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 |
|---|---|---|---|---|---|---|
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 1,042 | $9,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 967 | $9,000 | thousands by filing date | |
| BLUEPHOENIX SOLUTIONS LTD | M20157117 | SHS NEW | 2,591 | $9,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 1,921 | $9,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 5,000 | $9,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 4,300 | $9,000 | thousands by filing date | call |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 5,000 | $9,000 | thousands by filing date | call |
| BARCLAYS BK PLC | 06740L527 | 30 YR TREAS BULL | 125 | $9,000 | thousands by filing date | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 2,002 | $9,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 800 | $9,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,036 | $9,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 500 | $9,000 | thousands by filing date | call |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 500 | $9,000 | thousands by filing date | call |
| CHINA COML CR INC | 16891K103 | COM | 2,939 | $9,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 1,179 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 562 | $9,000 | thousands by filing date | |
| MOKO SOCIAL MEDIA LTD | 608458204 | Depository Receipt | 1,449 | $9,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 100 | $8,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 99 | $8,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,055 | $8,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 890 | $8,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 500 | $8,000 | thousands by filing date | put |
| INVESCO LTD SHS | G491BT108 | Stock | 200 | $8,000 | thousands by filing date | put |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 500 | $8,000 | thousands by filing date | put |
| LITHIA MTRS INC COM | 536797103 | Stock | 100 | $8,000 | thousands by filing date | call |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 1,100 | $8,000 | thousands by filing date | call |
| GENTEX CORP COM | 371901109 | Stock | 300 | $8,000 | thousands by filing date | call |
| DOVER CORP COM | 260003108 | Stock | 100 | $8,000 | thousands by filing date | put |
| AZZ INC COM | 002474104 | Stock | 200 | $8,000 | thousands by filing date | put |
| WIX COM LTD SHS | M98068105 | Stock | 500 | $8,000 | thousands by filing date | put |
| ROSS STORES INC COM | 778296103 | Stock | 100 | $8,000 | thousands by filing date | call |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 200 | $8,000 | thousands by filing date | call |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 100 | $8,000 | thousands by filing date | call |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 200 | $8,000 | thousands by filing date | call |
| BAR HBR BANKSHARES | 066849100 | COM | 262 | $8,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 419 | $8,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 551 | $8,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 900 | $8,000 | thousands by filing date | call |
| M.D.C. HOLDINGS INC | 552676108 | COM | 300 | $8,000 | thousands by filing date | put |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 300 | $8,000 | thousands by filing date | call |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 200 | $8,000 | thousands by filing date | put |
| VARIAN MED SYS INC | 92220P105 | COM | 100 | $8,000 | thousands by filing date | call |
| HMS HLDGS CORP | 40425J101 | COM | 400 | $8,000 | thousands by filing date | put |
| MERCER INTL INC | 588056101 | COM | 800 | $8,000 | thousands by filing date | call |
| IDT CORP | 448947507 | CL B NEW | 500 | $8,000 | thousands by filing date | call |
| QUINSTREET INC | 74874Q100 | COM | 2,000 | $8,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 724 | $8,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 200 | $8,000 | thousands by filing date | call |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 500 | $8,000 | thousands by filing date | put |
| LANTRONIX INC | 516548203 | COMMON STOCK | 4,397 | $8,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 391 | $8,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 400 | $8,000 | thousands by filing date | put |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 500 | $8,000 | thousands by filing date | call |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 334 | $8,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 500 | $8,000 | thousands by filing date | put |
| INTREPID POTASH INC | 46121Y102 | COM | 500 | $8,000 | thousands by filing date | call |
| SILICOM LTD | M84116108 | ORD | 280 | $8,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 100 | $8,000 | thousands by filing date | call |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 950 | $8,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,500 | $8,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,300 | $8,000 | thousands by filing date | call |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 100 | $8,000 | thousands by filing date | call |
| BALLY TECHNOLOGIES | 05874B107 | COMMON STOCK | 100 | $8,000 | thousands by filing date | call |
| BIOLASE INC | 090911108 | COMMON STOCK | 3,057 | $8,000 | thousands by filing date | |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 12,000 | $8,000 | thousands by filing date | principal |
| ZEP INC | 98944B108 | COMMON STOCK | 560 | $8,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 648 | $8,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 2,324 | $8,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 537 | $8,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 495 | $8,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 1,000 | $8,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 704 | $8,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 416 | $8,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,212 | $8,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 300 | $8,000 | thousands by filing date | call |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 546 | $8,000 | thousands by filing date | |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 400 | $8,000 | thousands by filing date | call |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 400 | $8,000 | thousands by filing date | call |
| UNITED STATIONERS INC | 913004107 | COM | 220 | $8,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 700 | $8,000 | thousands by filing date | call |
| FEI CO | 30241L109 | COM | 100 | $8,000 | thousands by filing date | call |
| REGAL ENTMT GROUP | 758766109 | CL A | 400 | $8,000 | thousands by filing date | call |
| REMY INTL INC | 759663107 | COM | 384 | $8,000 | thousands by filing date | |
| ROCKWOOD HLDGS INC | 774415103 | COM | 100 | $8,000 | thousands by filing date | call |
| SOLARWINDS INC | 83416B109 | COM | 200 | $8,000 | thousands by filing date | call |
| DEPOMED INC | 249908104 | COM | 500 | $8,000 | thousands by filing date | put |
| ZOGENIX INC | 98978L105 | COM | 6,700 | $8,000 | thousands by filing date | call |
| HORSEHEAD HLDG CORP | 440694305 | COM | 500 | $8,000 | thousands by filing date | put |
| ORBITAL SCIENCES CORP | 685564106 | COM | 300 | $8,000 | thousands by filing date | put |
| TANGOE INC/CT | 87582Y108 | COM | 600 | $8,000 | thousands by filing date | call |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 580 | $8,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 700 | $8,000 | thousands by filing date | call |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 200 | $8,000 | thousands by filing date | call |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 200 | $8,000 | thousands by filing date | put |
| TENGASCO INC | 88033R205 | COM NEW | 16,266 | $8,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 7,220 | $8,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 5,907 | $8,000 | thousands by filing date | |
| INTERPHASE CORP | 460593106 | COM | 2,577 | $8,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 5,500 | $8,000 | thousands by filing date | put |
| LRAD CORP | 50213V109 | COM | 3,203 | $8,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 800 | $8,000 | thousands by filing date | put |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 6,179 | $8,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 448 | $8,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 811 | $8,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 2,036 | $8,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 1,057 | $8,000 | thousands by filing date | |
| T.G.C. INDUSTRIES INC | 872417308 | COM | 2,089 | $8,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 500 | $8,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 875 | $8,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,288 | $8,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 2,122 | $8,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 460 | $8,000 | thousands by filing date | |
| ALON BLUE SQUARE ISRAEL LTD | 02051Q106 | SPONSORED ADR | 2,701 | $8,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 843 | $8,000 | thousands by filing date | |
| COUNTRY STYLE COOKING REST ADR | 22238M109 | ADR-EMG MKT | 1,274 | $8,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 555 | $8,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 665 | $8,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 2,375 | $8,000 | thousands by filing date | |
| TIMBERLINE RESOURCES CORP | 887133106 | COM | 100,000 | $8,000 | thousands by filing date | |
| LIONS GATE ENTERTAINMENT 3.625% CB 03/15/2025- REG | 53626YAA6 | Bond | 2,000 | $8,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 345 | $8,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 8,039 | $8,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 4,251 | $8,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 1,369 | $8,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 2,500 | $8,000 | thousands by filing date | put |
| ADVAXIS INC | 007624208 | COM NEW | 2,400 | $8,000 | thousands by filing date | call |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 1,266 | $8,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 199 | $8,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,081 | $8,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 425 | $8,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 500 | $8,000 | thousands by filing date | put |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 311 | $8,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 1,120 | $8,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 603 | $8,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 3,098 | $8,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 1,546 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y231 | SML CP BULL 2X | 200 | $8,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 100 | $7,000 | thousands by filing date | put |
| ISHARES TR | 464287168 | COM | 100 | $7,000 | thousands by filing date | put |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 100 | $7,000 | thousands by filing date | put |
| CANADIANNATLRYCOF | 136375102 | STOK | 100 | $7,000 | thousands by filing date | call |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 200 | $7,000 | thousands by filing date | call |
| EQUIFAX INC COM | 294429105 | Stock | 100 | $7,000 | thousands by filing date | call |
| KORN FERRY COM NEW | 500643200 | Stock | 300 | $7,000 | thousands by filing date | put |
| ZOETIS INC CL A | 98978V103 | Stock | 200 | $7,000 | thousands by filing date | put |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 100 | $7,000 | thousands by filing date | put |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 100 | $7,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 5,600 | $7,000 | thousands by filing date | call |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 300 | $7,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 4,000 | $7,000 | thousands by filing date | call |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 200 | $7,000 | thousands by filing date | put |
| BLOOMIN BRANDS INC | 094235108 | COM | 400 | $7,000 | thousands by filing date | call |
| GENIE ENERGY LTD | 372284208 | CL B | 1,000 | $7,000 | thousands by filing date | call |
| SIERRA BANCORP | 82620P102 | COM | 400 | $7,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 165 | $7,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 500 | $7,000 | thousands by filing date | put |
| HCI GROUP INC | 40416E103 | COM | 200 | $7,000 | thousands by filing date | put |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 200 | $7,000 | thousands by filing date | call |
| RELIANCE INC | 759509102 | COM | 100 | $7,000 | thousands by filing date | call |
| MEXCO ENERGY CORP | 592770101 | COM | 987 | $7,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 732 | $7,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 100 | $7,000 | thousands by filing date | put |
| LSB INDS INC | 502160104 | COM | 200 | $7,000 | thousands by filing date | call |
| IAC INTERACTIVECORP | 44919P508 | COM | 100 | $7,000 | thousands by filing date | put |
| BIOTELEMETRY INC | 090672106 | COM | 1,000 | $7,000 | thousands by filing date | put |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 542 | $7,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 200 | $7,000 | thousands by filing date | call |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 100 | $7,000 | thousands by filing date | put |
| THL CR SR LN FD | 87244R103 | COM | 382 | $7,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 383 | $7,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 17,620 | $7,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 600 | $7,000 | thousands by filing date | call |
| STEALTHGAS INC | Y81669106 | COM | 739 | $7,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 300 | $7,000 | thousands by filing date | put |
| AMERISERV FINL INC | 03074A102 | COM | 2,000 | $7,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 1,828 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 100 | $7,000 | thousands by filing date | call |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 3,463 | $7,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 435 | $7,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 4,616 | $7,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 400 | $7,000 | thousands by filing date | call |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 1,700 | $7,000 | thousands by filing date | put |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 200 | $7,000 | thousands by filing date | put |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,100 | $7,000 | thousands by filing date | call |
| HEALTHCARE RLTY TR | 421946104 | COM | 300 | $7,000 | thousands by filing date | call |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 300 | $7,000 | thousands by filing date | call |
| EBIX INC | 278715206 | COM NEW | 500 | $7,000 | thousands by filing date | call |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 3,201 | $7,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 1,136 | $7,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 200 | $7,000 | thousands by filing date | put |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 1,400 | $7,000 | thousands by filing date | |
| RECEPTOS, INC. | 756207106 | COMMON STOCK | 106 | $7,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 2,333 | $7,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 836 | $7,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 4,900 | $7,000 | thousands by filing date | call |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 500 | $7,000 | thousands by filing date | call |
| RETROPHIN INC | 761299106 | COM | 725 | $7,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 5,204 | $7,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 500 | $7,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 500 | $7,000 | thousands by filing date | put |
| SWIFT ENERGY CO | 870738101 | COM | 700 | $7,000 | thousands by filing date | call |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 1,000 | $7,000 | thousands by filing date | put |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 2,386 | $7,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 500 | $7,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 1,011 | $7,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 600 | $7,000 | thousands by filing date | call |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 200,000 | $7,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CN8 | NOTE 4.250%11/1 | 4,000 | $7,000 | thousands by filing date | principal |
| MAST THERAPEUTICS INC | 576314108 | COM | 13,311 | $7,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 2,023 | $7,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 200 | $7,000 | thousands by filing date | call |
| INTERMOLECULAR INC | 45882D109 | COM | 3,119 | $7,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 1,800 | $7,000 | thousands by filing date | call |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 800 | $7,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 700 | $7,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 247 | $7,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $7,000 | thousands by filing date | principal |
| RENTECH INC COM | 760112102 | COM | 3,820 | $7,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 5,000 | $7,000 | thousands by filing date | principal |
| EXAMWORKS GROUP INC COM | 30066A105 | COM | 200 | $7,000 | thousands by filing date | call |
| PARKERVISION INC | 701354102 | COM | 6,500 | $7,000 | thousands by filing date | call |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 8,000 | $7,000 | thousands by filing date | call |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 918 | $7,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,284 | $7,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 631 | $7,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 464 | $7,000 | thousands by filing date | |
| VIDEO DISPLAY CORP | 926555103 | COM | 2,348 | $7,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 1,085 | $7,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 600 | $7,000 | thousands by filing date | put |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 1,800 | $7,000 | thousands by filing date | put |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 20,000 | $7,000 | thousands by filing date | principal |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 4,948 | $7,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 600 | $7,000 | thousands by filing date | call |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 4,000 | $7,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 1,500 | $7,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD CBOE | 33733E609 | S\&P.* | 284 | $7,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 100 | $7,000 | thousands by filing date | call |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 204 | $7,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 100 | $7,000 | thousands by filing date | put |
| DEUTSCHE BK AG LONDON BRH | 25154K825 | MTLS LNG ETN38 | 371 | $7,000 | thousands by filing date | |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 2,069 | $7,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 294 | $7,000 | thousands by filing date | |
| CHYRONHEGO CORP | 171607104 | COM | 2,261 | $7,000 | thousands by filing date | |
| VIMICRO INTL CORP | 92718N109 | ADR | 700 | $7,000 | thousands by filing date | call |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 400 | $7,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 4,083 | $7,000 | thousands by filing date | |
| FLUOR CORP NEW | 343412AA0 | NOTE 1.5 | 3,000 | $7,000 | thousands by filing date | principal |
| HIGHPOWER INTL INC | 43113X101 | COM | 855 | $7,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 2,200 | $7,000 | thousands by filing date | call |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 1,821 | $7,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 2,005 | $7,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 400 | $7,000 | thousands by filing date | call |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 200 | $7,000 | thousands by filing date | call |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 887 | $7,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 3,330 | $7,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 323 | $7,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 1,299 | $7,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 1,952 | $7,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 1,000 | $7,000 | thousands by filing date | |
| NEPHROGENEX INC | 640667101 | Cmn | 1,466 | $7,000 | thousands by filing date | |
| MYOS CORP | 554051201 | Cmn | 477 | $7,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 1,000 | $7,000 | thousands by filing date | put |
| FX ENERGY INC | 302695309 | 9.25% PFD SER B | 268 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y561 | DLY JR GMNR BEAR | 400 | $7,000 | thousands by filing date | call |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q205 | UNIT 03/17/2014 | 700 | $7,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,184 | $6,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 200 | $6,000 | thousands by filing date | call |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 300 | $6,000 | thousands by filing date | call |
| MASTEC INC COM | 576323109 | Stock | 200 | $6,000 | thousands by filing date | put |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 100 | $6,000 | thousands by filing date | call |
| MERIT MED SYS INC COM | 589889104 | Stock | 500 | $6,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 100 | $6,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 300 | $6,000 | thousands by filing date | put |
| MAIN STR CAP CORP | 56035L104 | COM | 200 | $6,000 | thousands by filing date | put |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 300 | $6,000 | thousands by filing date | put |
| ALBEMARLE CORP | 012653101 | COM | 100 | $6,000 | thousands by filing date | call |
| BALCHEM CORP | 057665200 | COM | 100 | $6,000 | thousands by filing date | call |
| DAKTRONICS INC | 234264109 | COM | 500 | $6,000 | thousands by filing date | call |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 2,000 | $6,000 | thousands by filing date | put |
| TERRENO RLTY CORP | 88146M101 | COM | 315 | $6,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 2,600 | $6,000 | thousands by filing date | call |
| MILLERKNOLL INC | 600544100 | COM | 200 | $6,000 | thousands by filing date | call |
| FOOT LOCKER INC | 344849104 | COM | 100 | $6,000 | thousands by filing date | put |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 200 | $6,000 | thousands by filing date | put |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 1,900 | $6,000 | thousands by filing date | put |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,229 | $6,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 100 | $6,000 | thousands by filing date | put |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 400 | $6,000 | thousands by filing date | call |
| CLUBCORP HLDGS INC | 18948M108 | COM | 300 | $6,000 | thousands by filing date | call |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 500 | $6,000 | thousands by filing date | put |
| SIEBERT FINL CORP | 826176109 | COM | 2,818 | $6,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 700 | $6,000 | thousands by filing date | call |
| CAI INTERNATIONAL INC | 12477X106 | COM | 300 | $6,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 500 | $6,000 | thousands by filing date | put |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 532 | $6,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 1,669 | $6,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 1,500 | $6,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,460 | $6,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 1,660 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 173 | $6,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 905 | $6,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 500 | $6,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 426 | $6,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 600 | $6,000 | thousands by filing date | call |
| AVANTAX INC | 095229100 | COMMON STOCK | 400 | $6,000 | thousands by filing date | call |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 500 | $6,000 | thousands by filing date | call |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 581 | $6,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 300 | $6,000 | thousands by filing date | call |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 810 | $6,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 1,482 | $6,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 126 | $6,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 725 | $6,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,100 | $6,000 | thousands by filing date | call |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 403 | $6,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 200 | $6,000 | thousands by filing date | call |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 400 | $6,000 | thousands by filing date | put |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 549 | $6,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 900 | $6,000 | thousands by filing date | call |
| CHIMERIX INC COM | 16934W106 | Stock | 200 | $6,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 100 | $6,000 | thousands by filing date | call |
| Jason Industries Inc | 471172106 | COMMON STOCK | 593 | $6,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 400 | $6,000 | thousands by filing date | call |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 682 | $6,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 6,209 | $6,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 445 | $6,000 | thousands by filing date | |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 300 | $6,000 | thousands by filing date | put |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 100 | $6,000 | thousands by filing date | put |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 1,976 | $6,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 6,000 | $6,000 | thousands by filing date | principal |
| Seadrill Partners, LLC | Y7545W109 | LTD | 200 | $6,000 | thousands by filing date | put |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 2,000 | $6,000 | thousands by filing date | call |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 5,601 | $6,000 | thousands by filing date | |
| PIKE ELEC CORP | 721283109 | COM | 500 | $6,000 | thousands by filing date | put |
| IMATION CORP | 45245A107 | COM | 2,039 | $6,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 800 | $6,000 | thousands by filing date | call |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 900 | $6,000 | thousands by filing date | call |
| TUMI HLDGS INC | 89969Q104 | COM | 306 | $6,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 100 | $6,000 | thousands by filing date | call |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 2,261 | $6,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 2,857 | $6,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 737 | $6,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 1,531 | $6,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 1,200 | $6,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 463 | $6,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 700 | $6,000 | thousands by filing date | call |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 97 | $6,000 | thousands by filing date | |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 600 | $6,000 | thousands by filing date | call |
| STRAYER ED INC | 863236105 | COM | 100 | $6,000 | thousands by filing date | call |
| SEQUENOM INC COM NEW | 817337405 | COM | 2,100 | $6,000 | thousands by filing date | call |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 20,110 | $6,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 7,420 | $6,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 5,300 | $6,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 3,037 | $6,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 2,300 | $6,000 | thousands by filing date | put |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 8,889 | $6,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 3,100 | $6,000 | thousands by filing date | call |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 3,980 | $6,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 6,350 | $6,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 500 | $6,000 | thousands by filing date | put |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 10,020 | $6,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 8,101 | $6,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 2,620 | $6,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 5,478 | $6,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 600 | $6,000 | thousands by filing date | put |
| ROUNDY'S INC | 779268101 | COM | 2,000 | $6,000 | thousands by filing date | call |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 1,600 | $6,000 | thousands by filing date | call |
| URANIUM RESOURCES INC | 916901606 | COM | 2,082 | $6,000 | thousands by filing date | |
| PDI INC | 69329V100 | COM | 2,359 | $6,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 925 | $6,000 | thousands by filing date | |
| LEARNING TREE INTERNATIONAL | 522015106 | COM | 2,627 | $6,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 7,000 | $6,000 | thousands by filing date | call |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 1,000 | $6,000 | thousands by filing date | put |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 500 | $6,000 | thousands by filing date | call |
| ROYAL BK OF SCOTLAND PLC | 78009P168 | LCAP ALT EXC ETN | 166 | $6,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 506 | $6,000 | thousands by filing date | |
| HEALTH CARE REIT INC CONV 6.50 | 42217K601 | PFD | 100 | $6,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 2,700 | $6,000 | thousands by filing date | call |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 1,202 | $6,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 1,463 | $6,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $6,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 1,382 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 100 | $6,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25459W227 | COM | 254 | $6,000 | thousands by filing date | |
| QKL STORES INC | 74732Y303 | COM PAR $0.001 | 2,023 | $6,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 569 | $6,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 6,185 | $6,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 200 | $6,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 691 | $6,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 941 | $6,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 1,439 | $6,000 | thousands by filing date | |
| COVER-ALL TECHNOLOGIES INC | 222892101 | COM | 4,974 | $6,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255302 | COM PAR $0.0001 | 3,142 | $6,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,470 | $6,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 2,144 | $6,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 291 | $6,000 | thousands by filing date | |
| ALTO PALERMO S A | 02151P107 | SPONSORED ADR | 260 | $6,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 3,909 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 100 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347X484 | ULT KBW REGBNK | 70 | $6,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 2,128 | $6,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 300 | $6,000 | thousands by filing date | call |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 100 | $6,000 | thousands by filing date | call |
| CONTROL4 CORP | 21240D107 | COM | 500 | $6,000 | thousands by filing date | put |
| MOBILEIRON INC | 60739U204 | COM NEW | 500 | $6,000 | thousands by filing date | put |
| MELA SCIENCES INC | 55277R308 | COM NEW | 3,228 | $6,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 632 | $6,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 20,700 | $6,000 | thousands by filing date | call |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 125 | $6,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 2,659 | $6,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 1,066 | $6,000 | thousands by filing date | |
| Nashville Area ETF | 53957P106 | NASHVILLE AREA E | 196 | $6,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 1,606 | $6,000 | thousands by filing date | |
| Escalera Resources Co | 296064108 | Ordinary Shares | 3,179 | $6,000 | thousands by filing date | |
| OPOWER INC | 68375Y109 | COM | 300 | $6,000 | thousands by filing date | call |
| SIGNAL GENETICS INC | 826640104 | Cmn | 1,285 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X228 | MSCI TAWN STRGIC | 100 | $6,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 1,894 | $6,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 100 | $5,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 100 | $5,000 | thousands by filing date | call |
| BADGER METER INC COM | 056525108 | Stock | 100 | $5,000 | thousands by filing date | put |
| BUCKLE INC COM | 118440106 | Stock | 100 | $5,000 | thousands by filing date | put |
| AUTONATION INC COM | 05329W102 | Stock | 100 | $5,000 | thousands by filing date | call |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 100 | $5,000 | thousands by filing date | put |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 300 | $5,000 | thousands by filing date | call |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 100 | $5,000 | thousands by filing date | call |
| BERKLEY W R CORP COM | 084423102 | Stock | 100 | $5,000 | thousands by filing date | call |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 100 | $5,000 | thousands by filing date | put |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 1,000 | $5,000 | thousands by filing date | put |
| EVERCORE INC CLASS A | 29977A105 | Stock | 100 | $5,000 | thousands by filing date | call |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 600 | $5,000 | thousands by filing date | put |
| POWER INTEGRATIONS INC COM | 739276103 | Stock | 100 | $5,000 | thousands by filing date | put |
| COMFORT SYS USA INC COM | 199908104 | Stock | 400 | $5,000 | thousands by filing date | call |
| TRINET GROUP INC COM | 896288107 | Stock | 200 | $5,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 200 | $5,000 | thousands by filing date | put |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 100 | $5,000 | thousands by filing date | call |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 500 | $5,000 | thousands by filing date | put |
| POOL CORP COM | 73278L105 | Stock | 100 | $5,000 | thousands by filing date | put |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 600 | $5,000 | thousands by filing date | call |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 800 | $5,000 | thousands by filing date | call |
| ANGIODYNAMICS INC | 03475V101 | COM | 400 | $5,000 | thousands by filing date | call |
| ABM INDS INC | 000957100 | COM | 200 | $5,000 | thousands by filing date | call |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 300 | $5,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 138 | $5,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 248 | $5,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 1,300 | $5,000 | thousands by filing date | call |
| CHEESECAKE FACTORY INC | 163072101 | COM | 100 | $5,000 | thousands by filing date | put |
| ECHOSTAR CORP | 278768106 | CL A | 100 | $5,000 | thousands by filing date | put |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 143 | $5,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 200 | $5,000 | thousands by filing date | call |
| PINNACLE WEST CAP CORP | 723484101 | COM | 100 | $5,000 | thousands by filing date | call |
| STEELCASE INC-CLASS A | 858155203 | CL A | 300 | $5,000 | thousands by filing date | put |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 100 | $5,000 | thousands by filing date | put |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 345 | $5,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 400 | $5,000 | thousands by filing date | put |
| ABIOMED INC | 003654100 | COM | 200 | $5,000 | thousands by filing date | call |
| CALIX INC | 13100M509 | COM | 500 | $5,000 | thousands by filing date | call |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 100 | $5,000 | thousands by filing date | put |
| TECNOGLASS INC | G87264100 | ORD SHS | 423 | $5,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 315 | $5,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 400 | $5,000 | thousands by filing date | put |
| LIQUIDITY SVCS INC | 53635B107 | COM | 377 | $5,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 237 | $5,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 200 | $5,000 | thousands by filing date | put |
| PRO DEX INC | 74265M205 | COMMON STOCK | 2,385 | $5,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 194 | $5,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 400 | $5,000 | thousands by filing date | call |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 700 | $5,000 | thousands by filing date | call |
| AUDIOCODES LTD | M15342104 | ORD | 1,100 | $5,000 | thousands by filing date | call |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 921 | $5,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 3,058 | $5,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 200 | $5,000 | thousands by filing date | call |
| CARBONITE INC | 141337105 | COM | 500 | $5,000 | thousands by filing date | call |
| TRANSCANADA CORP | 89353D107 | COM | 100 | $5,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 110 | $5,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 337 | $5,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,500 | $5,000 | thousands by filing date | call |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 110 | $5,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,000 | $5,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 487 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 89 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 100 | $5,000 | thousands by filing date | call |
| ADVANTEST CORP. | 00762U200 | Common stock | 385 | $5,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 785 | $5,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 100 | $5,000 | thousands by filing date | put |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 100 | $5,000 | thousands by filing date | call |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 300 | $5,000 | thousands by filing date | put |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 300 | $5,000 | thousands by filing date | call |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 200 | $5,000 | thousands by filing date | put |
| ENERNOC INC | 292764107 | COMMON STOCK | 300 | $5,000 | thousands by filing date | put |
| CYBERONICS | 23251P102 | COMMON STOCK | 100 | $5,000 | thousands by filing date | call |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 446 | $5,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 396 | $5,000 | thousands by filing date | |
| STERIS CORP | 859152100 | COMMON STOCK | 100 | $5,000 | thousands by filing date | call |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 700 | $5,000 | thousands by filing date | put |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | put |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 1,700 | $5,000 | thousands by filing date | |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 200 | $5,000 | thousands by filing date | call |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 500 | $5,000 | thousands by filing date | call |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 200 | $5,000 | thousands by filing date | call |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 400 | $5,000 | thousands by filing date | put |
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 |