13F-HR filed by UBS AG
UBS AG filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-12, with 10,408 holding rows worth $135,582,726,000.
- Accession
- 0000950123-14-011529
- Filer
- CIK 1114446
- Filed
- 2014-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 15,317 entries on the cover page, a total value of $135,582,726,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $135,582,744,000 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 |
|---|---|---|---|---|---|---|
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 63 | $21,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 7,159 | $21,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E108 | COM | 4,985 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y330 | Cmn | 230 | $21,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W225 | US INFLATN ETN | 470 | $21,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 100 | $20,000 | thousands by filing date | call |
| COMERICAINC | 200340107 | COM | 400 | $20,000 | thousands by filing date | call |
| FORMFACTOR INC COM | 346375108 | Stock | 2,850 | $20,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 200 | $20,000 | thousands by filing date | call |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,500 | $20,000 | thousands by filing date | call |
| INTERDIGITAL INC COM | 45867G101 | Stock | 500 | $20,000 | thousands by filing date | put |
| GRAND CANYON ED INC COM | 38526M106 | Stock | 500 | $20,000 | thousands by filing date | call |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 900 | $20,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 456 | $20,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 2,200 | $20,000 | thousands by filing date | put |
| CABOT CORP | 127055101 | COM | 400 | $20,000 | thousands by filing date | call |
| COGNEX CORP | 192422103 | COM | 500 | $20,000 | thousands by filing date | put |
| POST HLDGS INC | 737446104 | COM | 600 | $20,000 | thousands by filing date | call |
| UNILEVER N V | 904784709 | N Y SHS NEW | 500 | $20,000 | thousands by filing date | put |
| STARZ | 85571Q102 | COM SER A | 600 | $20,000 | thousands by filing date | call |
| RADNET INC | 750491102 | COM | 3,000 | $20,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 1,200 | $20,000 | thousands by filing date | put |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 2,232 | $20,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 350 | $20,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,468 | $20,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 3,800 | $20,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 902 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 708 | $20,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 1,100 | $20,000 | thousands by filing date | call |
| HCP INC | 40414L109 | COM | 500 | $20,000 | thousands by filing date | put |
| TRIANGLE CAP CORP | 895848109 | COM | 800 | $20,000 | thousands by filing date | put |
| ENERNOC INC | 292764107 | COMMON STOCK | 1,200 | $20,000 | thousands by filing date | call |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,500 | $20,000 | thousands by filing date | put |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,500 | $20,000 | thousands by filing date | call |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 1,000 | $20,000 | thousands by filing date | put |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 582 | $20,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 800 | $20,000 | thousands by filing date | put |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 600 | $20,000 | thousands by filing date | call |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 2,582 | $20,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 200 | $20,000 | thousands by filing date | call |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 400 | $20,000 | thousands by filing date | put |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 2,900 | $20,000 | thousands by filing date | call |
| TEAM INC | 878155100 | COM | 526 | $20,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 2,100 | $20,000 | thousands by filing date | call |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 12,000 | $20,000 | thousands by filing date | |
| DEMANDWARE INC | 24802Y105 | COM | 400 | $20,000 | thousands by filing date | put |
| GENTIVA HEALTH SERVICES | 37247A102 | COM | 1,219 | $20,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 1,500 | $20,000 | thousands by filing date | put |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 149 | $20,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,867 | $20,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 9,478 | $20,000 | thousands by filing date | |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 1,790 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 726 | $20,000 | thousands by filing date | |
| Jacksonville Bancorp, Inc. (IL) | 46924R106 | Common Stock | 900 | $20,000 | thousands by filing date | |
| FIRST W VA BANCORP INC | 337493100 | COM | 1,075 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 844 | $20,000 | thousands by filing date | |
| Coeur D'Alene | 192108ar9 | CONV BOND | 20,000 | $20,000 | thousands by filing date | principal |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 811 | $20,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 1,122 | $20,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,311 | $20,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 302 | $20,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 2,933 | $20,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 70,120 | $20,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 1,192 | $20,000 | thousands by filing date | |
| SINO MERCURY ACQUISITION COR | 82936K201 | UNIT 08/26/2016 | 1,965 | $20,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 300 | $19,000 | thousands by filing date | call |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 1,000 | $19,000 | thousands by filing date | put |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 200 | $19,000 | thousands by filing date | put |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 400 | $19,000 | thousands by filing date | put |
| INSULET CORP COM | 45784P101 | Stock | 497 | $19,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 700 | $19,000 | thousands by filing date | call |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 546 | $19,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 474 | $19,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,272 | $19,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 2,392 | $19,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 1,079 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 800 | $19,000 | thousands by filing date | put |
| PETMED EXPRESS INC | 716382106 | COM | 1,400 | $19,000 | thousands by filing date | call |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,170 | $19,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 500 | $19,000 | thousands by filing date | call |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 930 | $19,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 800 | $19,000 | thousands by filing date | call |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 600 | $19,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,400 | $19,000 | thousands by filing date | call |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,789 | $19,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 500 | $19,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 200 | $19,000 | thousands by filing date | call |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 222 | $19,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 700 | $19,000 | thousands by filing date | put |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 2,500 | $19,000 | thousands by filing date | call |
| REALD INC | 75604L105 | COMMON STOCK | 2,000 | $19,000 | thousands by filing date | put |
| CARA THERAPEUTICS INC | 140755109 | COM | 2,266 | $19,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 2,275 | $19,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 2,000 | $19,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 8,600 | $19,000 | thousands by filing date | |
| KINDER MORGAN MANAGEMENT LLC | 49455U100 | SHS | 200 | $19,000 | thousands by filing date | call |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 1,500 | $19,000 | thousands by filing date | put |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 35,000 | $19,000 | thousands by filing date | principal |
| FBL FINL GROUP INC | 30239F106 | CL A | 435 | $19,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 21,601 | $19,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 5,600 | $19,000 | thousands by filing date | call |
| REX ENERGY CORPORATION | 761565100 | COM | 1,500 | $19,000 | thousands by filing date | call |
| AMYRIS INC | 03236M101 | COM | 5,066 | $19,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 1,000 | $19,000 | thousands by filing date | call |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 1,500 | $19,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 1,556 | $19,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 760 | $19,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 928 | $19,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 200 | $19,000 | thousands by filing date | put |
| MARKET VECTORS ETF TR | 57060U225 | RETAIL ETF | 300 | $19,000 | thousands by filing date | put |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 8,871 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 585 | $19,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 912 | $19,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 8,438 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74348A624 | PSHS UL1000NEW | 831 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74348A483 | UL RUS1000VA NEW | 567 | $19,000 | thousands by filing date | |
| LIQUID HLDGS GROUP INC COM | 53633A101 | COM | 13,635 | $19,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 700 | $18,000 | thousands by filing date | put |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 200 | $18,000 | thousands by filing date | call |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 300 | $18,000 | thousands by filing date | call |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 1,700 | $18,000 | thousands by filing date | call |
| NEWS CORP NEW CL A | 65249B109 | Stock | 1,100 | $18,000 | thousands by filing date | call |
| MERIT MED SYS INC COM | 589889104 | Stock | 1,500 | $18,000 | thousands by filing date | call |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 1,311 | $18,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 400 | $18,000 | thousands by filing date | put |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 1,300 | $18,000 | thousands by filing date | call |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 1,000 | $18,000 | thousands by filing date | put |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 300 | $18,000 | thousands by filing date | call |
| CTS CORP | 126501105 | COM | 1,150 | $18,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 487 | $18,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 500 | $18,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 493 | $18,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 500 | $18,000 | thousands by filing date | call |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 559 | $18,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 1,000 | $18,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 1,803 | $18,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 600 | $18,000 | thousands by filing date | call |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,366 | $18,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 500 | $18,000 | thousands by filing date | call |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,800 | $18,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,078 | $18,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 200 | $18,000 | thousands by filing date | put |
| DIEBOLD NXDF INC | 253651103 | COM | 500 | $18,000 | thousands by filing date | put |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 29,927 | $18,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 2,000 | $18,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 1,443 | $18,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 1,560 | $18,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,608 | $18,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 2,500 | $18,000 | thousands by filing date | call |
| IGATE CORP | 45169U105 | COM | 500 | $18,000 | thousands by filing date | call |
| POINTS INTL LTD | 730843208 | COM NEW | 1,009 | $18,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 12,000 | $18,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 1,000 | $18,000 | thousands by filing date | put |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 4,000 | $18,000 | thousands by filing date | call |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 10,200 | $18,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 2,900 | $18,000 | thousands by filing date | put |
| ACTUANT CORP | 00508X203 | CL A NEW | 600 | $18,000 | thousands by filing date | put |
| Almaden Minerals Ltd | 020283107 | COM | 13,515 | $18,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 200 | $18,000 | thousands by filing date | put |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 13,400 | $18,000 | thousands by filing date | call |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 1,833 | $18,000 | thousands by filing date | |
| INTERVEST BANCSHARES CORP-A | 460927106 | COM | 1,845 | $18,000 | thousands by filing date | |
| ESB FINANCIAL CORP | 26884F102 | COM | 1,537 | $18,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 5,852 | $18,000 | thousands by filing date | |
| IKANOS COMMUNICATIONS INC | 45173E105 | COM | 50,460 | $18,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 300 | $18,000 | thousands by filing date | put |
| CASCADE BANCORP | 147154207 | COM | 3,534 | $18,000 | thousands by filing date | |
| CUSHING ROYALTY | 23164R104 | COM SH BEN INT | 1,000 | $18,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 690 | $18,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 2,142 | $18,000 | thousands by filing date | |
| AMERICAN CARESOURCE HLDGS IN | 02505A202 | COM | 6,000 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 792 | $18,000 | thousands by filing date | |
| ETRACS CMCI INDUST MTLS TR | 902641752 | ETP | 1,052 | $18,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 2,101 | $18,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,009 | $18,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 531 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X179 | ULT MSCIMEX CAPP | 935 | $18,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $18,000 | thousands by filing date | put |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $18,000 | thousands by filing date | call |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 1,400 | $18,000 | thousands by filing date | call |
| VOXELJET AG | 92912L107 | ADS | 1,300 | $18,000 | thousands by filing date | call |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 1,100 | $18,000 | thousands by filing date | call |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 1,000 | $18,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 2,332 | $18,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 358 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74348A384 | ULSH RUSS2000 VL | 294 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 200 | $17,000 | thousands by filing date | put |
| NNN REIT INC COM | 637417106 | REIT | 500 | $17,000 | thousands by filing date | put |
| LITTELFUSE INC COM | 537008104 | Stock | 200 | $17,000 | thousands by filing date | call |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 600 | $17,000 | thousands by filing date | put |
| KEYCORP COM | 493267108 | Stock | 1,300 | $17,000 | thousands by filing date | call |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 800 | $17,000 | thousands by filing date | call |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 200 | $17,000 | thousands by filing date | put |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 666 | $17,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 500 | $17,000 | thousands by filing date | call |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 900 | $17,000 | thousands by filing date | put |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 1,100 | $17,000 | thousands by filing date | call |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 2,600 | $17,000 | thousands by filing date | call |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 200 | $17,000 | thousands by filing date | put |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 200 | $17,000 | thousands by filing date | call |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 1,123 | $17,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 1,100 | $17,000 | thousands by filing date | call |
| MERCER INTL INC | 588056101 | COM | 1,755 | $17,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 500 | $17,000 | thousands by filing date | call |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 300 | $17,000 | thousands by filing date | put |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 2,400 | $17,000 | thousands by filing date | call |
| UNIVERSAL FST PRODS INC | 913543104 | COM | 400 | $17,000 | thousands by filing date | call |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 844 | $17,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 635 | $17,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,099 | $17,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 1,300 | $17,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 2,239 | $17,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 27,000 | $17,000 | thousands by filing date | principal |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 1,893 | $17,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 200 | $17,000 | thousands by filing date | put |
| United Parcel Service, Inc | 917286106 | COM | 1,000 | $17,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 2,800 | $17,000 | thousands by filing date | call |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 3,300 | $17,000 | thousands by filing date | call |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 868 | $17,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 3,216 | $17,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 4,500 | $17,000 | thousands by filing date | put |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 3,400 | $17,000 | thousands by filing date | call |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 300 | $17,000 | thousands by filing date | put |
| ENOVIS CORP | 194014106 | COMMON STOCK | 300 | $17,000 | thousands by filing date | call |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 4,056 | $17,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 15,274 | $17,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 1,903 | $17,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 1,224 | $17,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 500 | $17,000 | thousands by filing date | call |
| PRIMO WTR CORP | 74165N105 | COM | 3,883 | $17,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 700 | $17,000 | thousands by filing date | put |
| HESKA CORP | 42805E306 | COM | 1,285 | $17,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 1,622 | $17,000 | thousands by filing date | |
| Cynosure, Inc. | 232577205 | COM | 800 | $17,000 | thousands by filing date | put |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 10,000 | $17,000 | thousands by filing date | principal |
| CAMBREX CORP | 132011107 | COM | 900 | $17,000 | thousands by filing date | call |
| CAREER EDUCATION CORP | 141665109 | COM | 3,320 | $17,000 | thousands by filing date | call |
| QUALITY SYS INC | 747582104 | COM | 1,200 | $17,000 | thousands by filing date | call |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 13,000 | $17,000 | thousands by filing date | principal |
| TRIQUINT SEMICONDUCTOR INC | 89674K103 | COM | 900 | $17,000 | thousands by filing date | put |
| FRONTLINE LTD | G3682E127 | COM | 13,590 | $17,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 12,500 | $17,000 | thousands by filing date | call |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 17,552 | $17,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 7,300 | $17,000 | thousands by filing date | call |
| ORBIT INTERNATIONAL CORP | 685559304 | COM | 5,758 | $17,000 | thousands by filing date | |
| PUREFUNDS ISE JUNIOR SILV | 30304R308 | COM | 1,659 | $17,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 2,920 | $17,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 648 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B409 | ULTSH NASD BIOT | 1,386 | $17,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 800 | $17,000 | thousands by filing date | put |
| QC HLDGS INC | 74729T101 | COM | 9,210 | $17,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 286 | $17,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 4,185 | $17,000 | thousands by filing date | |
| VIMICRO INTL CORP | 92718N109 | ADR | 1,700 | $17,000 | thousands by filing date | put |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 16,495 | $17,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 3,321 | $17,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,700 | $17,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 1,200 | $17,000 | thousands by filing date | put |
| AMBER ROAD INC | 02318Y108 | COM | 1,000 | $17,000 | thousands by filing date | call |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 162 | $17,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 840 | $17,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y628 | ATHENA HGH DIV | 717 | $17,000 | thousands by filing date | |
| HENNESSY CAPITAL ACQUIS | 425886207 | COM | 1,599 | $17,000 | thousands by filing date | |
| COSTAR GROUP INC COM | 22160N109 | Stock | 100 | $16,000 | thousands by filing date | put |
| WEIS MKTS INC COM | 948849104 | Stock | 408 | $16,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 400 | $16,000 | thousands by filing date | put |
| FULLER H B CO COM | 359694106 | Stock | 400 | $16,000 | thousands by filing date | put |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 400 | $16,000 | thousands by filing date | call |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 2,450 | $16,000 | thousands by filing date | call |
| TREEHOUSE FOODS INC COM | 89469A104 | Stock | 200 | $16,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 1,800 | $16,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 3,640 | $16,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 300 | $16,000 | thousands by filing date | call |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 500 | $16,000 | thousands by filing date | call |
| HILLTOP HLDGS INC | 432748101 | COM | 800 | $16,000 | thousands by filing date | call |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 1,761 | $16,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 2,310 | $16,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 100 | $16,000 | thousands by filing date | put |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 1,000 | $16,000 | thousands by filing date | put |
| IMMUNOMEDICS INC | 452907108 | COM | 4,200 | $16,000 | thousands by filing date | put |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 2,265 | $16,000 | thousands by filing date | call |
| TORCHMARK CORP | 891027104 | COM | 300 | $16,000 | thousands by filing date | call |
| CUTERA INC | 232109108 | COM | 1,550 | $16,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 265 | $16,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 1,157 | $16,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 1,100 | $16,000 | thousands by filing date | put |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 4,922 | $16,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 500 | $16,000 | thousands by filing date | call |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 350 | $16,000 | thousands by filing date | |
| ISHARES | 46434V548 | EXCHANGE TRADED | 800 | $16,000 | thousands by filing date | call |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 500 | $16,000 | thousands by filing date | call |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 8,863 | $16,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 2,848 | $16,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 5,240 | $16,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 900 | $16,000 | thousands by filing date | call |
| COLONY CAP INC | 19624R106 | CL A | 700 | $16,000 | thousands by filing date | call |
| FLEETMATICS GROUP PLC | G35569105 | COM | 517 | $16,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 200 | $16,000 | thousands by filing date | call |
| HOSPIRA INC | 441060100 | COM | 300 | $16,000 | thousands by filing date | put |
| AFFIMED N V | N01045108 | COM | 2,577 | $16,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 413 | $16,000 | thousands by filing date | |
| CAMBREX CORP | 132011107 | COM | 868 | $16,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 1,982 | $16,000 | thousands by filing date | |
| EXTERRAN HLDGS INC | 30225X103 | COM | 350 | $16,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 1,500 | $16,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 3,583 | $16,000 | thousands by filing date | |
| MEADOWBROOK INS GROUP INC | 58319P108 | COM | 2,741 | $16,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 2,000 | $16,000 | thousands by filing date | put |
| DREW INDS INC | 26168L205 | COM NEW | 392 | $16,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 3,200 | $16,000 | thousands by filing date | call |
| STEINER LEISURE LTD | P8744Y102 | ORD | 432 | $16,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 2,500 | $16,000 | thousands by filing date | call |
| AFFYMETRIX INC | 00826T108 | COM | 2,000 | $16,000 | thousands by filing date | call |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 908 | $16,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,073 | $16,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 545 | $16,000 | thousands by filing date | |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 16,000 | $16,000 | thousands by filing date | principal |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 513 | $16,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,934 | $16,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 1,800 | $16,000 | thousands by filing date | call |
| FIRST CAPITAL BANCORP VA | 319438107 | COM | 3,515 | $16,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 12,640 | $16,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 418 | $16,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 3,882 | $16,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 4,087 | $16,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 3,461 | $16,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 3,244 | $16,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 1,300 | $16,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 1,535 | $16,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 7,635 | $16,000 | thousands by filing date | |
| SEVCON INC | 81783K108 | COM | 1,919 | $16,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 842 | $16,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 4,861 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P866 | FUND | 440 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B102 | PSHS HLTH CARE | 877 | $16,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 1,250 | $16,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 1,080 | $16,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 700 | $16,000 | thousands by filing date | put |
| TOP SHIPS INC | Y8897Y149 | SHS NEW 2014 | 7,810 | $16,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 238 | $15,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 800 | $15,000 | thousands by filing date | put |
| KINROSS GOLD CORP | 496902404 | COM | 4,600 | $15,000 | thousands by filing date | call |
| QUANTA SVCS INC | 74762E102 | COM | 400 | $15,000 | thousands by filing date | call |
| PEGASYSTEMS INC COM | 705573103 | Stock | 800 | $15,000 | thousands by filing date | call |
| SANMINA CORP COM | 801056102 | Stock | 700 | $15,000 | thousands by filing date | put |
| PTC INC COM | 69370C100 | Stock | 400 | $15,000 | thousands by filing date | call |
| NOVA LTD COM | M7516K103 | Stock | 1,414 | $15,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 700 | $15,000 | thousands by filing date | call |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 200 | $15,000 | thousands by filing date | put |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 750 | $15,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 100 | $15,000 | thousands by filing date | call |
| GRIFFON CORP | 398433102 | COM | 1,284 | $15,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 800 | $15,000 | thousands by filing date | call |
| ARTIVION INC | 228903100 | COM | 1,500 | $15,000 | thousands by filing date | put |
| DAKTRONICS INC | 234264109 | COM | 1,200 | $15,000 | thousands by filing date | put |
| PC CONNECTION INC | 69318J100 | COM | 711 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 200 | $15,000 | thousands by filing date | put |
| CATHAY GEN BANCORP | 149150104 | COM | 608 | $15,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 500 | $15,000 | thousands by filing date | put |
| MARINEMAX INC | 567908108 | COM | 900 | $15,000 | thousands by filing date | call |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 700 | $15,000 | thousands by filing date | put |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 952 | $15,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 1,637 | $15,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 2,400 | $15,000 | thousands by filing date | call |
| VIACOM INC | 92553P201 | CL B | 200 | $15,000 | thousands by filing date | put |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 200 | $15,000 | thousands by filing date | put |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 528 | $15,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 742 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 174 | $15,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,305 | $15,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,000 | $15,000 | thousands by filing date | call |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 3,081 | $15,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 200 | $15,000 | thousands by filing date | put |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,918 | $15,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 300 | $15,000 | thousands by filing date | put |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 856 | $15,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 700 | $15,000 | thousands by filing date | call |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,970 | $15,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 100 | $15,000 | thousands by filing date | put |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 100 | $15,000 | thousands by filing date | call |
| AH BELO CORP | 001282102 | COMMON STOCK | 1,459 | $15,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,219 | $15,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,928 | $15,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 100 | $15,000 | thousands by filing date | put |
| CORE LABORATORIES N V | N22717107 | COM | 100 | $15,000 | thousands by filing date | call |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 16,165 | $15,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 1,268 | $15,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 400 | $15,000 | thousands by filing date | put |
| INFOBLOX INC | 45672H104 | COM | 1,000 | $15,000 | thousands by filing date | call |
| JIVE SOFTWARE INC | 47760A108 | COM | 2,600 | $15,000 | thousands by filing date | call |
| HOME INNS & HOTELS MGMT INC | 43713W107 | SPON ADR | 500 | $15,000 | thousands by filing date | call |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 17,000 | $15,000 | thousands by filing date | principal |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 1,000 | $15,000 | thousands by filing date | call |
| ROCKWOOD HLDGS INC | 774415103 | COM | 200 | $15,000 | thousands by filing date | put |
| SIRONA DENTAL SYSTEMS INC | 82966C103 | COM | 200 | $15,000 | thousands by filing date | call |
| APOLLO GROUP INC | 037604105 | CL A | 600 | $15,000 | thousands by filing date | call |
| QUIKSILVER INC | 74838C106 | COM | 8,810 | $15,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 3,407 | $15,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 47,245 | $15,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 12,702 | $15,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 805 | $15,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 11,100 | $15,000 | thousands by filing date | call |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 2,087 | $15,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 602 | $15,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 1,075 | $15,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 6,400 | $15,000 | thousands by filing date | call |
| SPARK NETWORKS INC | 84651P100 | COM | 3,140 | $15,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 15,000 | $15,000 | thousands by filing date | principal |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 2,500 | $15,000 | thousands by filing date | call |
| MINCO GOLD CORPORATION | 60254D108 | COM | 37,891 | $15,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 2,000 | $15,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 697 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W284 | DL RUSSIA BEAR | 1,053 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y645 | DLY RUSSIA BUL | 1,300 | $15,000 | thousands by filing date | call |
| LAPORTE BANCORP INC MD | 516651106 | COM | 1,315 | $15,000 | thousands by filing date | |
| PROSHARES ULTRASHORT RE | 74348A871 | COM | 939 | $15,000 | thousands by filing date | |
| CSR PLC | 12640Y205 | SPONSORED ADR | 300 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y462 | DLY CHINBR3X NEW | 890 | $15,000 | thousands by filing date | |
| ELEMENTS LKD TO S&P CMDTY TR | 4042EP602 | CMN | 2,312 | $15,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 2,994 | $15,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F104 | COM | 8,789 | $15,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M872 | COM | 393 | $15,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 708 | $15,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 2,013 | $15,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 2,300 | $15,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K105 | CL A SHS | 19,457 | $15,000 | thousands by filing date | |
| GLOBAL TECH ADVANCED INNOVAT | G39320117 | SHS NEW | 2,661 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A889 | GERMAN SOV/SUB | 382 | $15,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 811 | $15,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 1,891 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR II | 25490F100 | DLY GLD BULL3X | 492 | $15,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 200 | $14,000 | thousands by filing date | put |
| FORMFACTOR INC COM | 346375108 | Stock | 2,000 | $14,000 | thousands by filing date | call |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 1,800 | $14,000 | thousands by filing date | call |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 400 | $14,000 | thousands by filing date | put |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 200 | $14,000 | thousands by filing date | put |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 300 | $14,000 | thousands by filing date | put |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 100 | $14,000 | thousands by filing date | call |
| RPM INTL INC COM | 749685103 | Stock | 300 | $14,000 | thousands by filing date | call |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 200 | $14,000 | thousands by filing date | call |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 9,641 | $14,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 592 | $14,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 3,900 | $14,000 | thousands by filing date | call |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 750 | $14,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,000 | $14,000 | thousands by filing date | call |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 1,700 | $14,000 | thousands by filing date | call |
| MITEK SYS INC | 606710200 | COM NEW | 5,874 | $14,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 100 | $14,000 | thousands by filing date | put |
| SCANSOURCE INC | 806037107 | COM | 394 | $14,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 2,108 | $14,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,797 | $14,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 300 | $14,000 | thousands by filing date | call |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 1,607 | $14,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 695 | $14,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 482 | $14,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 500 | $14,000 | thousands by filing date | call |
| UNIFI INC | 904677200 | COM NEW | 547 | $14,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,207 | $14,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 800 | $14,000 | thousands by filing date | put |
| CARDTRONICS INC | 14161H108 | COMMON STOCK | 400 | $14,000 | thousands by filing date | put |
| EXAR CORP | 300645108 | COMMON STOCK | 1,600 | $14,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 2,471 | $14,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 1,000 | $14,000 | thousands by filing date | put |
| BARD C R INC | 067383109 | COM | 100 | $14,000 | thousands by filing date | call |
| LORAL SPACE & COM INC | 543881106 | COM | 200 | $14,000 | thousands by filing date | call |
| DIGITALGLOBE INC | 25389M877 | COM | 500 | $14,000 | thousands by filing date | put |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 1,550 | $14,000 | thousands by filing date | |
| KNIGHT TRANSN INC | 499064103 | COM | 500 | $14,000 | thousands by filing date | call |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 4,000 | $14,000 | thousands by filing date | call |
| QLOGIC CORP | 747277101 | COM | 1,500 | $14,000 | thousands by filing date | call |
| MCEWEN MNG INC | 58039P107 | COM | 7,200 | $14,000 | thousands by filing date | call |
| QUANTUM CORP | 747906204 | COM DSSG | 12,097 | $14,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 1,500 | $14,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,819 | $14,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 819 | $14,000 | thousands by filing date | |
| DUPONT FABROS TECHNOLOGY INC | 26613Q106 | COM | 500 | $14,000 | thousands by filing date | call |
| DENDREON CORP | 24823Q107 | COM | 10,000 | $14,000 | thousands by filing date | put |
| AG MTG INVT TR INC | 001228105 | COM | 800 | $14,000 | thousands by filing date | put |
| PC TEL INC | 69325Q105 | COM | 1,865 | $14,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 300 | $14,000 | thousands by filing date | put |
| BROWN SHOE COMPANY INC | 115736100 | COM | 500 | $14,000 | thousands by filing date | put |
| MOSYS INC COM | 619718109 | COM | 5,582 | $14,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 1,500 | $14,000 | thousands by filing date | put |
| LIFELOCK INC COM | 53224V100 | COM | 1,000 | $14,000 | thousands by filing date | put |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 2,500 | $14,000 | thousands by filing date | call |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 1,000 | $14,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 7,200 | $14,000 | thousands by filing date | put |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 4,527 | $14,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 8,292 | $14,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 805 | $14,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 1,000 | $14,000 | thousands by filing date | call |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 800 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 500 | $14,000 | thousands by filing date | call |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 12,068 | $14,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 933 | $14,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 2,225 | $14,000 | thousands by filing date | |
| POSTROCK ENERGY CORP | 737525105 | COM | 12,284 | $14,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,033 | $14,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 8,126 | $14,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U571 | VECTRS POL ETF | 643 | $14,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-14-011529 | this filing | 2014-11-12 | acceptance time not in the bulk data set |