ESB FINANCIAL CORP | 26884F102 | COM | 117 | $1,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 389 | $1,000 | thousands by filing date | |
| AMERICAN PACIFIC CORP | 028740108 | COM | 10 | $1,000 | thousands by filing date | |
| DDR CORP | 251591AX1 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| INTEGRATED ELECTRICAL SERVIC | 45811E301 | COM | 263 | $1,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 100 | $1,000 | thousands by filing date | put |
| ALIMERA SCIENCES INC | 016259103 | COM | 300 | $1,000 | thousands by filing date | call |
| T.G.C. INDUSTRIES INC | 872417308 | COM | 193 | $1,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 250 | $1,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 200 | $1,000 | thousands by filing date | put |
| VIDEO DISPLAY CORP | 926555103 | COM | 345 | $1,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 490 | $1,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 400 | $1,000 | thousands by filing date | call |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 999 | $1,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 200 | $1,000 | thousands by filing date | call |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 600 | $1,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIO | 205826AF7 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| HAUPPAUGE DIGITAL INC | 419131107 | COM | 1,515 | $1,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R487 | PSHS ULT 2000 GR | 14 | $1,000 | thousands by filing date | |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 242 | $1,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 1,824 | $1,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 100 | $1,000 | thousands by filing date | put |
| COMSTOCK MNG INC | 205750102 | COM | 558 | $1,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 300 | $1,000 | thousands by filing date | call |
| JANUS CAPITAL GROUP INC | 47102XAG0 | CNV | 1,000 | $1,000 | thousands by filing date | principal |
| TWO HARBORS INVESTMENT CORP | 90187B119 | CMN | 1,830 | $1,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 755 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D753 | EXCH NT LKD 31 | 83 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K825 | MTLS LNG ETN38 | 82 | $1,000 | thousands by filing date | |
| IFM INVTS LTD | 45172L209 | ADS CL A NEW | 800 | $1,000 | thousands by filing date | |
| AMBIENT CORP | 02318N201 | COM | 250 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 900 | $1,000 | thousands by filing date | |
| CAROLINA TR BK LINCOLNTON NC | 144200102 | COM | 292 | $1,000 | thousands by filing date | |
| MATERIAL SCIENCES CORP | 576674105 | COM | 133 | $1,000 | thousands by filing date | |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 999 | $1,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 47 | $1,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 52 | $1,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 1,037 | $1,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 213 | $1,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 1,110 | $1,000 | thousands by filing date | |
| ROBERTS REALTY INVS | 769900101 | COM | 1,169 | $1,000 | thousands by filing date | |
| AETRIUM INC | 00817R103 | COM | 2,529 | $1,000 | thousands by filing date | |
| SEVCON INC | 81783K108 | COM | 293 | $1,000 | thousands by filing date | |
| VSB BANCORP INC N Y | 917927105 | COM | 90 | $1,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 100 | $1,000 | thousands by filing date | call |
| MANDALAY DIGITAL GROUP INC | 562562207 | CMN | 262 | $1,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517QAA8 | CNV | 3,000 | $1,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q833 | VELOSH RUSSSEL | 25 | $1,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794123 | *W EXP 06/30/201 | 2,335 | $1,000 | thousands by filing date | |
| ACORN INTL INC | 004854105 | SPON ADR | 480 | $1,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 192 | $1,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 139 | $1,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 651 | $1,000 | thousands by filing date | |
| DAEGIS INC | 233720101 | COM | 941 | $1,000 | thousands by filing date | |
| CHINA METRO-RURAL HLDGS LTD | G3163G104 | SHS | 1,087 | $1,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 200 | $1,000 | thousands by filing date | call |
| NINETOWNS INTERNET TECH GRP | 654407105 | ADR | 700 | $1,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 81 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q736 | FDMTL EMKLODBT | 36 | $1,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 200 | $1,000 | thousands by filing date | put |
| CHANTICLEER HLDGS INC | 15930P131 | W EXP 06/11/201 | 1,877 | $1,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R109 | SPONSORED ADR | 625 | $1,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 318 | $1,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 54 | $1,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605108 | ORD SHS | 953 | $1,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 250 | $1,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A309 | COM PAR$.00001 | 200 | $1,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | call |
| CAMTEK LTD ORD | M20791105 | Stock | 83 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 227 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 221 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CADIZ INC | 127537207 | COM NEW | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EAGLE BANCORPORATION INC | 268948106 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARTEN TRANSPORT LTD | 573075108 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 145 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRO DEX INC | 74265M205 | COMMON STOCK | 104 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Gilat Satellite Network | M51474118 | COM | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DLH HLDGS CORP | 23335Q100 | COM | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 494 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DATA I O CORP | 237690102 | COM | 121 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 136 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Lee Enterprises Inc | 523768109 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Alvarion Ltd | M0861T118 | Common / Ordinary Stock | 105 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALLON PETE CO DEL | 13123X102 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRIMO WTR CORP | 74165N105 | COM | 158 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RESPONSYS INC | 761248103 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LONE PINE RES INC | 54222A106 | COM | 409 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SERVOTRONICS INC | 817732100 | COM | 56 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAST THERAPEUTICS INC | 576314108 | COM | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMTC CORP | 832682207 | COM NEW | 98 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANAREN INC | 032744104 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 149 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRED S INC CLASS A | 356108100 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLDWATER CREEK INC | 193068202 | COM | 87 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Delcath Systems Inc | 24661p104 | COM | 1,350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METALICO INC | 591176102 | COM | 175 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELADON GROUP INC | 150838100 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IPASS INC | 46261V108 | COM | 77 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AASTROM BIOSCIENCES INC | 00253U305 | COM NEW | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BTU INTERNATIONAL INC | 056032105 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| FRISCH'S RESTAURANTS INC | 358748101 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNACOR INC | 871561106 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SYNERGETICS USA INC | 87160G107 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 41 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUPATHE INC | 67059M100 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HILL INTERNATIONAL INC | 431466101 | COM | 88 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 165 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 83 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SPORT CHALET INC | 849163209 | CL A | 175 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BGS ACQUISITION CORP | G1082J118 | *W EXP 03/21/201 | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORBITAL CORP LTD ADS REPSTG 160 ORD SHRS | 685563504 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESSEX RENT CORP COM | 297187106 | Common | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POKERTEK INC | 730864204 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARMOUR RESIDENTIAL REIT INC | 042315119 | WARRANT | 49,699 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LOOKSMART LTD | 543442503 | COM | 567 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA MARINE | 16943R106 | COM | 955 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 650 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VENAXIS INC | 92262A107 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GEEKNET INC | 36846Q203 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DGSE COMPANIES INC | 23323G106 | COM | 96 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADVISION INC | 111412706 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBALSCAPE INC | 37940G109 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REMARK MEDIA INC | 75954W107 | COM | 74 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASSOCIATED BANC CORP | 045487113 | WTS | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORMEDIX INC | 21900C118 | *W EXP 03/24/201 | 4,257 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 175 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL EMPLOYMENT ENTERPRIS | 369730106 | COM | 2,170 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OXYGEN BIOTHERAPEUTICS INC | 69207P308 | COM PAR $0.0001 | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA PRECISION STEEL INC | 16941J205 | COM NEW | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WSP HOLDINGS LIMITED | 92934F203 | ADR NEW | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TOP SHIPS INC | Y8897Y123 | SHS | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLLABRIUM JAPAN ACQUISITN C | G2266G110 | *W EXP 99/99/999 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 435 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDIA GLOBALIZATION CAP INC | 45408X118 | W EXP 03/06/201 | 2,167 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPTIMUMBANK HOLDINGS INC | 68401P304 | COM PAR $0.01 | 238 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIVEDEAL INC | 538144304 | COM NEW | 73 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METHES ENERGIES INTL LTD | 591517115 | *W EXP 10/12/201 | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN LORAIN CORP | 027297100 | COM | 329 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25459Y538 | BRAZIL BEAR 3X | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46429B648 | TRGT 2045 INDX | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CARDIUM THERAPEUTICS INC | 141916304 | Common equity shares | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LGL GROUP INC WTS EXP 08/06/18 | 50186A116 | NOTE 1.250% 5/1 | 4,280 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740P288 | IPTH SOFTS ETN | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XG TECHNOLOGY INC | 98372A408 | *W EXP 03/26/201 | 130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |