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 |
|---|---|---|---|---|---|---|
| Delta Apparel Inc | 247368103 | COM | 504 | $5,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 1,500 | $5,000 | thousands by filing date | call |
| RAVEN INDS INC COM | 754212108 | Stock | 200 | $5,000 | thousands by filing date | call |
| Check Point Software Technologies Ltd | 162825103 | COM | 400 | $5,000 | thousands by filing date | call |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 300 | $5,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 7,200 | $5,000 | thousands by filing date | call |
| THERAPEUTICSMD INC | 88338N107 | COM | 1,000 | $5,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 100 | $5,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 200 | $5,000 | thousands by filing date | call |
| RETROPHIN INC | 761299106 | COM | 500 | $5,000 | thousands by filing date | put |
| SP PLUS CORP | 78469C103 | COM | 262 | $5,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 194 | $5,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 100 | $5,000 | thousands by filing date | put |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 100 | $5,000 | thousands by filing date | call |
| TARGACEPT INC | 87611R306 | COM | 1,861 | $5,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 246 | $5,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 1,000 | $5,000 | thousands by filing date | call |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 12,186 | $5,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 1,733 | $5,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 2,000 | $5,000 | thousands by filing date | call |
| EPIZYME INC | 29428V104 | COM | 200 | $5,000 | thousands by filing date | call |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 200 | $5,000 | thousands by filing date | put |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 700 | $5,000 | thousands by filing date | call |
| MEI PHARMA INC | 55279B202 | COM NEW | 836 | $5,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 1,500 | $5,000 | thousands by filing date | call |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 1,000 | $5,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 2,100 | $5,000 | thousands by filing date | call |
| SELECT COMFORT CORP | 81616X103 | COM | 245 | $5,000 | thousands by filing date | |
| GENCORP INC | 368682100 | COM | 300 | $5,000 | thousands by filing date | call |
| GSE SYS INC | 36227k106 | COM | 3,000 | $5,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 8,000 | $5,000 | thousands by filing date | call |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 400 | $5,000 | thousands by filing date | put |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 2,000 | $5,000 | thousands by filing date | call |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 7,100 | $5,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 1,300 | $5,000 | thousands by filing date | call |
| VIVUS INC | 928551100 | COM | 1,300 | $5,000 | thousands by filing date | put |
| IPASS INC | 46261V108 | COM | 3,102 | $5,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 2,153 | $5,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 200 | $5,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 2,000 | $5,000 | thousands by filing date | put |
| WHITING USA TRUST I | 966389108 | TR U | 1,800 | $5,000 | thousands by filing date | put |
| WHITING USA TRUST I | 966389108 | TR U | 1,700 | $5,000 | thousands by filing date | call |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 800 | $5,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 773 | $5,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 1,930 | $5,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 332 | $5,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 16,583 | $5,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 4,586 | $5,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 1,592 | $5,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 4,000 | $5,000 | thousands by filing date | call |
| CREDIT SUISSE NASSAU BRH | 22542D456 | BACK ETN LK IDX | 288 | $5,000 | thousands by filing date | |
| Professional Diversity Network | 74312y103 | COM | 924 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W227 | COM | 200 | $5,000 | thousands by filing date | call |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 500 | $5,000 | thousands by filing date | call |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 111 | $5,000 | thousands by filing date | |
| ISHARES TR | 46429B184 | UTILITIES SECT | 91 | $5,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R802 | CORE BD ETF | 106 | $5,000 | thousands by filing date | |
| QUALSTAR CORP QBAK | 74758R109 | COMMON | 4,307 | $5,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 1,500 | $5,000 | thousands by filing date | call |
| SELECTICA INC | 816288203 | COM | 902 | $5,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 800 | $5,000 | thousands by filing date | call |
| EVER GLORY INTL GRP INC | 299766204 | COM | 874 | $5,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 1,336 | $5,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVTS COR | 76131N119 | WTS | 1,961 | $5,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 3,317 | $5,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 4,502 | $5,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 1,500 | $5,000 | thousands by filing date | put |
| RETAIL OPPORTUNITY INVTS COR | 76131N200 | UNIT 10/23/2014 | 286 | $5,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 950 | $5,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 1,300 | $5,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 140,703 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 190 | $5,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 300 | $5,000 | thousands by filing date | call |
| Pangaea Logistics Solutions Lt | 747717106 | PANGAEA LOGISTIC | 499 | $5,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A309 | COM PAR$.00001 | 2,485 | $5,000 | thousands by filing date | |
| EnerJex Resources Inc | 292758406 | COM | 851 | $5,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,658 | $5,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 500 | $5,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 241 | $5,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 566 | $5,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895309 | COM | 1,262 | $5,000 | thousands by filing date | |
| Ivanhoe Energy Inc | 465790509 | Common Stock | 2,598 | $5,000 | thousands by filing date | |
| MERGEWORTHRX CORP | 58952R106 | COM | 625 | $5,000 | thousands by filing date | |
| QUARTET MERGER CORP | 747717304 | UNIT 11/01/2015T | 500 | $5,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 100 | $4,000 | thousands by filing date | put |
| BOYDGAMINGCORP | 103304101 | STOK | 400 | $4,000 | thousands by filing date | call |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 300 | $4,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 1,800 | $4,000 | thousands by filing date | call |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 500 | $4,000 | thousands by filing date | put |
| ARCBEST CORP COM | 03937C105 | Stock | 100 | $4,000 | thousands by filing date | call |
| INVESCO LTD SHS | G491BT108 | Stock | 100 | $4,000 | thousands by filing date | call |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 200 | $4,000 | thousands by filing date | call |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 100 | $4,000 | thousands by filing date | put |
| REALTY INCOME CORP COM | 756109104 | REIT | 100 | $4,000 | thousands by filing date | put |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 291 | $4,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 500 | $4,000 | thousands by filing date | put |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 200 | $4,000 | thousands by filing date | put |
| DEXCOM INC COM | 252131107 | Stock | 100 | $4,000 | thousands by filing date | put |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 100 | $4,000 | thousands by filing date | put |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 100 | $4,000 | thousands by filing date | call |
| OSHKOSH CORP COM | 688239201 | Stock | 100 | $4,000 | thousands by filing date | call |
| CARNIVAL PLC ADS | 14365C103 | ADR | 100 | $4,000 | thousands by filing date | call |
| SERVICE CORP INTL COM | 817565104 | Stock | 200 | $4,000 | thousands by filing date | call |
| DONALDSON INC COM | 257651109 | Stock | 100 | $4,000 | thousands by filing date | put |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 100 | $4,000 | thousands by filing date | put |
| GEO GROUP INC NEW | 36162J106 | COM | 100 | $4,000 | thousands by filing date | call |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 100 | $4,000 | thousands by filing date | put |
| MYRIAD GENETICS INC | 62855J104 | COM | 100 | $4,000 | thousands by filing date | put |
| ALKERMES PLC | G01767105 | SHS | 100 | $4,000 | thousands by filing date | call |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 200 | $4,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 648 | $4,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 100 | $4,000 | thousands by filing date | call |
| SONOCO PRODS CO | 835495102 | COM | 100 | $4,000 | thousands by filing date | put |
| SONOCO PRODS CO | 835495102 | COM | 100 | $4,000 | thousands by filing date | call |
| ACCURAY INC DEL | 004397105 | COM | 500 | $4,000 | thousands by filing date | call |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 500 | $4,000 | thousands by filing date | put |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 500 | $4,000 | thousands by filing date | put |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 570 | $4,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 500 | $4,000 | thousands by filing date | call |
| DANA INC | 235825205 | COM | 200 | $4,000 | thousands by filing date | put |
| LSB INDS INC | 502160104 | COM | 100 | $4,000 | thousands by filing date | put |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 100 | $4,000 | thousands by filing date | call |
| COVANTA HLDG CORP | 22282E102 | COM | 200 | $4,000 | thousands by filing date | put |
| MERCER INTL INC | 588056101 | COM | 400 | $4,000 | thousands by filing date | put |
| PACWEST BANCORP DEL | 695263103 | COM | 100 | $4,000 | thousands by filing date | call |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 200 | $4,000 | thousands by filing date | put |
| SOTHEBYS | 835898107 | COM | 100 | $4,000 | thousands by filing date | call |
| COSAN LTD | G25343107 | SHS A | 400 | $4,000 | thousands by filing date | call |
| ATRICURE INC | 04963C209 | COM | 250 | $4,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 404 | $4,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 313 | $4,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 1,856 | $4,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 465 | $4,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 300 | $4,000 | thousands by filing date | call |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 418 | $4,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 100 | $4,000 | thousands by filing date | call |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 100 | $4,000 | thousands by filing date | put |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 100 | $4,000 | thousands by filing date | put |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 700 | $4,000 | thousands by filing date | put |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 100 | $4,000 | thousands by filing date | call |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 300 | $4,000 | thousands by filing date | put |
| TRIO TECH INTL | 896712205 | COM NEW | 950 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 141 | $4,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 661 | $4,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 100 | $4,000 | thousands by filing date | call |
| INTERACTIVE INTELLIGENCE GROUP | 45841V109 | COMMON STOCK | 100 | $4,000 | thousands by filing date | put |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 200 | $4,000 | thousands by filing date | put |
| DATALINK CORP | 237934104 | COMMON STOCK | 400 | $4,000 | thousands by filing date | call |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 2,000 | $4,000 | thousands by filing date | call |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 996 | $4,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 400 | $4,000 | thousands by filing date | put |
| ISHARES | 46434V548 | EXCHANGE TRADED | 200 | $4,000 | thousands by filing date | put |
| IXYS CORP | 46600W106 | COMMON STOCK | 400 | $4,000 | thousands by filing date | call |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 500 | $4,000 | thousands by filing date | put |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 700 | $4,000 | thousands by filing date | put |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 259 | $4,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 400 | $4,000 | thousands by filing date | put |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 500 | $4,000 | thousands by filing date | call |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 1,200 | $4,000 | thousands by filing date | put |
| HANGER INC | 41043F208 | COMMON STOCK | 200 | $4,000 | thousands by filing date | put |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 200 | $4,000 | thousands by filing date | put |
| Hugoton Royalty Trust | 444717102 | COM | 500 | $4,000 | thousands by filing date | put |
| SPARTANNASH CO | 847215100 | COM | 200 | $4,000 | thousands by filing date | call |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 1,547 | $4,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 178 | $4,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 500 | $4,000 | thousands by filing date | put |
| BEMIS INC | 081437105 | COM | 100 | $4,000 | thousands by filing date | call |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 433 | $4,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 600 | $4,000 | thousands by filing date | put |
| RPX CORP | 74972G103 | COM | 316 | $4,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 300 | $4,000 | thousands by filing date | put |
| CUMULUS MEDIA INC | 231082108 | CL A | 1,000 | $4,000 | thousands by filing date | call |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 200 | $4,000 | thousands by filing date | call |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 4,000 | $4,000 | thousands by filing date | call |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 300 | $4,000 | thousands by filing date | put |
| IMAGE SENSING SYS INC | 45244C104 | COM | 1,182 | $4,000 | thousands by filing date | |
| BIOTA PHARMACEUTIALS INC | 090694100 | COM | 1,703 | $4,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 10,000 | $4,000 | thousands by filing date | call |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 366 | $4,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 1,000 | $4,000 | thousands by filing date | call |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 500 | $4,000 | thousands by filing date | call |
| CEMPRA INC | 15130J109 | COM | 400 | $4,000 | thousands by filing date | call |
| LAKE SHORE GOLD CORP | 510728108 | COM | 3,690 | $4,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 400 | $4,000 | thousands by filing date | put |
| ARM HLDGS PLC | 042068106 | SPONSORED ADR | 100 | $4,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 2,900 | $4,000 | thousands by filing date | call |
| SOLAZYME INC | 83415T101 | COM | 500 | $4,000 | thousands by filing date | call |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 174 | $4,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 1,000 | $4,000 | thousands by filing date | call |
| XOOM CORP | 98419Q101 | COM | 200 | $4,000 | thousands by filing date | call |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 1,399 | $4,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 800 | $4,000 | thousands by filing date | put |
| STEINER LEISURE LTD | P8744Y102 | ORD | 100 | $4,000 | thousands by filing date | call |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 100 | $4,000 | thousands by filing date | call |
| DICE HOLDINGS INC | 253017107 | COM | 500 | $4,000 | thousands by filing date | call |
| CDI CORP | 125071100 | COM | 296 | $4,000 | thousands by filing date | |
| WILLIS GROUP HOLDINGS PLC | G96666105 | COM | 100 | $4,000 | thousands by filing date | call |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 600 | $4,000 | thousands by filing date | call |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 500 | $4,000 | thousands by filing date | call |
| CLEVELAND BIOLABS INC | 185860103 | COM | 9,821 | $4,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 2,000 | $4,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 1,000 | $4,000 | thousands by filing date | call |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 2,500 | $4,000 | thousands by filing date | call |
| CYTRX CORP | 232828509 | COM PAR $.001 | 1,549 | $4,000 | thousands by filing date | |
| UROPLASTY INC | 917277204 | COM NEW | 1,439 | $4,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 5,218 | $4,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 2,000 | $4,000 | thousands by filing date | call |
| DAWSON GEOPHYSICAL CO | 239359102 | COM | 200 | $4,000 | thousands by filing date | call |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 1,200 | $4,000 | thousands by filing date | call |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 200 | $4,000 | thousands by filing date | call |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 1,630 | $4,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 2,000 | $4,000 | thousands by filing date | put |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 2,141 | $4,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 1,290 | $4,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 400 | $4,000 | thousands by filing date | call |
| COLLABRX INC | 19422J108 | COM | 3,443 | $4,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 3,900 | $4,000 | thousands by filing date | call |
| GULF RESOURCES INC | 40251W309 | COM | 2,500 | $4,000 | thousands by filing date | call |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 1,502 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q825 | VELOSH EMASIA | 102 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H483 | PS CMDT DS ETN | 96 | $4,000 | thousands by filing date | |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 142,564 | $4,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 500 | $4,000 | thousands by filing date | put |
| Polonia Bancorp, Inc. | 73158Q109 | Common Stock | 374 | $4,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 4,407 | $4,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 1,667 | $4,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 5,600 | $4,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $4,000 | thousands by filing date | principal |
| HYPERDYNAMICS CORP | 448954206 | COM | 2,018 | $4,000 | thousands by filing date | |
| ACORN INTL INC | 004854105 | SPON ADR | 1,895 | $4,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 1,788 | $4,000 | thousands by filing date | |
| COEUR MNG INC | 192108116 | *W EXP 04/16/201 | 6,068 | $4,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 268 | $4,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 2,000 | $4,000 | thousands by filing date | |
| TAOMEE HLDGS LTD | 87600Y106 | SPONSORED ADR | 978 | $4,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 1,000 | $4,000 | thousands by filing date | call |
| SYNERGY PHARMACEUTICALS DEL | 871639209 | UNIT 12/06/20166 | 600 | $4,000 | thousands by filing date | |
| TIANYIN PHARMACEUTICAL CO IN | 88630M104 | COM | 5,690 | $4,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 3,264 | $4,000 | thousands by filing date | |
| SINOCOKING COAL & COKE CH IN | 829357102 | COM | 1,000 | $4,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 823 | $4,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 200 | $4,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 100 | $4,000 | thousands by filing date | call |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 73 | $4,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 1,400 | $4,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 175 | $4,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 2,054 | $4,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 301 | $4,000 | thousands by filing date | |
| Coupons Com Inc | 22265J102 | Common Stock | 300 | $4,000 | thousands by filing date | put |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 346 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 75 | $4,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L792 | ETRACS 2XLEV | 134 | $4,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 498 | $4,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 1,431 | $4,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 1,012 | $4,000 | thousands by filing date | |
| TERRAPIN 3 ACQUISITION CORP | 88104P203 | UNIT 06/27/2019 | 350 | $4,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 551 | $4,000 | thousands by filing date | |
| TRIVASCULAR TECHNOLOGIES INC | 89685A102 | COM | 298 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y561 | DLY JR GMNR BEAR | 200 | $4,000 | thousands by filing date | put |
| RUTHIGEN INC | 783330103 | COM | 844 | $4,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U404 | COM PAR$ | 1,373 | $4,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 100 | $3,000 | thousands by filing date | put |
| OTTER TAIL CORP | 689648103 | COM | 100 | $3,000 | thousands by filing date | call |
| TREX CO INC | 89531P105 | COM | 100 | $3,000 | thousands by filing date | call |
| WENDYS CO COM | 95058W100 | Stock | 400 | $3,000 | thousands by filing date | put |
| SKYWEST INC COM | 830879102 | Stock | 400 | $3,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 500 | $3,000 | thousands by filing date | call |
| ONE GAS INC COM | 68235P108 | Stock | 100 | $3,000 | thousands by filing date | call |
| TRINET GROUP INC COM | 896288107 | Stock | 100 | $3,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 500 | $3,000 | thousands by filing date | call |
| TELUS CORPORATION COM | 87971M103 | Stock | 100 | $3,000 | thousands by filing date | call |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,133 | $3,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 3,200 | $3,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 100 | $3,000 | thousands by filing date | put |
| TUTOR PERINI CORP | 901109108 | COM | 100 | $3,000 | thousands by filing date | put |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 2,164 | $3,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 500 | $3,000 | thousands by filing date | put |
| OCEANFIRST FINL CORP | 675234108 | COM | 200 | $3,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 100 | $3,000 | thousands by filing date | call |
| ACCENDRA HEALTH INC | 690732102 | COM | 100 | $3,000 | thousands by filing date | call |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 300 | $3,000 | thousands by filing date | put |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 100 | $3,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 100 | $3,000 | thousands by filing date | call |
| POPULAR INC | 733174700 | COM NEW | 100 | $3,000 | thousands by filing date | call |
| ISHARES INC | 464286509 | MSCI CDA ETF | 100 | $3,000 | thousands by filing date | put |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 2,000 | $3,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 275 | $3,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 200 | $3,000 | thousands by filing date | call |
| STAMPS COM INC | 852857200 | COM NEW | 100 | $3,000 | thousands by filing date | put |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 804 | $3,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 200 | $3,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 274 | $3,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 100 | $3,000 | thousands by filing date | put |
| INTERXION HOLDING N.V | N47279109 | SHS | 100 | $3,000 | thousands by filing date | call |
| RADNET INC | 750491102 | COM | 500 | $3,000 | thousands by filing date | put |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 115 | $3,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,840 | $3,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| COMPUGEN LTD | M25722105 | ORD | 400 | $3,000 | thousands by filing date | call |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 100 | $3,000 | thousands by filing date | call |
| READING INTL INC | 755408101 | CL A | 304 | $3,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 2,116 | $3,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 130 | $3,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 210 | $3,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 581 | $3,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 288 | $3,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 200 | $3,000 | thousands by filing date | put |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 100 | $3,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 800 | $3,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 219 | $3,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 100 | $3,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 100 | $3,000 | thousands by filing date | put |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 1,850 | $3,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 1,700 | $3,000 | thousands by filing date | call |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 29,273 | $3,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 100 | $3,000 | thousands by filing date | put |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 500 | $3,000 | thousands by filing date | call |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 400 | $3,000 | thousands by filing date | call |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 200 | $3,000 | thousands by filing date | put |
| PROSHARES | 74347R826 | MUTUAL FUNDS EQ | 200 | $3,000 | thousands by filing date | call |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 5,000 | $3,000 | thousands by filing date | call |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 97 | $3,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| MERITOR INC | 59001K100 | COMMON STOCK | 300 | $3,000 | thousands by filing date | call |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 600 | $3,000 | thousands by filing date | call |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 103 | $3,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 100 | $3,000 | thousands by filing date | call |
| FLOTEK INDS INC DEL | 343389102 | COM | 100 | $3,000 | thousands by filing date | put |
| DELIAS INC XXX REGISTRATION REVOKED BY THE SEC EFF: 04/17/19 | 246911101 | Stock | 10,000 | $3,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 200 | $3,000 | thousands by filing date | call |
| INUVO INC | 46122W204 | COM NEW | 2,157 | $3,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 329 | $3,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 3,400 | $3,000 | thousands by filing date | put |
| APPLOVIN CORP CLASS A | 023850100 | COM | 3,800 | $3,000 | thousands by filing date | call |
| FOX CORP CLASS B | 90130A200 | COM | 100 | $3,000 | thousands by filing date | put |
| DENBURY RES INC | 247916208 | COM NEW | 200 | $3,000 | thousands by filing date | call |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 300 | $3,000 | thousands by filing date | call |
| FELCOR LODGING TR INC | 31430F101 | COM | 300 | $3,000 | thousands by filing date | call |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 100 | $3,000 | thousands by filing date | call |
| Northeast Community Bancorp Inc | 664112109 | COM | 409 | $3,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 100 | $3,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 666 | $3,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 1,000 | $3,000 | thousands by filing date | call |
| BON-TON STORES INC | 09776J101 | COM | 400 | $3,000 | thousands by filing date | put |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 2,342 | $3,000 | thousands by filing date | |
| INFORMATICA CORP | 45666Q102 | COM | 100 | $3,000 | thousands by filing date | call |
| EMULEX CORP | 292475209 | COM NEW | 600 | $3,000 | thousands by filing date | put |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 1,300 | $3,000 | thousands by filing date | put |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 1,300 | $3,000 | thousands by filing date | call |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 2,190 | $3,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 723 | $3,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 100 | $3,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 100 | $3,000 | thousands by filing date | call |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 400 | $3,000 | thousands by filing date | call |
| VICAL INC | 925602104 | COM | 2,800 | $3,000 | thousands by filing date | call |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 400 | $3,000 | thousands by filing date | call |
| DURECT CORP | 266605104 | COM | 1,800 | $3,000 | thousands by filing date | call |
| MARKETO INC | 57063L107 | COM | 100 | $3,000 | thousands by filing date | put |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 700 | $3,000 | thousands by filing date | call |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 500 | $3,000 | thousands by filing date | call |
| DENDREON CORP | 24823Q107 | COM | 2,400 | $3,000 | thousands by filing date | call |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 1,733 | $3,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 100 | $3,000 | thousands by filing date | put |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 1,500 | $3,000 | thousands by filing date | call |
| HARBINGER GROUP INC | 41146A106 | COM | 200 | $3,000 | thousands by filing date | call |
| BLUE NILE INC | 09578R103 | COM | 100 | $3,000 | thousands by filing date | put |
| BRISTOW GROUP INC | 110394103 | COM | 51 | $3,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 400 | $3,000 | thousands by filing date | call |
| Female Health Company | 314462102 | COM | 800 | $3,000 | thousands by filing date | call |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 200 | $3,000 | thousands by filing date | put |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 200 | $3,000 | thousands by filing date | put |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 3,000 | $3,000 | thousands by filing date | principal |
| MITCHAM INDS INC COM | 606501104 | COM | 300 | $3,000 | thousands by filing date | put |
| HHGREGG INC | 42833L108 | COM | 400 | $3,000 | thousands by filing date | call |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 500 | $3,000 | thousands by filing date | call |
| AMERICAN RESIDENTIAL PROPERTIES INC | 02927E303 | COM | 150 | $3,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 400 | $3,000 | thousands by filing date | call |
| Proshares Tr Ultrashort MSCI EAFE New ETF | 74348A475 | Com | 73 | $3,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 384 | $3,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 500 | $3,000 | thousands by filing date | put |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 5,600 | $3,000 | thousands by filing date | call |
| OCLARO INC | 67555N206 | COM | 1,900 | $3,000 | thousands by filing date | call |
| GTX INC | 40052B108 | COM | 3,500 | $3,000 | thousands by filing date | call |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 500 | $3,000 | thousands by filing date | call |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 3,225 | $3,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 638901306 | PFD | 326 | $3,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 1,311 | $3,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 400 | $3,000 | thousands by filing date | put |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 100 | $3,000 | thousands by filing date | call |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 400 | $3,000 | thousands by filing date | put |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 2,074 | $3,000 | thousands by filing date | |
| China Recycling Energy Corp | 168913101 | Com | 2,161 | $3,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 1,840 | $3,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 200 | $3,000 | thousands by filing date | call |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| CHINA GERUI ADVANCED MATERIA | G21101103 | CMN | 8,088 | $3,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 1,000 | $3,000 | thousands by filing date | principal |
| Timmins Gold Corp | 88741P103 | COM | 2,087 | $3,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 4,000 | $3,000 | thousands by filing date | principal |
| RAND LOGISTICS INC | 752182105 | COM | 500 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 38 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D472 | CMDT BCH TOT RET | 178 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D753 | EXCH NT LKD 31 | 300 | $3,000 | thousands by filing date | |
| ISHARES MSCI | 464286335 | MSCI GLB GOLD | 300 | $3,000 | thousands by filing date | put |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 193 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 528 | $3,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 100 | $3,000 | thousands by filing date | |
| CERES INC | 156773103 | COM | 6,359 | $3,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q841 | VELOCSHS EMKTS | 82 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286467 | EMKTS GRW IDX | 50 | $3,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 1,595 | $3,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 413 | $3,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 3,145 | $3,000 | thousands by filing date | |
| DOVER SADDLERY INC | 260412101 | COM | 622 | $3,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 1,167 | $3,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 2,389 | $3,000 | thousands by filing date | |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 4,392 | $3,000 | thousands by filing date | |
| ROBERTS REALTY INVS | 769900101 | COM | 3,928 | $3,000 | thousands by filing date | |
| ADVANCED PHOTONIX INC | 00754E107 | CLA | 5,700 | $3,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 617 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 134 | $3,000 | thousands by filing date | |
| NOVAGOLD RES INC | 66987EAA5 | NOTE 5.500% 5/0 | 3,000 | $3,000 | thousands by filing date | principal |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 1,199 | $3,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 1,122 | $3,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 1,660 | $3,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 1,388 | $3,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 1,009 | $3,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678202 | COM NEW | 2,015 | $3,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 1,400 | $3,000 | thousands by filing date | call |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 205 | $3,000 | thousands by filing date | |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 849 | $3,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225111 | W EXP 03/28/201 | 1,355 | $3,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 481 | $3,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 2,079 | $3,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 2,062 | $3,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225301 | UNIT 99/99/9999 | 254 | $3,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 300 | $3,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25459Y546 | DRX DLYBRZB 3X | 173 | $3,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 910 | $3,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 100 | $3,000 | thousands by filing date | put |
| CVENT INC | 23247G109 | COM | 100 | $3,000 | thousands by filing date | call |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 200 | $3,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 200 | $3,000 | thousands by filing date | call |
| ISHARES U S ETF TR | 46431W309 | ENH INTL SMCAP | 140 | $3,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 100 | $3,000 | thousands by filing date | call |
| AMERICAN EAGLE ENERGY | 02554F300 | COM | 834 | $3,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 738 | $3,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 100 | $3,000 | thousands by filing date | put |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 1,425 | $3,000 | thousands by filing date | |
| NXT ID INC COM | 67091J107 | Stock | 1,010 | $3,000 | thousands by filing date | |
| SPDR MSCI SOUTH KOREA STRATEGICFACTORS ETF | 78463X277 | ETF | 100 | $3,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 2,000 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X293 | MSCI MEXCO STRGC | 100 | $3,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G200 | COM | 300 | $3,000 | thousands by filing date | |
| BORDERFREE INC | 09970L100 | COM | 206 | $3,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 6,073 | $3,000 | thousands by filing date | |
| Sphere 3D Corp. | 84841Q109 | COM | 491 | $3,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 100 | $2,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 200 | $2,000 | thousands by filing date | put |
| CAMTEK LTD ORD | M20791105 | Stock | 500 | $2,000 | thousands by filing date | put |
| CNH INDL N V SHS | N20944109 | Stock | 300 | $2,000 | thousands by filing date | call |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 400 | $2,000 | thousands by filing date | call |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 100 | $2,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 100 | $2,000 | thousands by filing date | call |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 50 | $2,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 2,000 | $2,000 | thousands by filing date | put |
| NEW GOLD INC CDA | 644535106 | COM | 400 | $2,000 | thousands by filing date | put |
| HECLA MNG CO | 422704106 | COM | 700 | $2,000 | thousands by filing date | put |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 636 | $2,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 200 | $2,000 | thousands by filing date | put |
| 1ST FINL BANCORP | 320209109 | COM | 100 | $2,000 | thousands by filing date | put |
| NEWS CORP NEW | 65249B208 | CL B | 100 | $2,000 | thousands by filing date | call |
| STAG INDUSTRIAL INC | 85254J102 | COM | 100 | $2,000 | thousands by filing date | call |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 154 | $2,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 45 | $2,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 100 | $2,000 | thousands by filing date | call |
| A10 NETWORKS INC | 002121101 | COM | 200 | $2,000 | thousands by filing date | call |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 200 | $2,000 | thousands by filing date | call |
| LHC GROUP | 50187A107 | COM | 103 | $2,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 48 | $2,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 100 | $2,000 | thousands by filing date | call |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 400 | $2,000 | thousands by filing date | put |
| AMERICAN VANGUARD CORP | 030371108 | COM | 205 | $2,000 | thousands by filing date | |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 100 | $2,000 | thousands by filing date | call |
| Matrix Service Company | 576853105 | COM | 100 | $2,000 | thousands by filing date | put |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 100 | $2,000 | thousands by filing date | put |
| BGC PARTNERS INC | 05541T101 | CL A | 300 | $2,000 | thousands by filing date | call |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 70 | $2,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 114 | $2,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 200 | $2,000 | thousands by filing date | put |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 119 | $2,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 227 | $2,000 | 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 |