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 |
|---|---|---|---|---|---|---|
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 100 | $2,000 | thousands by filing date | call |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 100 | $2,000 | thousands by filing date | put |
| NBT BANCORP INC COM | 628778102 | Stock | 100 | $2,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 1,000 | $2,000 | thousands by filing date | put |
| TRINET GROUP INC COM | 896288107 | Stock | 100 | $2,000 | thousands by filing date | call |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 119 | $2,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 100 | $2,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 2,000 | $2,000 | thousands by filing date | put |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 200 | $2,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 500 | $2,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 40 | $2,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 100 | $2,000 | thousands by filing date | call |
| 1ST FINL BANCORP | 320209109 | COM | 100 | $2,000 | thousands by filing date | put |
| AH RLTY TR INC | 04208T108 | COM | 184 | $2,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 200 | $2,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 100 | $2,000 | thousands by filing date | call |
| ENERGY RECOVERY INC | 29270J100 | COM | 400 | $2,000 | thousands by filing date | put |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 66 | $2,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 200 | $2,000 | thousands by filing date | call |
| M/I HOMES INC | 55305B101 | COM | 100 | $2,000 | thousands by filing date | put |
| M/I HOMES INC | 55305B101 | COM | 100 | $2,000 | thousands by filing date | call |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 289 | $2,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 500 | $2,000 | thousands by filing date | put |
| DUKE REALTY CORP | 264411505 | COM NEW | 100 | $2,000 | thousands by filing date | call |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 200 | $2,000 | thousands by filing date | call |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 48 | $2,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 600 | $2,000 | thousands by filing date | call |
| LIVEPERSON, INC. | 538146101 | COM | 200 | $2,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 200 | $2,000 | thousands by filing date | call |
| SLR INVESTMENT CORP | 83413U100 | COM | 100 | $2,000 | thousands by filing date | put |
| CALIX INC | 13100M509 | COM | 200 | $2,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 200 | $2,000 | thousands by filing date | call |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 100 | $2,000 | thousands by filing date | put |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 100 | $2,000 | thousands by filing date | call |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 50 | $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 | put |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| LANTRONIX INC | 516548203 | COMMON STOCK | 1,116 | $2,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 149 | $2,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 200 | $2,000 | thousands by filing date | put |
| STEALTHGAS INC | Y81669106 | COM | 200 | $2,000 | thousands by filing date | put |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 300 | $2,000 | thousands by filing date | call |
| SPAR GROUP INC | 784933103 | COM | 1,294 | $2,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 892 | $2,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 200 | $2,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 37 | $2,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 100 | $2,000 | thousands by filing date | call |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 94 | $2,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 411 | $2,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 661 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 59 | $2,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 2,071 | $2,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 300 | $2,000 | thousands by filing date | put |
| CHASE CORP | 16150R104 | COM | 46 | $2,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 100 | $2,000 | thousands by filing date | call |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 300 | $2,000 | thousands by filing date | call |
| KINDRED HEALTHCARE INC | 494580103 | COM | 100 | $2,000 | thousands by filing date | call |
| AEGION CORP | 00770F104 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 500 | $2,000 | thousands by filing date | put |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 159 | $2,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| ZEP INC | 98944B108 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 100 | $2,000 | thousands by filing date | call |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 200 | $2,000 | thousands by filing date | put |
| RECEPTOS, INC. | 756207106 | COMMON STOCK | 46 | $2,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 290 | $2,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 111 | $2,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| DENNYS CORP | 24869P104 | COM | 300 | $2,000 | thousands by filing date | call |
| ZION OIL & GAS INC | 989696109 | COM | 984 | $2,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 100 | $2,000 | thousands by filing date | call |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 300 | $2,000 | thousands by filing date | call |
| VONAGE HLDGS CORP | 92886T201 | COM | 500 | $2,000 | thousands by filing date | call |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 200 | $2,000 | thousands by filing date | put |
| HUDSON CITY BANCORP | 443683107 | COM | 200 | $2,000 | thousands by filing date | call |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 100 | $2,000 | thousands by filing date | call |
| GREAT PANTHER MINING | 39115V101 | COM | 1,500 | $2,000 | thousands by filing date | call |
| SEACHANGE INTL INC | 811699107 | COM | 300 | $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 |
| Cynosure, Inc. | 232577205 | COM | 100 | $2,000 | thousands by filing date | put |
| Cynosure, Inc. | 232577205 | COM | 100 | $2,000 | thousands by filing date | call |
| ALMOST FAMILY INC | 020409108 | COM | 100 | $2,000 | thousands by filing date | call |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 100 | $2,000 | thousands by filing date | call |
| SYNERGY PHARMACEUTICALS DEL | 871639118 | *W EXP 12/06/201 | 1,309 | $2,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 400 | $2,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 1,000 | $2,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 1,536 | $2,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 100 | $2,000 | thousands by filing date | put |
| PICO HLDGS INC | 693366205 | COM NEW | 100 | $2,000 | thousands by filing date | call |
| BANRO CORP | 066800103 | COM | 4,806 | $2,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 125 | $2,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 2,758 | $2,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 500 | $2,000 | thousands by filing date | put |
| MENTOR GRAPHICS CORP | 587200106 | COM | 100 | $2,000 | thousands by filing date | call |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 100 | $2,000 | thousands by filing date | put |
| LUMOS NETWORKS CORP | 550283105 | COM | 150 | $2,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 186 | $2,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 100 | $2,000 | thousands by filing date | call |
| AG MTG INVT TR INC | 001228105 | COM | 100 | $2,000 | thousands by filing date | call |
| INTERMOLECULAR INC | 45882D109 | COM | 1,000 | $2,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 1,000 | $2,000 | thousands by filing date | put |
| PROCERA NETWORKS INC | 74269U203 | COM | 200 | $2,000 | thousands by filing date | call |
| WAUSAU PAPER CORP | 943315101 | COM | 165 | $2,000 | thousands by filing date | |
| MEDIVATION INC | 58501NAA9 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| ROSETTA STONE INC | 777780107 | COM | 200 | $2,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 200 | $2,000 | thousands by filing date | call |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 100 | $2,000 | thousands by filing date | put |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 1,300 | $2,000 | thousands by filing date | call |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,005 | $2,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 1,429 | $2,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 600 | $2,000 | thousands by filing date | call |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 3,212 | $2,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 1,413 | $2,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 285 | $2,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 500 | $2,000 | thousands by filing date | put |
| TAMINCO CORP | 87509U106 | COM | 100 | $2,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 1,000 | $2,000 | thousands by filing date | call |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 500 | $2,000 | thousands by filing date | call |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 206 | $2,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 800 | $2,000 | thousands by filing date | call |
| GSV CAPITAL CORP | 36191J101 | COM | 200 | $2,000 | thousands by filing date | call |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 200 | $2,000 | thousands by filing date | put |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 1,500 | $2,000 | thousands by filing date | put |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 1,005 | $2,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 240 | $2,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 4,252 | $2,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 500 | $2,000 | thousands by filing date | call |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 120 | $2,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 500 | $2,000 | thousands by filing date | put |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 466 | $2,000 | thousands by filing date | |
| Lihua International Inc. | 532352101 | COM | 6,919 | $2,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 500 | $2,000 | thousands by filing date | |
| CHINA SUNERGY CO LTD | 16942X302 | SPONSORED ADR NE | 500 | $2,000 | thousands by filing date | put |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 100 | $2,000 | thousands by filing date | call |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 166 | $2,000 | thousands by filing date | |
| PEOPLES FED BANCSHARES INC | 711037101 | COM | 100 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y462 | DLY CHINBR3X NEW | 100 | $2,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 50 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E317 | GLBLX CEN ASIA | 164 | $2,000 | thousands by filing date | |
| COUNTRY STYLE COOKING REST ADR | 22238M109 | ADR-EMG MKT | 200 | $2,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 5,100 | $2,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 234 | $2,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 500 | $2,000 | thousands by filing date | put |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 2,000 | $2,000 | thousands by filing date | |
| CHYRONHEGO CORP | 171607104 | COM | 1,187 | $2,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 2,099 | $2,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 2,000 | $2,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 1,000 | $2,000 | thousands by filing date | put |
| TOFUTTI BRANDS INC | 88906B105 | COM | 508 | $2,000 | thousands by filing date | |
| BIOFUEL ENERGY CORP | 09064Y307 | COM | 259 | $2,000 | thousands by filing date | |
| ROBERTS REALTY INVS | 769900101 | COM | 2,734 | $2,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 408 | $2,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255302 | COM PAR $0.0001 | 997 | $2,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 418 | $2,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 881 | $2,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 300 | $2,000 | thousands by filing date | put |
| OSSEN INNOVATION CO LTD | 688410109 | SPONSORED ADR | 1,651 | $2,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 260 | $2,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H118 | *W EXP 02/08/201 | 100 | $2,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 315 | $2,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 1,389 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P338 | FUND | 50 | $2,000 | thousands by filing date | |
| CHINA SHENGDA PACKAGING GROU | 16950V107 | COM | 1,857 | $2,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 544 | $2,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 422 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 45 | $2,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 500 | $2,000 | thousands by filing date | call |
| AMBER ROAD INC | 02318Y108 | COM | 102 | $2,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 87 | $2,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 400 | $2,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 3,440 | $2,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 210 | $2,000 | thousands by filing date | |
| ADVISORSHARES GARTMAN GOLD/YEN ETF | 00768Y685 | ETF | 118 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 61 | $2,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 500 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y561 | DLY JR GMNR BEAR | 200 | $2,000 | thousands by filing date | call |
| HENNESSY CAPITAL ACQUIS | 425886207 | COM | 199 | $2,000 | thousands by filing date | |
| LOOKSMART LTD | 543442602 | COM PAR $0.001 | 782 | $2,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461365 | BLUE CHIP ETF | 87 | $2,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 100 | $1,000 | thousands by filing date | call |
| MERCURY SYS INC COM | 589378108 | Stock | 70 | $1,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 100 | $1,000 | thousands by filing date | call |
| BANCORP INC DEL | 05969A105 | COM | 49 | $1,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 100 | $1,000 | thousands by filing date | put |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 63 | $1,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 100 | $1,000 | thousands by filing date | call |
| COTY INC | 222070203 | COM CL A | 37 | $1,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 500 | $1,000 | thousands by filing date | call |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 200 | $1,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 400 | $1,000 | thousands by filing date | put |
| AMERISAFE INC | 03071H100 | COM | 26 | $1,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 400 | $1,000 | thousands by filing date | put |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 44 | $1,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 100 | $1,000 | thousands by filing date | call |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 100 | $1,000 | thousands by filing date | put |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 100 | $1,000 | thousands by filing date | put |
| CHEGG INC | 163092109 | COM | 150 | $1,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 18 | $1,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 100 | $1,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 512 | $1,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 143 | $1,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 39 | $1,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 68 | $1,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 57 | $1,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 100 | $1,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 787 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 41 | $1,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 34 | $1,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 1,000 | $1,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 340 | $1,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 200 | $1,000 | thousands by filing date | put |
| LGL GROUP INC | 50186A108 | COM | 168 | $1,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 200 | $1,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 35 | $1,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 261 | $1,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | put |
| EBIX INC | 278715206 | COM NEW | 100 | $1,000 | thousands by filing date | call |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 2,900 | $1,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 84 | $1,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| TELENAV INC | 879455103 | COMMON STOCK | 160 | $1,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D571 | EXCHANGE TRADED | 27 | $1,000 | thousands by filing date | |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 1,000 | $1,000 | thousands by filing date | put |
| JOURNAL COMMUNICATIONS INC-A | 481130102 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 500 | $1,000 | thousands by filing date | put |
| BOULDER BRANDS INC | 101405108 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 100 | $1,000 | thousands by filing date | put |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| AGENUS INC | 00847G705 | COM NEW | 300 | $1,000 | thousands by filing date | put |
| TRUECAR INC | 89785L107 | COM | 100 | $1,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 200 | $1,000 | thousands by filing date | put |
| PROPHASE LABS INC | 74345W108 | COM | 500 | $1,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 100 | $1,000 | thousands by filing date | call |
| Zagg, Inc. | 98884U108 | COM | 200 | $1,000 | thousands by filing date | call |
| COUNTERPATH CORP | 22228P203 | COM NEW | 645 | $1,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 100 | $1,000 | thousands by filing date | put |
| CIBER INC | 17163B102 | COM | 150 | $1,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 200 | $1,000 | thousands by filing date | call |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| CAREER EDUCATION CORP | 141665109 | COM | 200 | $1,000 | thousands by filing date | put |
| MEI PHARMA INC | 55279B202 | COM NEW | 100 | $1,000 | thousands by filing date | put |
| METABOLIX INC | 591018809 | COM | 1,500 | $1,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 400 | $1,000 | thousands by filing date | put |
| RIGNET INC | 766582100 | COM | 21 | $1,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | put |
| DURECT CORP | 266605104 | COM | 345 | $1,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 100 | $1,000 | thousands by filing date | put |
| MAST THERAPEUTICS INC | 576314108 | COM | 1,300 | $1,000 | thousands by filing date | call |
| WI-LAN INC | 928972108 | COM | 396 | $1,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 276 | $1,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 200 | $1,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 100 | $1,000 | thousands by filing date | put |
| COMVERSE INC | 20585P105 | COM | 31 | $1,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 600 | $1,000 | thousands by filing date | call |
| INVENTURE FOODS INC | 461212102 | COM | 100 | $1,000 | thousands by filing date | put |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 300 | $1,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 200 | $1,000 | thousands by filing date | call |
| BLUE NILE INC | 09578R103 | COM | 36 | $1,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 75 | $1,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 300 | $1,000 | thousands by filing date | put |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 23 | $1,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 100 | $1,000 | thousands by filing date | call |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 200 | $1,000 | thousands by filing date | put |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 100 | $1,000 | thousands by filing date | call |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 100 | $1,000 | thousands by filing date | call |
| CLEVELAND BIOLABS INC | 185860103 | COM | 2,800 | $1,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 1,000 | $1,000 | thousands by filing date | call |
| UQM TECHNOLOGIES INC | 903213106 | COM | 600 | $1,000 | thousands by filing date | call |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 1,000 | $1,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 1,000 | $1,000 | thousands by filing date | put |
| ASCENT SOLAR TECHNOLOGIES | 043635101 | COM | 2,000 | $1,000 | thousands by filing date | call |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 140 | $1,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 500 | $1,000 | thousands by filing date | put |
| AUDIENCE INC | 05070J102 | COM | 100 | $1,000 | thousands by filing date | call |
| SYNACOR INC | 871561106 | COM | 200 | $1,000 | thousands by filing date | call |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 500 | $1,000 | thousands by filing date | put |
| KIOR INC - CL A | 497217109 | CL A | 1,600 | $1,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 42 | $1,000 | thousands by filing date | |
| DDR CORP | 251591AX1 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| PSIVIDA CORP | 74440J101 | COM | 200 | $1,000 | thousands by filing date | call |
| ALIMERA SCIENCES INC | 016259103 | COM | 100 | $1,000 | thousands by filing date | call |
| SYSTEMAX INC | 871851101 | COM | 100 | $1,000 | thousands by filing date | call |
| BALLANTYNE STRONG INC | 058516105 | COM | 250 | $1,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 127 | $1,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 100 | $1,000 | thousands by filing date | put |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 1,000 | $1,000 | thousands by filing date | principal |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 500 | $1,000 | thousands by filing date | call |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 80 | $1,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 200 | $1,000 | thousands by filing date | call |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 100 | $1,000 | thousands by filing date | call |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 400 | $1,000 | thousands by filing date | put |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 2,118 | $1,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 400 | $1,000 | thousands by filing date | call |
| JANUS CAPITAL GROUP INC | 47102XAG0 | CNV | 1,000 | $1,000 | thousands by filing date | principal |
| CHINA GERUI ADVANCED MATERIA | G21101103 | CMN | 1,600 | $1,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 539 | $1,000 | thousands by filing date | |
| CHINA SUNERGY CO LTD | 16942X302 | SPONSORED ADR NE | 200 | $1,000 | thousands by filing date | call |
| GULF RESOURCES INC | 40251W309 | COM | 600 | $1,000 | thousands by filing date | call |
| TEKMIRA PHARMACEUTICALS COR | 87911B209 | COM NEW | 100 | $1,000 | thousands by filing date | call |
| CHINA HOUSING & LAND DEV INC | 16939V103 | COM | 295 | $1,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 100 | $1,000 | thousands by filing date | call |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 200 | $1,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 79 | $1,000 | thousands by filing date | |
| Jacksonville Bancorp, Inc. (IL) | 46924R106 | Common Stock | 27 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 600 | $1,000 | thousands by filing date | put |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 413 | $1,000 | thousands by filing date | |
| QUALSTAR CORP QBAK | 74758R109 | COMMON | 989 | $1,000 | thousands by filing date | |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 1,000 | $1,000 | thousands by filing date | put |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 400 | $1,000 | thousands by filing date | call |
| POSTROCK ENERGY CORP | 737525105 | COM | 894 | $1,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 500 | $1,000 | thousands by filing date | |
| REMARK MEDIA INC | 75954W107 | COM | 74 | $1,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A116 | WTS | 28,280 | $1,000 | thousands by filing date | |
| CORMEDIX INC | 21900C118 | *W EXP 03/24/201 | 2,928 | $1,000 | thousands by filing date | |
| TELIK INC | 87959M208 | COM NEW | 428 | $1,000 | thousands by filing date | |
| GRAVITY CO LTD | 38911N107 | SPONSORED ADR | 726 | $1,000 | thousands by filing date | |
| GENERAL EMPLOYMENT ENTERPRIS | 369730106 | COM | 6,909 | $1,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678202 | COM NEW | 834 | $1,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 618 | $1,000 | thousands by filing date | |
| DAEGIS INC | 233720101 | COM | 1,197 | $1,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 500 | $1,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 78 | $1,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 99 | $1,000 | thousands by filing date | |
| CIS ACQUISITION LTD | G21490118 | *W EXP 99/99/999 | 4,300 | $1,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 1,000 | $1,000 | thousands by filing date | |
| China Yida Holdings Co | 16945D303 | COM PAR $0.0001 | 376 | $1,000 | thousands by filing date | |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 430 | $1,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 300 | $1,000 | thousands by filing date | call |
| WEBSTER FINL CORP CONN | 947890117 | *W EXP 11/21/201 | 50 | $1,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 400 | $1,000 | thousands by filing date | call |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 20 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 6 | $1,000 | thousands by filing date | |
| TIANLI AGRITECH INC | G8883T104 | SHS | 242 | $1,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 800 | $1,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 935 | $1,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760129 | SHS | 959 | $1,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 320 | $1,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 96 | $1,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 157 | $1,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 69 | $1,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 62 | $1,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 10 | $1,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 200 | $1,000 | thousands by filing date | call |
| ONEMAIN HOLDINGS | 85172J101 | COM | 28 | $1,000 | thousands by filing date | |
| SONDE RES CORP COM NPV | 835426206 | Stock | 4,200 | $1,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 107 | $1,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 466 | $1,000 | thousands by filing date | |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 3,100 | $1,000 | thousands by filing date | |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 650 | $1,000 | thousands by filing date | |
| TROVAGENE INC | 897238200 | UNIT 12/31/2017 | 100 | $1,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 101 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W299 | JAPAN INTRT FD | 15 | $1,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q128 | *W EXP 12/01/201 | 1,700 | $1,000 | thousands by filing date | |
| INTERCLOUD SYS INC | 458488111 | *W EXP 08/25/201 | 220 | $1,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y149 | SHS NEW 2014 | 454 | $1,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP II | 14056V105 | COM | 100 | $1,000 | thousands by filing date | |
| ARMCO METALS HLDGS INC | 042182105 | COM ADDED | 4,000 | $1,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC MD | 868526401 | COM NEW ADDED | 786 | $1,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 227 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXTREME NETWORKS INC | 30226D106 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 48 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TWIN DISC INC | 901476101 | COMMON STOCK | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 116 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMERSON RADIO CORP | 291087203 | COM NEW | 267 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| READING INTL INC | 755408200 | CL B | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 201 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWER REIT | 73933H101 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASANKO GOLD INC | 04341Y105 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Gevo Inc | 374396109 | COMMON | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HESKA CORP | 42805E306 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DBX ETF TR | 233051408 | FUND | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CURIS INC | 231269101 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MAST THERAPEUTICS INC | 576314108 | COM | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW YORK & CO INC | 649295102 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| AOL INC | 00184X105 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 1 | $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. |
| HUDSON GLOBAL INC | 443787106 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERSO PAPER CORP | 92531L108 | COM | 200 | $0 | thousands by filing date | callValue 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. |
| PARKERVISION INC | 701354102 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 200 | $0 | thousands by filing date | putValue 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. |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| FIRST BUSEY CORP | 319383105 | COM | 74 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COSI INC | 22122P200 | COM | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| URANIUM RESOURCES INC | 916901606 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 171 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORDION INC | 65563c105 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RLJ ENTMT INC | 74965F104 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRUMBS BAKE SHOP | 228803102 | COM | 3,267 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 239 | $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. |
| MAXCOM TELECOMUNICACIONES SA | 57773A508 | ADR REP PR CTF | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 5,491 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Colonial Financial Services, Inc. | 19566B101 | Common Stock | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 21,633 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RIVER VY BANCORP | 768475105 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 310 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 557 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POINT 360 | 730507100 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPORT CHALET INC | 849163308 | CLB | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADVISION INC | 111412706 | COM | 6 | $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. |
| AMERICAN SPECTRUM REALTY INC | 02970Q203 | COM | 321 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MSB FINANCIAL CORPORATION | 55352P102 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERMILLION INC | 92407M206 | COM NEW | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NET ELEMENT INTL INC | 64111R102 | CMN | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALLEY NATL BANCORP | 919794123 | *W EXP 06/30/201 | 1,692 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRINCIPLED EQUITY MARKET FD | 742959109 | SH BEN INT | 438 | $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. |
| COLLABRIUM JAPAN ACQUISITN C | G2266G110 | *W EXP 99/99/999 | 1,761 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AQUASITION CORP | Y0192H103 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRUMBS BAKE SHOP INC | 228803110 | *W EXP 05/05/201 | 6,288 | $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. |
| Wellesley Bancorp. | 949485106 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRUMBS BAKE SHOP INC | 228803201 | UNIT 05/19/2015W | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 669 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELBIT IMAGING LTD | M37605108 | ORD SHS | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GUANWEI RECYCLING CORP | 400685202 | COM NEW | 187 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METHES ENERGIES INTL LTD | 591517115 | *W EXP 10/12/201 | 1,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METHES ENERGIES INTL LTD | 591517123 | *W EXP 10/12/201 | 2,050 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XG TECHNOLOGY INC | 98372A309 | COM PAR$.00001 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 83 | $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 | 13,601 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLORI ENERGY INC WARRANTS EXPIRES | 379606114 | W EXP 4/19/2017 | 372 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELCATH SYS INC | 24661P401 | Cmn | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CESCA THERAPEUTICS INC | 157131103 | COM | 350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEVY ACQUISITION CORP-CW18 | 52748T112 | W | 113 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BORDERFREE INC | 09970L100 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 2,305 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IRIDIUM COMMUNICATIONS INC | 46269C128 | *W EXP 02/14/201 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AASTROM BIOSCIENCES INC | 00253U404 | COM PAR$ | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |