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 |
|---|---|---|---|---|---|---|
| KAMADA LTD | M6240T109 | SHS | 454 | $2,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 1,641 | $2,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 179 | $2,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 1,085 | $2,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 969 | $2,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 100 | $2,000 | thousands by filing date | call |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 72 | $2,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 2,033 | $2,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 769 | $2,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 29 | $2,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 577 | $2,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 1,000 | $2,000 | thousands by filing date | call |
| LOXO ONCOLOGY INC | 548862101 | COM | 155 | $2,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 100 | $2,000 | thousands by filing date | call |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 100 | $2,000 | thousands by filing date | put |
| AEGION CORP | 00770F104 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 13,700 | $2,000 | thousands by filing date | call |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| POLYCOM | 73172K104 | COMMON STOCK | 200 | $2,000 | thousands by filing date | call |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 100 | $2,000 | thousands by filing date | call |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 100 | $2,000 | thousands by filing date | call |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 100 | $2,000 | thousands by filing date | call |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 200 | $2,000 | thousands by filing date | put |
| CSS INDS INC | 125906107 | COMMON STOCK | 73 | $2,000 | thousands by filing date | |
| ROFIN-SINAR TECHNOLOGIES INC | 775043102 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| ZION OIL & GAS INC | 989696109 | COM | 984 | $2,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 200 | $2,000 | thousands by filing date | call |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 100 | $2,000 | thousands by filing date | call |
| FORTUNA MNG CORP F | 349915108 | COM | 400 | $2,000 | thousands by filing date | call |
| THERAPEUTICSMD INC | 88338N107 | COM | 400 | $2,000 | thousands by filing date | put |
| HUDSON CITY BANCORP | 443683107 | COM | 200 | $2,000 | thousands by filing date | call |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 100 | $2,000 | thousands by filing date | call |
| RARE ELEMENT RES LTD | 75381M102 | COM | 3,700 | $2,000 | thousands by filing date | call |
| 22ND CENTY GROUP INC | 90137F103 | COM | 700 | $2,000 | thousands by filing date | call |
| COMPUTER TASK GROUP INC | 205477102 | COM | 176 | $2,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 1,000 | $2,000 | thousands by filing date | principal |
| Cynosure, Inc. | 232577205 | COM | 100 | $2,000 | thousands by filing date | call |
| Zagg, Inc. | 98884U108 | COM | 400 | $2,000 | thousands by filing date | call |
| SUN HYDRAULICS CORP | 866942105 | COM | 57 | $2,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 100 | $2,000 | thousands by filing date | put |
| TUMI HLDGS INC | 89969Q104 | COM | 100 | $2,000 | thousands by filing date | call |
| BG MEDICINE INC | 08861T107 | COM | 3,313 | $2,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 100 | $2,000 | thousands by filing date | call |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 1,000 | $2,000 | thousands by filing date | principal |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 500 | $2,000 | thousands by filing date | put |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 800 | $2,000 | thousands by filing date | |
| QUESTAR CORP | 748356102 | COM | 100 | $2,000 | thousands by filing date | put |
| ANTARES PHARMA INC | 036642106 | COM | 1,000 | $2,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 1,200 | $2,000 | thousands by filing date | call |
| XOOM CORP | 98419Q101 | COM | 100 | $2,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,000 | $2,000 | thousands by filing date | put |
| AG MTG INVT TR INC | 001228105 | COM | 100 | $2,000 | thousands by filing date | call |
| NEW YORK & CO INC | 649295102 | COM | 519 | $2,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 200 | $2,000 | thousands by filing date | call |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 300 | $2,000 | thousands by filing date | call |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 100 | $2,000 | thousands by filing date | call |
| WAUSAU PAPER CORP | 943315101 | COM | 344 | $2,000 | thousands by filing date | |
| NEWPORT CORP | 651824104 | COM | 100 | $2,000 | thousands by filing date | call |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 651 | $2,000 | thousands by filing date | |
| MEDIVATION INC | 58501NAA9 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| ROSETTA STONE INC | 777780107 | COM | 200 | $2,000 | thousands by filing date | put |
| S&W SEED COMPANY COM | 785135104 | COM | 500 | $2,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 100 | $2,000 | thousands by filing date | put |
| Empire District Electric Co/Th | 291641108 | COM | 100 | $2,000 | thousands by filing date | call |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 800 | $2,000 | thousands by filing date | put |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,000 | $2,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 200 | $2,000 | thousands by filing date | call |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 1,700 | $2,000 | thousands by filing date | put |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 1,000 | $2,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 1,697 | $2,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 2,700 | $2,000 | thousands by filing date | put |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 202 | $2,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 600 | $2,000 | thousands by filing date | put |
| INTERSECTIONS INC | 460981301 | COM | 600 | $2,000 | thousands by filing date | call |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 200 | $2,000 | thousands by filing date | call |
| BOOKS-A-MILLION INC | 098570104 | COM | 1,354 | $2,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 2,500 | $2,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 116 | $2,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 200 | $2,000 | thousands by filing date | put |
| BEBE STORES INC | 075571109 | COM | 1,000 | $2,000 | thousands by filing date | |
| GSI GROUP INC | 36191C205 | COM | 200 | $2,000 | thousands by filing date | call |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 100 | $2,000 | thousands by filing date | |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 1,343 | $2,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 304 | $2,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 200 | $2,000 | thousands by filing date | put |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 100 | $2,000 | thousands by filing date | put |
| ENTREE GOLD INC | 29383G100 | COM | 7,732 | $2,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 200 | $2,000 | thousands by filing date | put |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 125 | $2,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 1,540 | $2,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 2,813 | $2,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 100 | $2,000 | thousands by filing date | put |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 800 | $2,000 | thousands by filing date | call |
| SILVERCREST MINES INC | 828365106 | COMMON | 1,086 | $2,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 210 | $2,000 | thousands by filing date | |
| AVIS BUDGET GROUP | 053774AB1 | NOTE 3.500%10/0 | 2,000 | $2,000 | thousands by filing date | principal |
| RLJ ENTMT INC | 74965F104 | COM | 468 | $2,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 2,500 | $2,000 | thousands by filing date | |
| SEMILEDS CORP | 816645105 | COM | 4,315 | $2,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 700 | $2,000 | thousands by filing date | put |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 500 | $2,000 | thousands by filing date | put |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 585 | $2,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 2,277 | $2,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 1,427 | $2,000 | thousands by filing date | |
| GENERAL EMPLOYMENT ENTERPRIS | 369730106 | COM | 13,340 | $2,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 860 | $2,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 2,500 | $2,000 | thousands by filing date | call |
| GENETIC TECHNOLOGIES LTD | 37185R109 | SPONSORED ADR | 3,000 | $2,000 | thousands by filing date | call |
| HIGHPOWER INTL INC | 43113X101 | COM | 200 | $2,000 | thousands by filing date | put |
| BARCLAYS BK PLC | 06740P338 | FUND | 50 | $2,000 | thousands by filing date | |
| CHINA SHENGDA PACKAGING GROU | 16950V107 | COM | 1,757 | $2,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 350 | $2,000 | thousands by filing date | |
| SINOCOKING COAL & COKE CH IN | 829357102 | COM | 500 | $2,000 | thousands by filing date | put |
| GUANWEI RECYCLING CORP | 400685202 | COM NEW | 3,054 | $2,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 227 | $2,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 672 | $2,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 314 | $2,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 102 | $2,000 | thousands by filing date | |
| Coupons Com Inc | 22265J102 | Common Stock | 200 | $2,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 100 | $2,000 | thousands by filing date | put |
| Onconova Therapeutics | 68232V108 | Common | 400 | $2,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 500 | $2,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 54 | $2,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 482 | $2,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 500 | $2,000 | thousands by filing date | call |
| BARCLAYS BK PLC | 06740P312 | IPTH ENRGY ETN | 38 | $2,000 | thousands by filing date | |
| CELATOR PHARMACEUTICALS INC | 15089R102 | Cmn | 860 | $2,000 | thousands by filing date | |
| INTERCLOUD SYS INC | 458488111 | *W EXP 08/25/201 | 814 | $2,000 | thousands by filing date | |
| ASCENT SOLAR TECHNOLOGIES IN | 043635309 | COM NEW | 686 | $2,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 1,654 | $2,000 | thousands by filing date | |
| CBD ENERGY LTD | Q2145B158 | Cmn | 753 | $2,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 400 | $1,000 | thousands by filing date | put |
| CYTOKINETICS INC | 23282W605 | COM NEW | 300 | $1,000 | thousands by filing date | call |
| MERCURY SYS INC COM | 589378108 | Stock | 70 | $1,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 100 | $1,000 | thousands by filing date | put |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 107 | $1,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 100 | $1,000 | thousands by filing date | put |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 100 | $1,000 | thousands by filing date | call |
| Q2 HLDGS INC COM | 74736L109 | Stock | 100 | $1,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 100 | $1,000 | thousands by filing date | put |
| NEOGENOMICS INC | 64049M209 | COM NEW | 125 | $1,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 100 | $1,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 200 | $1,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 200 | $1,000 | thousands by filing date | put |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 500 | $1,000 | thousands by filing date | call |
| ICF INTL INC | 44925C103 | COM | 39 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 519 | $1,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 500 | $1,000 | thousands by filing date | put |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 300 | $1,000 | thousands by filing date | call |
| LIVEPERSON, INC. | 538146101 | COM | 100 | $1,000 | thousands by filing date | call |
| BIOTELEMETRY INC | 090672106 | COM | 100 | $1,000 | thousands by filing date | call |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | put |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 29 | $1,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 150 | $1,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 157 | $1,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 100 | $1,000 | thousands by filing date | put |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 71 | $1,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 100 | $1,000 | thousands by filing date | put |
| NANOMETRICS | 630077105 | COM | 76 | $1,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 181 | $1,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 2,112 | $1,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 200 | $1,000 | thousands by filing date | call |
| CSP INC | 126389105 | CMN | 159 | $1,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 200 | $1,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 269 | $1,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 93 | $1,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 100 | $1,000 | thousands by filing date | put |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 32 | $1,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 52 | $1,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 400 | $1,000 | thousands by filing date | call |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| BIOLASE INC | 090911108 | COMMON STOCK | 200 | $1,000 | thousands by filing date | call |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 1,800 | $1,000 | thousands by filing date | put |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 229 | $1,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 74 | $1,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 100 | $1,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 500 | $1,000 | thousands by filing date | call |
| MECHEL PREF SPON ADR | 583840509 | COM | 8,265 | $1,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 67 | $1,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 100 | $1,000 | thousands by filing date | call |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 100 | $1,000 | thousands by filing date | put |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 100 | $1,000 | thousands by filing date | call |
| RETROPHIN INC | 761299106 | COM | 100 | $1,000 | thousands by filing date | call |
| VONAGE HLDGS CORP | 92886T201 | COM | 400 | $1,000 | thousands by filing date | call |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 100 | $1,000 | thousands by filing date | put |
| GREAT PANTHER MINING | 39115V101 | COM | 600 | $1,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 37 | $1,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 500 | $1,000 | thousands by filing date | put |
| CRAY INC | 225223304 | COM NEW | 50 | $1,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639118 | *W EXP 12/06/201 | 1,709 | $1,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 150 | $1,000 | thousands by filing date | |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 100 | $1,000 | thousands by filing date | put |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 100 | $1,000 | thousands by filing date | put |
| FURMANITE CORPORATION | 361086101 | COM | 100 | $1,000 | thousands by filing date | call |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 400 | $1,000 | thousands by filing date | call |
| ARQULE INC | 04269E107 | COM | 1,000 | $1,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | put |
| DYNEX CAP INC | 26817Q506 | COM NEW | 100 | $1,000 | thousands by filing date | put |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 300 | $1,000 | thousands by filing date | put |
| XENOPORT INC | 98411C100 | COM | 200 | $1,000 | thousands by filing date | call |
| HARBINGER GROUP INC | 41146A106 | COM | 53 | $1,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 56 | $1,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 200 | $1,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 300 | $1,000 | thousands by filing date | put |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 500 | $1,000 | thousands by filing date | put |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 102 | $1,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 200 | $1,000 | thousands by filing date | put |
| SILICON IMAGE INC | 82705T102 | COM | 200 | $1,000 | thousands by filing date | call |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 1,500 | $1,000 | thousands by filing date | put |
| ALON USA ENERGY INC | 020520102 | COM | 100 | $1,000 | thousands by filing date | call |
| MINES MGMT INC | 603432105 | COM | 1,647 | $1,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 1,000 | $1,000 | thousands by filing date | call |
| OMEGA PROTEIN CORP | 68210P107 | COM | 100 | $1,000 | thousands by filing date | put |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 200 | $1,000 | thousands by filing date | put |
| QUICKLOGIC CORP | 74837P108 | COM | 200 | $1,000 | thousands by filing date | put |
| BSD MEDICAL CORP | 055662100 | COM | 2,000 | $1,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 100 | $1,000 | thousands by filing date | put |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 500 | $1,000 | thousands by filing date | put |
| AUDIENCE INC | 05070J102 | COM | 100 | $1,000 | thousands by filing date | call |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 500 | $1,000 | thousands by filing date | put |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 400 | $1,000 | thousands by filing date | put |
| WHITING USA TRUST I | 966389108 | TR U | 200 | $1,000 | thousands by filing date | |
| DDR CORP | 251591AX1 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| SYSTEMAX INC | 871851101 | COM | 100 | $1,000 | thousands by filing date | call |
| EMCORE CORP | 290846203 | COM | 250 | $1,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 132 | $1,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 200 | $1,000 | thousands by filing date | put |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 624 | $1,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 446 | $1,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 100 | $1,000 | thousands by filing date | put |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 1,000 | $1,000 | thousands by filing date | principal |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 100 | $1,000 | thousands by filing date | call |
| CHART ACQUISITION CORP | 161151204 | UNIT | 800 | $1,000 | thousands by filing date | |
| CHINA SUNERGY CO LTD | 16942X302 | SPONSORED ADR NE | 200 | $1,000 | thousands by filing date | call |
| GULF RESOURCES INC | 40251W309 | COM | 618 | $1,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 31 | $1,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 32 | $1,000 | thousands by filing date | |
| REVETT MINERALS INC | 761505205 | COM NEW | 751 | $1,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q205 | COM | 2,000 | $1,000 | thousands by filing date | |
| MAXCOM TELECOMUNICACIONES SA | 57773A508 | ADR REP PR CTF | 890 | $1,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 200 | $1,000 | thousands by filing date | |
| STANDARD REGISTER CO | 853887206 | COM | 255 | $1,000 | thousands by filing date | |
| RESPONSE GENETICS INC | 76123U105 | COM | 1,532 | $1,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 300 | $1,000 | thousands by filing date | call |
| INTERNET PATENTS CORP | 46063G101 | COM | 462 | $1,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 218 | $1,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 944 | $1,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 1,000 | $1,000 | thousands by filing date | put |
| POINT 360 | 730507100 | COM | 2,180 | $1,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 206 | $1,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 237 | $1,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 300 | $1,000 | thousands by filing date | |
| CORMEDIX INC | 21900C118 | *W EXP 03/24/201 | 2,828 | $1,000 | thousands by filing date | |
| GRAVITY CO LTD | 38911N107 | SPONSORED ADR | 946 | $1,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794123 | *W EXP 06/30/201 | 12,226 | $1,000 | thousands by filing date | |
| ZUOAN FASHION LTD | 98982X103 | SPONSORED ADR | 1,105 | $1,000 | thousands by filing date | |
| ATLATSA RES CORP | 049477102 | COM | 3,992 | $1,000 | thousands by filing date | |
| VESTIN REALTY MORTGAGE I INC | 925490104 | COM | 805 | $1,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 350 | $1,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H126 | *W EXP 02/08/201 | 255 | $1,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H118 | *W EXP 02/08/201 | 100 | $1,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 400 | $1,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 1,000 | $1,000 | thousands by filing date | |
| China Yida Holdings Co | 16945D303 | COM PAR $0.0001 | 321 | $1,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 140 | $1,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P131 | W EXP 06/11/201 | 3,000 | $1,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 189 | $1,000 | thousands by filing date | |
| WEBSTER FINL CORP CONN | 947890117 | *W EXP 11/21/201 | 50 | $1,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 496 | $1,000 | thousands by filing date | |
| OPTIMUMBANK HOLDINGS INC | 68401P304 | COM PAR $0.01 | 597 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 6 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 66 | $1,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 500 | $1,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 307 | $1,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F102 | SHS | 954 | $1,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760129 | SHS | 590 | $1,000 | thousands by filing date | |
| VRINGO INC | 92911N112 | W EXP 06/21/201 | 11,500 | $1,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 658 | $1,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 580 | $1,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 160 | $1,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 200 | $1,000 | thousands by filing date | put |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 211 | $1,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 265 | $1,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 100 | $1,000 | thousands by filing date | call |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 38 | $1,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 200 | $1,000 | thousands by filing date | call |
| JETPAY CORP | 477177109 | COM | 588 | $1,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 2,155 | $1,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 24 | $1,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 108 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 26 | $1,000 | thousands by filing date | |
| TROVAGENE INC | 897238200 | UNIT 12/31/2017 | 100 | $1,000 | thousands by filing date | |
| LGL GROUP INC WTS EXP 08/06/18 | 50186A116 | NOTE 1.250% 5/1 | 16,501 | $1,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C303 | COM NEW | 344 | $1,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 380 | $1,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V103 | COM | 100 | $1,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP II | 14056V105 | COM | 100 | $1,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 335 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E184 | GURU SMLCP IDX | 53 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 1,250 | $1,000 | thousands by filing date | |
| ARMCO METALS HLDGS INC | 042182105 | COM ADDED | 4,000 | $1,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 5,454 | $1,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 227 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 254 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EAGLE BANCORPORATION INC | 268948106 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VICOR CORP | 925815102 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROVISION INC DEL | 594960304 | COM NEW | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EGAIN CORP | 28225C806 | COM NEW | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTEST CORP | 461147100 | COMMON STOCK | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TWIN DISC INC | 901476101 | COMMON STOCK | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CITIZENS INC | 174740100 | COMMON STOCK | 53 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Gilat Satellite Network | M51474118 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVALON HLDGS CORP | 05343P109 | CL A | 83 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COFFEE HLDG CO INC | 192176105 | COM | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BIRKS GROUP INC | 09088U109 | CL A COM | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KOSS CORP | 500692108 | COM | 195 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| READING INTL INC | 755408200 | CL B | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| GRAFTECH INTERNATIONAL LTD | 384313102 | COMMON STOCK | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| HAYNES INTL INC | 420877201 | COM NEW | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FONAR CORP | 344437405 | COM NEW | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LENDINGTREE INC NEW | 894675107 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 132 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Gevo Inc | 374396109 | COMMON | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CURIS INC | 231269101 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BANRO CORP | 066800103 | COM | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 203 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW YORK & CO INC | 649295102 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ROSETTA STONE INC | 777780107 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 122 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METALICO INC | 591176102 | COM | 175 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HUDSON GLOBAL INC | 443787106 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SILVER BULL RES INC | 827458100 | COM | 2,079 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPPORT COM INC | 86858W101 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PARKERVISION INC | 701354102 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| RENESOLA LTD | 75971T103 | SPONS ADS | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VRINGO INC | 92911N104 | COM | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BTU INTERNATIONAL INC | 056032105 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CHARLES + COLVARD LTD | 159765106 | COM | 161 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| AVALON RARE METALS INC | 053470100 | COM | 800 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ESSEX RENT CORP COM | 297187106 | Common | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POKERTEK INC | 730864204 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EUROSEAS LTD | Y23592200 | CMN | 185 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 335 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Colonial Financial Services, Inc. | 19566B101 | Common Stock | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 668 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLLABRIUM JAPAN ACQUISITN C | G2266G128 | UNIT 99/99/9999 | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIGITAL PWR CORP | 253862106 | COM | 196 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBALSCAPE INC | 37940G109 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REMARK MEDIA INC | 75954W107 | COM | 74 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN SPECTRUM REALTY INC | 02970Q203 | COM | 321 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEERLESS SYS CORP COM | 705536100 | COM | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 191 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA METRO-RURAL HLDGS LTD | G3163G104 | SHS | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLLABRIUM JAPAN ACQUISITN C | G2266G110 | *W EXP 99/99/999 | 1,661 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AQUASITION CORP | Y0192H103 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDIA GLOBALIZATION CAP INC | 45408X118 | W EXP 03/06/201 | 2,167 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THT HEAT TRANSFER TECHNOLOGY | 886031103 | COM | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATOSSA GENETICS INC | 04962H100 | COM | 214 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYAL BK OF SCOTLAND PLC | 78009P192 | ROGR ENH ENERG | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METHES ENERGIES INTL LTD | 591517115 | *W EXP 10/12/201 | 1,050 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METHES ENERGIES INTL LTD | 591517123 | *W EXP 10/12/201 | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46429B648 | TRGT 2045 INDX | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WILHELMINA INTL INC | 968235200 | COM NEW | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 98 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 117 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Cogo Group, Inc. | G9363W104 | COM | 140 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELCATH SYS INC | 24661P401 | Cmn | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| 1347 CAP CORP | 68245V111 | RIGHT 07/21/2016 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RIT TECHNOLOGIES LTD | M8215Q128 | *W EXP 12/01/201 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROI ACQUISITION CORP II | 74966G101 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XG TECHNOLOGY INC | 98372A408 | *W EXP 03/26/201 | 287 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIGGLE INC | 92672V204 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARKET VECTORS ETF TR | 57061R437 | MSCI IN QLT DI | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LAKES ENTERTAINMEN | 51206P208 | COM | 58 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IRIDIUM COMMUNICATIONS INC | 46269C128 | *W EXP 02/14/201 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |