13F-HR filed by UBS AG
UBS AG filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-14, with 10,453 holding rows worth $127,753,242,000.
- Accession
- 0000950123-14-008944
- Filer
- CIK 1114446
- Filed
- 2014-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A holdings report, 15,405 entries on the cover page, a total value of $127,753,242,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $127,753,358,000 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 |
|---|---|---|---|---|---|---|
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 2,100 | $5,000 | thousands by filing date | call |
| CYRUSONE INC | 23283R100 | COM | 200 | $5,000 | thousands by filing date | call |
| STEELCASE INC-CLASS A | 858155203 | CL A | 300 | $5,000 | thousands by filing date | put |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 356 | $5,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 507 | $5,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 100 | $5,000 | thousands by filing date | call |
| MATTRESS FIRM HLDG CORP | 57722W106 | COM | 100 | $5,000 | thousands by filing date | put |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 200 | $5,000 | thousands by filing date | put |
| TITAN MACHY INC | 88830R101 | COM | 300 | $5,000 | thousands by filing date | put |
| CHEGG INC | 163092109 | COM | 700 | $5,000 | thousands by filing date | put |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 100 | $5,000 | thousands by filing date | call |
| LIQUIDITY SVCS INC | 53635B107 | COM | 300 | $5,000 | thousands by filing date | call |
| RADNET INC | 750491102 | COM | 700 | $5,000 | thousands by filing date | put |
| 8X8 INC | 282914100 | COMMON STOCK | 600 | $5,000 | thousands by filing date | put |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 500 | $5,000 | thousands by filing date | put |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 156 | $5,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 684 | $5,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 100 | $5,000 | thousands by filing date | call |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 1,300 | $5,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 200 | $5,000 | thousands by filing date | put |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 591 | $5,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 150 | $5,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 200 | $5,000 | thousands by filing date | call |
| NEENAH PAPER INC | 640079109 | COM | 100 | $5,000 | thousands by filing date | call |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 200 | $5,000 | thousands by filing date | put |
| AVALON HLDGS CORP | 05343P109 | CL A | 1,049 | $5,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 371 | $5,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 1,775 | $5,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 776 | $5,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 500 | $5,000 | thousands by filing date | put |
| TCP CAP CORP | 87238Q103 | COM | 300 | $5,000 | thousands by filing date | call |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 300 | $5,000 | thousands by filing date | put |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 300 | $5,000 | thousands by filing date | call |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 500 | $5,000 | thousands by filing date | call |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 300 | $5,000 | thousands by filing date | put |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 200 | $5,000 | thousands by filing date | put |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 166 | $5,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 1,100 | $5,000 | thousands by filing date | put |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 800 | $5,000 | thousands by filing date | put |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 4,100 | $5,000 | thousands by filing date | call |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 300 | $5,000 | thousands by filing date | call |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 200 | $5,000 | thousands by filing date | call |
| NIELSEN HOLDINGS N V | N63218106 | COM | 100 | $5,000 | thousands by filing date | call |
| GREAT PANTHER MINING | 39115V101 | COM | 3,600 | $5,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 400 | $5,000 | thousands by filing date | put |
| GAFISA S A | 362607301 | SPONS ADR | 1,500 | $5,000 | thousands by filing date | put |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 200 | $5,000 | thousands by filing date | call |
| NUANCE COMMUNICATIONS INC | 67020YAB6 | DBCV 2.750% 8/1 | 5,000 | $5,000 | thousands by filing date | principal |
| BANKRATE INC DEL | 06647F102 | COM | 300 | $5,000 | thousands by filing date | call |
| POLYPORE INTL INC | 73179V103 | COM | 100 | $5,000 | thousands by filing date | call |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 4,000 | $5,000 | thousands by filing date | call |
| CAREER EDUCATION CORP | 141665109 | COM | 1,000 | $5,000 | thousands by filing date | call |
| K12 INC | 48273U102 | COM | 200 | $5,000 | thousands by filing date | call |
| ORAGENICS INC | 684023203 | COM NEW | 2,479 | $5,000 | thousands by filing date | |
| PAREXEL INTL CORP | 699462107 | COM | 100 | $5,000 | thousands by filing date | call |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 622 | $5,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 1,600 | $5,000 | thousands by filing date | call |
| MEI PHARMA INC | 55279B202 | COM NEW | 791 | $5,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 1,400 | $5,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 3,100 | $5,000 | thousands by filing date | call |
| SPARTAN MTRS INC | 846819100 | COM | 1,200 | $5,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 1,100 | $5,000 | thousands by filing date | call |
| ACTUATE CORP | 00508B102 | COM | 1,000 | $5,000 | thousands by filing date | call |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 300 | $5,000 | thousands by filing date | call |
| EXELIS INC | 30162A108 | COM | 300 | $5,000 | thousands by filing date | put |
| FINANCIAL ENGINES INC | 317485100 | COM | 100 | $5,000 | thousands by filing date | call |
| GSE SYS INC | 36227k106 | COM | 3,000 | $5,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 200 | $5,000 | thousands by filing date | call |
| HHGREGG INC | 42833L108 | COM | 500 | $5,000 | thousands by filing date | put |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 1,400 | $5,000 | thousands by filing date | put |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 300 | $5,000 | thousands by filing date | call |
| MERGE HEALTHCARE INC | 589499102 | COM | 2,000 | $5,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 3,000 | $5,000 | thousands by filing date | put |
| OI S.A. | 670851104 | SPONSORED ADR | 5,632 | $5,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 1,000 | $5,000 | thousands by filing date | put |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 600 | $5,000 | thousands by filing date | put |
| CYTRX CORP | 232828509 | COM PAR $.001 | 1,194 | $5,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 5,124 | $5,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 2,714 | $5,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 200 | $5,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 400 | $5,000 | thousands by filing date | put |
| PALMETTO BANCSHARES INC | 697062206 | COM | 340 | $5,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 1,626 | $5,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 903 | $5,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 4,053 | $5,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 300 | $5,000 | thousands by filing date | put |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 197 | $5,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 398 | $5,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 500 | $5,000 | thousands by filing date | call |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 2,315 | $5,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 3,300 | $5,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 4,500 | $5,000 | thousands by filing date | call |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 200 | $5,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 2,016 | $5,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 997 | $5,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 2,000 | $5,000 | thousands by filing date | principal |
| RAND LOGISTICS INC | 752182105 | COM | 831 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y439 | DLY TECBEARX NEW | 300 | $5,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 412 | $5,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D472 | CMDT BCH TOT RET | 237 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 321 | $5,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 2,064 | $5,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 508 | $5,000 | thousands by filing date | |
| LE GAGA HLDGS LTD | 521168104 | SPONSORED ADR | 1,448 | $5,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 5,000 | $5,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 331 | $5,000 | thousands by filing date | |
| QC HLDGS INC | 74729T101 | COM | 1,853 | $5,000 | thousands by filing date | |
| FIRST FINL SVC CORP | 32022D108 | COM | 1,258 | $5,000 | thousands by filing date | |
| NEW SOURCE ENERGY PARTNERS L | 64881E109 | CMN | 202 | $5,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 3,609 | $5,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 1,427 | $5,000 | thousands by filing date | |
| COEUR MNG INC | 192108116 | *W EXP 04/16/201 | 6,134 | $5,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 1,610 | $5,000 | thousands by filing date | |
| SIGNATURE BANK-CW18 | 82669G112 | Wt | 55 | $5,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVTS COR | 76131N200 | UNIT 10/23/2014 | 286 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L527 | 30 YR TREAS BULL | 75 | $5,000 | thousands by filing date | |
| GLOBAL TECH ADVANCED INNOVAT | G39320117 | SHS NEW | 784 | $5,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 482 | $5,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639209 | UNIT 12/06/20166 | 600 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X252 | PSHS ULSHRT TELE | 330 | $5,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 72,720 | $5,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 200 | $5,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 889 | $5,000 | thousands by filing date | |
| AMERICAN EAGLE ENERGY | 02554F300 | COM | 834 | $5,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 2,000 | $5,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 257 | $5,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 301 | $5,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 819 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L792 | ETRACS 2XLEV | 191 | $5,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 500 | $5,000 | thousands by filing date | |
| MERGEWORTHRX CORP | 58952R106 | COM | 625 | $5,000 | thousands by filing date | |
| QUARTET MERGER CORP | 747717304 | UNIT 11/01/2015T | 500 | $5,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 100 | $4,000 | thousands by filing date | put |
| BUCKLE INC COM | 118440106 | Stock | 100 | $4,000 | thousands by filing date | put |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 100 | $4,000 | thousands by filing date | call |
| ARCBEST CORP COM | 03937C105 | Stock | 100 | $4,000 | thousands by filing date | call |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 100 | $4,000 | thousands by filing date | put |
| XYLEM INC COM | 98419M100 | Stock | 100 | $4,000 | thousands by filing date | put |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 800 | $4,000 | thousands by filing date | put |
| INSULET CORP COM | 45784P101 | Stock | 100 | $4,000 | thousands by filing date | put |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 400 | $4,000 | thousands by filing date | put |
| AMEREN CORP COM | 023608102 | Stock | 100 | $4,000 | thousands by filing date | call |
| DONALDSON INC COM | 257651109 | Stock | 100 | $4,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 500 | $4,000 | thousands by filing date | call |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 200 | $4,000 | thousands by filing date | call |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 100 | $4,000 | thousands by filing date | put |
| WAFD INC | 938824109 | COM | 200 | $4,000 | thousands by filing date | put |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 100 | $4,000 | thousands by filing date | put |
| PAPA JOHNS INTL INC | 698813102 | COM | 100 | $4,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 500 | $4,000 | thousands by filing date | call |
| KADANT INC | 48282T104 | COM | 100 | $4,000 | thousands by filing date | call |
| SONOCO PRODS CO | 835495102 | COM | 100 | $4,000 | thousands by filing date | put |
| COGNEX CORP | 192422103 | COM | 100 | $4,000 | thousands by filing date | call |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 100 | $4,000 | thousands by filing date | put |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 500 | $4,000 | thousands by filing date | put |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 231 | $4,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 500 | $4,000 | thousands by filing date | call |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 100 | $4,000 | thousands by filing date | put |
| CHEMOCENTRYX INC | 16383L106 | COM | 657 | $4,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 500 | $4,000 | thousands by filing date | put |
| AARONS INC | 002535300 | COM PAR $0.50 | 100 | $4,000 | thousands by filing date | put |
| VIRTUSA CORP | 92827P102 | COM | 100 | $4,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 500 | $4,000 | thousands by filing date | put |
| PGT INNOVATIONS INC | 69336V101 | COM | 500 | $4,000 | thousands by filing date | call |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 200 | $4,000 | thousands by filing date | put |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 200 | $4,000 | thousands by filing date | put |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 100 | $4,000 | thousands by filing date | call |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 216 | $4,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 631 | $4,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 100 | $4,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 300 | $4,000 | thousands by filing date | call |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 395 | $4,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,368 | $4,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 1,600 | $4,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 100 | $4,000 | thousands by filing date | call |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 100 | $4,000 | thousands by filing date | put |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 100 | $4,000 | thousands by filing date | put |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 100 | $4,000 | thousands by filing date | call |
| Radcom Ltd | M81865111 | COM | 756 | $4,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 956 | $4,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 476 | $4,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 200 | $4,000 | thousands by filing date | put |
| CSP INC | 126389105 | CMN | 516 | $4,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 2,700 | $4,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 1,151 | $4,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 345 | $4,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,000 | $4,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 1,500 | $4,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 300 | $4,000 | thousands by filing date | put |
| VECTREN CORP | 92240G101 | COM | 100 | $4,000 | thousands by filing date | call |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 600 | $4,000 | thousands by filing date | call |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 200 | $4,000 | thousands by filing date | put |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 1,500 | $4,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 670 | $4,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 100 | $4,000 | thousands by filing date | put |
| AVANTAX INC | 095229100 | COMMON STOCK | 200 | $4,000 | thousands by filing date | call |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 100 | $4,000 | thousands by filing date | put |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 200 | $4,000 | thousands by filing date | call |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 200 | $4,000 | thousands by filing date | put |
| NETLIST INC | 64118P109 | COM | 2,800 | $4,000 | thousands by filing date | call |
| SPARTANNASH CO | 847215100 | COM | 200 | $4,000 | thousands by filing date | call |
| FONAR CORP | 344437405 | COM NEW | 320 | $4,000 | thousands by filing date | |
| CAREFUSION CORP | 14170T101 | COM | 100 | $4,000 | thousands by filing date | put |
| Bowater Inc | 09066L105 | COMMON STOCKS | 1,300 | $4,000 | thousands by filing date | call |
| CHIMERIX INC COM | 16934W106 | Stock | 200 | $4,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 438 | $4,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 300 | $4,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 3,400 | $4,000 | thousands by filing date | put |
| RETROPHIN INC | 761299106 | COM | 300 | $4,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 394 | $4,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 1,566 | $4,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 453 | $4,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 3,200 | $4,000 | thousands by filing date | call |
| ASGN INC | 682159108 | COM | 100 | $4,000 | thousands by filing date | call |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 500 | $4,000 | thousands by filing date | put |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 500 | $4,000 | thousands by filing date | call |
| MECHEL OAO | 583840103 | SPONSORED ADR | 1,755 | $4,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 200 | $4,000 | thousands by filing date | call |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 1,000 | $4,000 | thousands by filing date | call |
| IMAGE SENSING SYS INC | 45244C104 | COM | 1,218 | $4,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 3,880 | $4,000 | thousands by filing date | |
| CASH AMER INTL INC | 14754D100 | COM | 100 | $4,000 | thousands by filing date | call |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 100 | $4,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 200 | $4,000 | thousands by filing date | call |
| ARQULE INC | 04269E107 | COM | 2,500 | $4,000 | thousands by filing date | call |
| AMYRIS INC | 03236M101 | COM | 1,000 | $4,000 | thousands by filing date | |
| SMARTPROS LTD | 83171G103 | COM | 1,825 | $4,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 148 | $4,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 800 | $4,000 | thousands by filing date | call |
| ACETO CORP | 004446100 | COM | 200 | $4,000 | thousands by filing date | put |
| HEARTLAND PMT SYS INC | 42235N108 | COM | 100 | $4,000 | thousands by filing date | call |
| AIXTRON SE | 009606104 | SPONSORED ADR | 316 | $4,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 100 | $4,000 | thousands by filing date | put |
| NORTH VALLEY BANCORP | 66304M204 | COM NEW | 163 | $4,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 100 | $4,000 | thousands by filing date | call |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 300 | $4,000 | thousands by filing date | call |
| WILLIS GROUP HOLDINGS PLC | G96666105 | COM | 100 | $4,000 | thousands by filing date | call |
| IPC THE HOSPITALIST CO | 44984A105 | COM | 99 | $4,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 1,500 | $4,000 | thousands by filing date | put |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 446 | $4,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 300 | $4,000 | thousands by filing date | put |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 2,032 | $4,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 1,000 | $4,000 | thousands by filing date | put |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 1,459 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 143 | $4,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 2,268 | $4,000 | thousands by filing date | |
| ORBIT INTERNATIONAL CORP | 685559304 | COM | 1,505 | $4,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 2,126 | $4,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 461 | $4,000 | thousands by filing date | |
| KIPS BAY MEDICAL INC | 49726K105 | COM | 9,500 | $4,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 800 | $4,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 100 | $4,000 | thousands by filing date | call |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 100 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 100 | $4,000 | thousands by filing date | call |
| AVALON RARE METALS INC | 053470100 | COM | 8,900 | $4,000 | thousands by filing date | call |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 1,247 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 131 | $4,000 | thousands by filing date | |
| CHINA SUNERGY CO LTD | 16942X302 | SPONSORED ADR NE | 1,364 | $4,000 | thousands by filing date | |
| ZIPREALTY INC | 98974V107 | COM | 1,033 | $4,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 5,932 | $4,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q205 | COM | 3,822 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q841 | VELOCSHS EMKTS | 82 | $4,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 1,500 | $4,000 | thousands by filing date | put |
| Poage Bankshares, Inc. | 730206109 | Common Stock | 281 | $4,000 | thousands by filing date | |
| POWERSHARES DB ITALIAN TREAS | 25154W704 | CMN | 122 | $4,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 2,685 | $4,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 306 | $4,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 915 | $4,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 2,186 | $4,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $4,000 | thousands by filing date | principal |
| HYPERDYNAMICS CORP | 448954206 | COM | 1,300 | $4,000 | thousands by filing date | call |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 1,062 | $4,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 602 | $4,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 1,687 | $4,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H126 | *W EXP 02/08/201 | 255 | $4,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 2,169 | $4,000 | thousands by filing date | |
| VILLAGE BK & TR FINANCIAL CO | 92705T101 | COM | 3,004 | $4,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS-ADR | 98386D208 | COM | 1,264 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 126 | $4,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 2,546 | $4,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 600 | $4,000 | thousands by filing date | call |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 200 | $4,000 | thousands by filing date | call |
| ENZYMOTEC LTD | M4059L101 | SHS | 281 | $4,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 200 | $4,000 | thousands by filing date | put |
| CONTROL4 CORP | 21240D107 | COM | 200 | $4,000 | thousands by filing date | call |
| COVISINT CORP | 22357R103 | COM | 839 | $4,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 582 | $4,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 70 | $4,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 200 | $4,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 100 | $4,000 | thousands by filing date | call |
| NOVA LIFESTYLE INC | 66979P102 | COM | 927 | $4,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 200 | $4,000 | thousands by filing date | call |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 1,000 | $4,000 | thousands by filing date | call |
| TURTLE BEACH CORP COM | 900450107 | Stock | 414 | $4,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 100 | $4,000 | thousands by filing date | put |
| OMNICOM GROUP INC | 681919AM8 | NOTE 7/3 | 3,000 | $4,000 | thousands by filing date | principal |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 114 | $3,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 100 | $3,000 | thousands by filing date | put |
| Progressive Corporation | 743315103 | COM | 100 | $3,000 | thousands by filing date | call |
| TREX CO INC | 89531P105 | COM | 93 | $3,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 100 | $3,000 | thousands by filing date | put |
| INTERPARFUMS INC COM | 458334109 | Stock | 100 | $3,000 | thousands by filing date | call |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 400 | $3,000 | thousands by filing date | put |
| QUALYS INC COM | 74758T303 | Stock | 100 | $3,000 | thousands by filing date | call |
| ZOETIS INC CL A | 98978V103 | Stock | 100 | $3,000 | thousands by filing date | put |
| CMS ENERGY CORP COM | 125896100 | Stock | 100 | $3,000 | thousands by filing date | call |
| MASTEC INC COM | 576323109 | Stock | 100 | $3,000 | thousands by filing date | put |
| INGLES MKTS INC CL A | 457030104 | Stock | 100 | $3,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 100 | $3,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 100 | $3,000 | thousands by filing date | put |
| AEROVIRONMENT INC COM | 008073108 | Stock | 100 | $3,000 | thousands by filing date | call |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 100 | $3,000 | thousands by filing date | call |
| RE MAX HLDGS INC | 75524W108 | CL A | 100 | $3,000 | thousands by filing date | call |
| NEOGENOMICS INC | 64049M209 | COM NEW | 800 | $3,000 | thousands by filing date | call |
| ARBOR REALTY TRUST INC | 038923108 | COM | 500 | $3,000 | thousands by filing date | put |
| DIGI INTL INC | 253798102 | COM | 357 | $3,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 100 | $3,000 | thousands by filing date | put |
| NEWS CORP NEW | 65249B208 | CL B | 200 | $3,000 | thousands by filing date | call |
| ACCENDRA HEALTH INC | 690732102 | COM | 100 | $3,000 | thousands by filing date | call |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 100 | $3,000 | thousands by filing date | put |
| DUCOMMUN INC DEL | 264147109 | COM | 100 | $3,000 | thousands by filing date | call |
| WERNER ENTERPRISES INC | 950755108 | COM | 100 | $3,000 | thousands by filing date | call |
| MAXLINEAR INC | 57776J100 | COM | 342 | $3,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 300 | $3,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 78 | $3,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 100 | $3,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 100 | $3,000 | thousands by filing date | call |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 100 | $3,000 | thousands by filing date | call |
| STAMPS COM INC | 852857200 | COM NEW | 100 | $3,000 | thousands by filing date | call |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 100 | $3,000 | thousands by filing date | call |
| LANDS END INC | 51509F105 | COMMON STOCK | 100 | $3,000 | thousands by filing date | put |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 350 | $3,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 500 | $3,000 | thousands by filing date | put |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| KEY TRONIC CORP | 493144109 | COM | 300 | $3,000 | thousands by filing date | call |
| ALDERON IRON ORE CORP | 01434T100 | COM | 2,806 | $3,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 100 | $3,000 | thousands by filing date | put |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,600 | $3,000 | thousands by filing date | put |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 250 | $3,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 210 | $3,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 1,337 | $3,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 309 | $3,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 300 | $3,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 300 | $3,000 | thousands by filing date | call |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 147 | $3,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 800 | $3,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 362 | $3,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 413 | $3,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 1,551 | $3,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 200 | $3,000 | thousands by filing date | call |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 278 | $3,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 547 | $3,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 100 | $3,000 | thousands by filing date | put |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 100 | $3,000 | thousands by filing date | put |
| TAHOE RES INC | 873868103 | COM | 100 | $3,000 | thousands by filing date | put |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 100 | $3,000 | thousands by filing date | put |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 1,200 | $3,000 | thousands by filing date | call |
| CARDTRONICS INC | 14161H108 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 8,700 | $3,000 | thousands by filing date | call |
| EXPRESS INC | 30219E103 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| LYDALL INC | 550819106 | COMMON STOCK | 100 | $3,000 | thousands by filing date | put |
| BIOLASE INC | 090911108 | COMMON STOCK | 1,412 | $3,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 535 | $3,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 300 | $3,000 | thousands by filing date | put |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 100 | $3,000 | thousands by filing date | call |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 450 | $3,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 400 | $3,000 | thousands by filing date | call |
| ISHARES | 464286830 | EXCHANGE TRADED | 200 | $3,000 | thousands by filing date | call |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 100 | $3,000 | thousands by filing date | put |
| LUNA INNOVATIONS INC | 550351100 | COM | 1,883 | $3,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 287 | $3,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 2,000 | $3,000 | thousands by filing date | call |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 192 | $3,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 100 | $3,000 | thousands by filing date | put |
| FELCOR LODGING TR INC | 31430F101 | COM | 300 | $3,000 | thousands by filing date | call |
| XL GROUP PLC | G98290102 | SHS | 100 | $3,000 | thousands by filing date | put |
| COMPUTER TASK GROUP INC | 205477102 | COM | 176 | $3,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 400 | $3,000 | thousands by filing date | call |
| Alamos Gold, Inc. | 011527108 | COM | 300 | $3,000 | thousands by filing date | put |
| CRAY INC | 225223304 | COM NEW | 100 | $3,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 100 | $3,000 | thousands by filing date | put |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 300 | $3,000 | thousands by filing date | call |
| PHARMATHENE INC | 71714G102 | COM | 2,000 | $3,000 | thousands by filing date | put |
| TCF FINL CORP | 872275102 | COM | 200 | $3,000 | thousands by filing date | call |
| IMPAX LABORATORIES INC | 45256B101 | COM | 100 | $3,000 | thousands by filing date | call |
| INGRAM MICRO INC | 457153104 | CL A | 100 | $3,000 | thousands by filing date | put |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 166 | $3,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 600 | $3,000 | thousands by filing date | put |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 2,900 | $3,000 | thousands by filing date | call |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 1,000 | $3,000 | thousands by filing date | principal |
| FURMANITE CORPORATION | 361086101 | COM | 300 | $3,000 | thousands by filing date | call |
| RICHMONT MINES INC | 76547T106 | COM | 1,898 | $3,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 2,800 | $3,000 | thousands by filing date | call |
| MARKETO INC | 57063L107 | COM | 100 | $3,000 | thousands by filing date | put |
| XOOM CORP | 98419Q101 | COM | 100 | $3,000 | thousands by filing date | put |
| ACTUANT CORP | 00508X203 | CL A NEW | 100 | $3,000 | thousands by filing date | put |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 100 | $3,000 | thousands by filing date | put |
| CONSTANT CONTACT INC | 210313102 | COM | 100 | $3,000 | thousands by filing date | call |
| SUPERVALU INC | 868536103 | COM | 400 | $3,000 | thousands by filing date | put |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 190 | $3,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 200 | $3,000 | thousands by filing date | put |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 100 | $3,000 | thousands by filing date | call |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 2,000 | $3,000 | thousands by filing date | principal |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 3,000 | $3,000 | thousands by filing date | principal |
| LIFELOCK INC COM | 53224V100 | COM | 200 | $3,000 | thousands by filing date | put |
| S&W SEED COMPANY COM | 785135104 | COM | 500 | $3,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 1,878 | $3,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 100 | $3,000 | thousands by filing date | call |
| FBR & CO | 30247C400 | COM NEW | 100 | $3,000 | thousands by filing date | call |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 100 | $3,000 | thousands by filing date | call |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 1,700 | $3,000 | thousands by filing date | put |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 2,100 | $3,000 | thousands by filing date | put |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 200 | $3,000 | thousands by filing date | call |
| MEETME INC | 585141104 | COM | 1,200 | $3,000 | thousands by filing date | put |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 2,055 | $3,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 200 | $3,000 | thousands by filing date | call |
| SHORETEL INC | 825211105 | COM | 500 | $3,000 | thousands by filing date | call |
| TROVAGENE INC | 897238309 | COM | 899 | $3,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 100 | $3,000 | thousands by filing date | call |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 200 | $3,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 1,415 | $3,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 1,400 | $3,000 | thousands by filing date | put |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 3,533 | $3,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 1,884 | $3,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 200 | $3,000 | thousands by filing date | put |
| PLANAR SYSTEMS INC | 726900103 | COM | 1,357 | $3,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 1,100 | $3,000 | thousands by filing date | put |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 1,151 | $3,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 400 | $3,000 | thousands by filing date | put |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 1,121 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 100 | $3,000 | thousands by filing date | call |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 200 | $3,000 | thousands by filing date | put |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 56 | $3,000 | thousands by filing date | |
| PROSHARES TR SHORT QQQ (PSQ) | 74347R602 | ETF | 200 | $3,000 | thousands by filing date | call |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 500 | $3,000 | thousands by filing date | call |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 1,000 | $3,000 | thousands by filing date | principal |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 448 | $3,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 2,597 | $3,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 4,000 | $3,000 | thousands by filing date | principal |
| GYRODYNE CO AMER INC | 403820103 | COM | 499 | $3,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 561 | $3,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 300 | $3,000 | thousands by filing date | call |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 908 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X883 | GLB RL RETURN | 74 | $3,000 | thousands by filing date | |
| ISHARES TR | 46429B259 | FINANCIALS SEC | 58 | $3,000 | thousands by filing date | |
| AMBIENT CORP | 02318N201 | COM | 3,598 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P170 | INV JAP GOV BD | 157 | $3,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 200 | $3,000 | thousands by filing date | put |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 300 | $3,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 3,373 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 88 | $3,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 863 | $3,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 1,000 | $3,000 | thousands by filing date | put |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 7,000 | $3,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 259 | $3,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 222 | $3,000 | thousands by filing date | |
| ADVANCED PHOTONIX INC | 00754E107 | CLA | 5,710 | $3,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 103 | $3,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 400 | $3,000 | thousands by filing date | put |
| TRIUMPH GROUP INC NEW | 896818AB7 | CNV | 3,000 | $3,000 | thousands by filing date | principal |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 2,323 | $3,000 | thousands by filing date | |
| NOVAGOLD RES INC | 66987EAA5 | NOTE 5.500% 5/0 | 3,000 | $3,000 | thousands by filing date | principal |
| CHINA METRO-RURAL HLDGS LTD | G3163G104 | SHS | 3,107 | $3,000 | thousands by filing date | |
| TAOMEE HLDGS LTD | 87600Y106 | SPONSORED ADR | 588 | $3,000 | thousands by filing date | |
| ISHARES TR | 464289107 | S&P TARGET RET | 84 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E838 | GLB X BRZ FINL | 246 | $3,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 703 | $3,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 2,500 | $3,000 | thousands by filing date | call |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 205 | $3,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 137 | $3,000 | thousands by filing date | |
| SKYPEOPLE FRUIT JUICE INC | 83086T208 | COM NEW | 2,408 | $3,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,023 | $3,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 2,002 | $3,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 1,546 | $3,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 1,290 | $3,000 | thousands by filing date | |
| VRINGO INC | 92911N112 | W EXP 06/21/201 | 2,616 | $3,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 100 | $3,000 | thousands by filing date | put |
| ABENGOA YIELD PLC | G00349103 | ORD SHS | 68 | $3,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 300 | $3,000 | thousands by filing date | call |
| NEW HOME CO INC COM | 645370107 | COM | 187 | $3,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 500 | $3,000 | thousands by filing date | put |
| BAY BANCORP INC | 07203T106 | COM | 636 | $3,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 100 | $3,000 | thousands by filing date | put |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 831 | $3,000 | thousands by filing date | |
| LIME ENERGY CO COM | 53261U304 | COM | 1,001 | $3,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G200 | COM | 300 | $3,000 | thousands by filing date | |
| ZALICUS INC | 98887C204 | COM | 2,722 | $3,000 | thousands by filing date | |
| ZALICUS INC | 98887C204 | COM | 2,500 | $3,000 | thousands by filing date | call |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 1,760 | $3,000 | thousands by filing date | |
| FORCEFIELD ENERGY | 34520U103 | COM | 596 | $3,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 125 | $2,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 400 | $2,000 | thousands by filing date | put |
| SANMINA CORP COM | 801056102 | Stock | 100 | $2,000 | thousands by filing date | call |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 100 | $2,000 | thousands by filing date | put |
| ENNIS INC COM | 293389102 | Stock | 100 | $2,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-14-008944 | this filing | 2014-08-14 | acceptance time not in the bulk data set |