13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-17, with 9,776 holding rows worth $143,078,463,000.
- Accession
- 0000950123-15-002162
- Filer
- CIK 1610520
- Filed
- 2015-02-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 15,242 entries on the cover page, a total value of $143,078,463,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $143,078,557,000 with VALUE read as thousands by filing date, 13F file number 028-16612. 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 |
|---|---|---|---|---|---|---|
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 100 | $5,000 | thousands by filing date | put |
| FERRO CORP | 315405100 | COM | 400 | $5,000 | thousands by filing date | put |
| POTBELLY CORP | 73754Y100 | COM | 400 | $5,000 | thousands by filing date | call |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 351 | $5,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 676 | $5,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 100 | $5,000 | thousands by filing date | call |
| COMSTOCK RESOURCES INC | 205768203 | COM | 700 | $5,000 | thousands by filing date | put |
| Targa Resources Partners, LP | 87611X105 | LTD | 100 | $5,000 | thousands by filing date | call |
| IMPERVA INC | 45321L100 | COM | 100 | $5,000 | thousands by filing date | call |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 700 | $5,000 | thousands by filing date | call |
| BIOTA PHARMACEUTIALS INC | 090694100 | COM | 2,399 | $5,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 2,252 | $5,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 1,000 | $5,000 | thousands by filing date | call |
| REMY INTL INC | 759663107 | COM | 225 | $5,000 | thousands by filing date | |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 203,300 | $5,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 4,764 | $5,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 9,784 | $5,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 100 | $5,000 | thousands by filing date | call |
| HORSEHEAD HLDG CORP | 440694305 | COM | 300 | $5,000 | thousands by filing date | call |
| GENCORP INC | 368682100 | COM | 300 | $5,000 | thousands by filing date | call |
| BOB EVANS FARMS | 096761101 | COM | 100 | $5,000 | thousands by filing date | put |
| BRISTOW GROUP INC | 110394103 | COM | 78 | $5,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 1,200 | $5,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 1,485 | $5,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 2,300 | $5,000 | thousands by filing date | call |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 20,110 | $5,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 365 | $5,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 17,557 | $5,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 2,000 | $5,000 | thousands by filing date | put |
| SYNERON MEDICAL LTD | M87245102 | ORD | 586 | $5,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 2,000 | $5,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 3,495 | $5,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 2,400 | $5,000 | thousands by filing date | put |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 7,177 | $5,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 600 | $5,000 | thousands by filing date | put |
| EMCORE CORP | 290846203 | COM | 1,023 | $5,000 | thousands by filing date | |
| VIDEO DISPLAY CORP | 926555103 | COM | 1,724 | $5,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 3,990 | $5,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 750 | $5,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 3,911 | $5,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 3,037 | $5,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $5,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 403 | $5,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 2,662 | $5,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q205 | COM | 11,965 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y462 | DLY CHINBR3X NEW | 400 | $5,000 | thousands by filing date | call |
| FQF TR | 351680103 | QUANTSHARE MOM | 206 | $5,000 | thousands by filing date | |
| POWERSHARES DB ITALIAN TREAS | 25154W704 | CMN | 154 | $5,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 1,118 | $5,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 1,522 | $5,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 12,489 | $5,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 985 | $5,000 | thousands by filing date | |
| TOFUTTI BRANDS INC | 88906B105 | COM | 893 | $5,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 1,472 | $5,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 563 | $5,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 1,261 | $5,000 | thousands by filing date | |
| TAOMEE HLDGS LTD | 87600Y106 | SPONSORED ADR | 1,407 | $5,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 385 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P338 | FUND | 160 | $5,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639209 | UNIT 12/06/20166 | 700 | $5,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 236 | $5,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 3,000 | $5,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 3,000 | $5,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 8,940 | $5,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 610 | $5,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 4,098 | $5,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 8,673 | $5,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 417 | $5,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 500 | $5,000 | thousands by filing date | put |
| TIMBERLINE RES CORP COM NEW | 887133205 | Equities | 8,334 | $5,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 500 | $5,000 | thousands by filing date | call |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 44 | $5,000 | thousands by filing date | |
| Coupons Com Inc | 22265J102 | Common Stock | 300 | $5,000 | thousands by filing date | put |
| EP ENERGY CORP | 268785102 | CL A | 500 | $5,000 | thousands by filing date | call |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 219 | $5,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 422 | $5,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 5,039 | $5,000 | thousands by filing date | |
| NXT ID INC COM | 67091J107 | Stock | 2,066 | $5,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 396 | $5,000 | thousands by filing date | |
| TCP International Holdings Ltd | H84689100 | COMMON | 801 | $5,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 7,735 | $5,000 | thousands by filing date | |
| CIVEO CORP | 178787107 | COM | 1,100 | $5,000 | thousands by filing date | put |
| AOXIN TIANLI GROUP INC | G0404E104 | Cmn | 2,672 | $5,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 2,900 | $5,000 | thousands by filing date | call |
| INLAND REAL ESTATE CORP | 457461507 | REDM PFD SER B | 186 | $5,000 | thousands by filing date | |
| VIGGLE INC | 92672V204 | COM NEW | 1,954 | $5,000 | thousands by filing date | |
| COMPASS EMP FDS TR | 20452Y783 | 100 ENH VOLA ETF | 134 | $5,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 200 | $4,000 | thousands by filing date | call |
| TREX CO INC | 89531P105 | COM | 100 | $4,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 100 | $4,000 | thousands by filing date | call |
| WENDYS CO COM | 95058W100 | Stock | 400 | $4,000 | thousands by filing date | put |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 500 | $4,000 | thousands by filing date | put |
| XYLEM INC COM | 98419M100 | Stock | 100 | $4,000 | thousands by filing date | put |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 400 | $4,000 | thousands by filing date | call |
| SKYWEST INC COM | 830879102 | Stock | 300 | $4,000 | thousands by filing date | put |
| CDW CORP COM | 12514G108 | Stock | 100 | $4,000 | thousands by filing date | call |
| ONE GAS INC COM | 68235P108 | Stock | 100 | $4,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 4,000 | $4,000 | thousands by filing date | call |
| DONALDSON INC COM | 257651109 | Stock | 100 | $4,000 | thousands by filing date | call |
| GEO GROUP INC NEW | 36162J106 | COM | 100 | $4,000 | thousands by filing date | call |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 200 | $4,000 | thousands by filing date | call |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 300 | $4,000 | thousands by filing date | call |
| ANGIODYNAMICS INC | 03475V101 | COM | 200 | $4,000 | thousands by filing date | call |
| POST HLDGS INC | 737446104 | COM | 100 | $4,000 | thousands by filing date | call |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 400 | $4,000 | thousands by filing date | put |
| GRUBHUB INC | 400110102 | COM | 100 | $4,000 | thousands by filing date | put |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 1,349 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 100 | $4,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 100 | $4,000 | thousands by filing date | call |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,565 | $4,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 472 | $4,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 400 | $4,000 | thousands by filing date | put |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 408 | $4,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 436 | $4,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 300 | $4,000 | thousands by filing date | put |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 100 | $4,000 | thousands by filing date | call |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 700 | $4,000 | thousands by filing date | put |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 922 | $4,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 75 | $4,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 1,385 | $4,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 1,536 | $4,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 2,421 | $4,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 489 | $4,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 1,200 | $4,000 | thousands by filing date | call |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 100 | $4,000 | thousands by filing date | put |
| PDL BIOPHARMA INC | 69329Y104 | COM | 500 | $4,000 | thousands by filing date | put |
| HANGER INC | 41043F208 | COMMON STOCK | 200 | $4,000 | thousands by filing date | put |
| ISTAR INC | 45031U101 | COMMON STOCK | 300 | $4,000 | thousands by filing date | call |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 1,200 | $4,000 | thousands by filing date | put |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 200 | $4,000 | thousands by filing date | call |
| VERTEX ENERGY INC | 92534K107 | COM | 900 | $4,000 | thousands by filing date | call |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 186 | $4,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 100 | $4,000 | thousands by filing date | put |
| APPLOVIN CORP CLASS A | 023850100 | COM | 3,800 | $4,000 | thousands by filing date | call |
| FOX CORP CLASS B | 90130A200 | COM | 100 | $4,000 | thousands by filing date | put |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 200 | $4,000 | thousands by filing date | call |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 300 | $4,000 | thousands by filing date | put |
| IF BANCORP INC | 44951J105 | COM | 240 | $4,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 6,715 | $4,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 8,715 | $4,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 177 | $4,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 1,000 | $4,000 | thousands by filing date | call |
| SUN HYDRAULICS CORP | 866942105 | COM | 100 | $4,000 | thousands by filing date | put |
| INFORMATICA CORP | 45666Q102 | COM | 100 | $4,000 | thousands by filing date | call |
| FRESH MKT INC | 35804H106 | COM | 100 | $4,000 | thousands by filing date | call |
| EXELIS INC | 30162A108 | COM | 200 | $4,000 | thousands by filing date | call |
| RADISYS CORP | 750459109 | COM | 1,737 | $4,000 | thousands by filing date | |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 620 | $4,000 | thousands by filing date | |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 600 | $4,000 | thousands by filing date | call |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 300 | $4,000 | thousands by filing date | call |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 300 | $4,000 | thousands by filing date | call |
| SEQUENOM INC COM NEW | 817337405 | COM | 1,100 | $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 |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 100 | $4,000 | thousands by filing date | put |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 2,500 | $4,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 21,554 | $4,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 400 | $4,000 | thousands by filing date | put |
| SUPPORT COM INC | 86858W101 | COM | 1,933 | $4,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 2,600 | $4,000 | thousands by filing date | call |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 300 | $4,000 | thousands by filing date | put |
| CENVEO INC | 15670S105 | COM | 2,000 | $4,000 | thousands by filing date | put |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 8,253 | $4,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 500 | $4,000 | thousands by filing date | call |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 500 | $4,000 | thousands by filing date | put |
| HOOPER HOLMES INC | 439104100 | COM | 7,734 | $4,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 638901306 | PFD | 426 | $4,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 2,253 | $4,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 364 | $4,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 8,804 | $4,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 222 | $4,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 17,693 | $4,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D456 | BACK ETN LK IDX | 288 | $4,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 834 | $4,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 245 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 1,125 | $4,000 | thousands by filing date | |
| IFM INVTS LTD | 45172L209 | ADS CL A NEW | 5,358 | $4,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 500 | $4,000 | thousands by filing date | put |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 1,803 | $4,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 6,182 | $4,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $4,000 | thousands by filing date | principal |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 1,347 | $4,000 | thousands by filing date | |
| VIMICRO INTL CORP | 92718N109 | ADR | 700 | $4,000 | thousands by filing date | call |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 141 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E838 | GLB X BRZ FINL | 506 | $4,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 2,361 | $4,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 3,712 | $4,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 2,693 | $4,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760129 | SHS | 5,170 | $4,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 200 | $4,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 100 | $4,000 | thousands by filing date | call |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 1,088 | $4,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 100 | $4,000 | thousands by filing date | put |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 19,400 | $4,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 20,700 | $4,000 | thousands by filing date | call |
| SESEN BIO, INC. | 286221106 | COM | 335 | $4,000 | thousands by filing date | |
| SMTP INC | 784589202 | COM NEW | 607 | $4,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 947 | $4,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 4,319 | $4,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 847 | $4,000 | thousands by filing date | |
| CAPNIA INC | 14066L113 | *W EXP 11/12/201 | 11,795 | $4,000 | thousands by filing date | |
| OPOWER INC | 68375Y109 | COM | 300 | $4,000 | thousands by filing date | call |
| ELBIT IMAGING LTD | M37605116 | Cmn | 2,216 | $4,000 | thousands by filing date | |
| MOKO SOCIAL MEDIA LTD | 608458204 | Depository Receipt | 651 | $4,000 | thousands by filing date | |
| TERRAPIN 3 ACQUISITION CORP | 88104P203 | UNIT 06/27/2019 | 350 | $4,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V863 | SSGA RISK AWAR | 91 | $4,000 | thousands by filing date | |
| C B PHARMA ACQUISITION CORP | G2029P100 | UNIT 12/17/2021 | 421 | $4,000 | thousands by filing date | |
| ATRM HLDGS INC | 04964A103 | COM | 1,258 | $4,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 3,238 | $4,000 | thousands by filing date | |
| BORDERFREE INC | 09970L100 | COM | 409 | $4,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 111,690 | $4,000 | thousands by filing date | |
| RUTHIGEN INC | 783330103 | COM | 1,280 | $4,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C128 | *W EXP 02/14/201 | 7,923 | $4,000 | thousands by filing date | |
| NV5 HLDGS INC | 62945V117 | *W EXP 03/27/201 | 600 | $4,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 200 | $3,000 | thousands by filing date | call |
| OTTER TAIL CORP | 689648103 | COM | 100 | $3,000 | thousands by filing date | call |
| UNUM GROUP COM | 91529Y106 | Stock | 100 | $3,000 | thousands by filing date | call |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 100 | $3,000 | thousands by filing date | call |
| MOOG INC CL A | 615394202 | Stock | 38 | $3,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 100 | $3,000 | thousands by filing date | call |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 400 | $3,000 | thousands by filing date | put |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,000 | $3,000 | thousands by filing date | call |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,194 | $3,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 100 | $3,000 | thousands by filing date | put |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 100 | $3,000 | thousands by filing date | call |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 100 | $3,000 | thousands by filing date | call |
| MYRIAD GENETICS INC | 62855J104 | COM | 100 | $3,000 | thousands by filing date | put |
| AZENTA INC | 114340102 | COM | 200 | $3,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 200 | $3,000 | thousands by filing date | call |
| CERUS CORP | 157085101 | COM | 500 | $3,000 | thousands by filing date | call |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 100 | $3,000 | thousands by filing date | call |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 100 | $3,000 | thousands by filing date | put |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 412 | $3,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 200 | $3,000 | thousands by filing date | call |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 200 | $3,000 | thousands by filing date | call |
| PETMED EXPRESS INC | 716382106 | COM | 200 | $3,000 | thousands by filing date | put |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 200 | $3,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F104 | COM SER A | 100 | $3,000 | thousands by filing date | call |
| STARZ | 85571Q102 | COM SER A | 100 | $3,000 | thousands by filing date | call |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 229 | $3,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 100 | $3,000 | thousands by filing date | call |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 350 | $3,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 600 | $3,000 | thousands by filing date | call |
| CREXENDO INC | 226552107 | COMMON STOCK | 1,463 | $3,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 400 | $3,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 3,000 | $3,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 100 | $3,000 | thousands by filing date | call |
| ALDERON IRON ORE CORP | 01434T100 | COM | 10,049 | $3,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 100 | $3,000 | thousands by filing date | call |
| SPAR GROUP INC | 784933103 | COM | 1,830 | $3,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 210 | $3,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 90 | $3,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 100 | $3,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 859 | $3,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 206 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 185 | $3,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 574 | $3,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 1,131 | $3,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 152 | $3,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 102 | $3,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 267 | $3,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 2,495 | $3,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 800 | $3,000 | thousands by filing date | put |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 534 | $3,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 100 | $3,000 | thousands by filing date | put |
| EXPRESS INC | 30219E103 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| LYDALL INC | 550819106 | COMMON STOCK | 100 | $3,000 | thousands by filing date | put |
| POLYCOM | 73172K104 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 500 | $3,000 | thousands by filing date | call |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 400 | $3,000 | thousands by filing date | call |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 300 | $3,000 | thousands by filing date | call |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 300 | $3,000 | thousands by filing date | call |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 1,349 | $3,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 11,386 | $3,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 273 | $3,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 100 | $3,000 | thousands by filing date | call |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 329 | $3,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 3,900 | $3,000 | thousands by filing date | call |
| FARMER BROS CO | 307675108 | COM | 105 | $3,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 2,700 | $3,000 | thousands by filing date | call |
| SALISBURY BANCORP INC | 795226109 | COM | 100 | $3,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 666 | $3,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 400 | $3,000 | thousands by filing date | put |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 1,000 | $3,000 | thousands by filing date | principal |
| Cynosure, Inc. | 232577205 | COM | 100 | $3,000 | thousands by filing date | call |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 2,435 | $3,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 300 | $3,000 | thousands by filing date | put |
| PHARMATHENE INC | 71714G102 | COM | 1,500 | $3,000 | thousands by filing date | call |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 600 | $3,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 1,652 | $3,000 | thousands by filing date | |
| QUESTAR CORP | 748356102 | COM | 100 | $3,000 | thousands by filing date | put |
| QUESTAR CORP | 748356102 | COM | 100 | $3,000 | thousands by filing date | call |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 5,629 | $3,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 634 | $3,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 500 | $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 |
| MAST THERAPEUTICS INC | 576314108 | COM | 6,793 | $3,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 1,000 | $3,000 | thousands by filing date | call |
| INTERSIL CORP | 46069S109 | CL A | 200 | $3,000 | thousands by filing date | call |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 500 | $3,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 8,000 | $3,000 | thousands by filing date | call |
| 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 | 500 | $3,000 | thousands by filing date | call |
| Tremor Video | 89484Q100 | Common Stock | 1,199 | $3,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 2,000 | $3,000 | thousands by filing date | |
| AUDIENCE INC | 05070J102 | COM | 650 | $3,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 1,878 | $3,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 3,500 | $3,000 | thousands by filing date | call |
| WHITING USA TRUST I | 966389108 | TR U | 1,700 | $3,000 | thousands by filing date | call |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 308 | $3,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 529 | $3,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 787 | $3,000 | thousands by filing date | |
| COMSTOCK HOLDING COMPANIES | 205684103 | CL A | 2,839 | $3,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 1,800 | $3,000 | thousands by filing date | put |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 317 | $3,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 1,477 | $3,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 3,400 | $3,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 1,015 | $3,000 | thousands by filing date | |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 1,000 | $3,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 4,000 | $3,000 | thousands by filing date | principal |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 928 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W284 | DL RUSSIA BEAR | 100 | $3,000 | thousands by filing date | call |
| CREDIT SUISSE NASSAU BRH | 22542D753 | EXCH NT LKD 31 | 300 | $3,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 1,671 | $3,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 5,932 | $3,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 555 | $3,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 3,021 | $3,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 3,196 | $3,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 2,157 | $3,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 378 | $3,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 2,389 | $3,000 | thousands by filing date | |
| POSTROCK ENERGY CORP | 737525105 | COM | 8,144 | $3,000 | thousands by filing date | |
| FIRST CLOVER LEAF FINANCIAL | 31969M105 | COM | 316 | $3,000 | thousands by filing date | |
| GRAVITY CO LTD | 38911N107 | SPONSORED ADR | 5,394 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U571 | VECTRS POL ETF | 188 | $3,000 | thousands by filing date | |
| NOVAGOLD RES INC | 66987EAA5 | NOTE 5.500% 5/0 | 3,000 | $3,000 | thousands by filing date | principal |
| ISHARES TR | 46429B374 | ALCO ASIA INFO | 84 | $3,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 2,000 | $3,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 1,822 | $3,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 2,500 | $3,000 | thousands by filing date | call |
| ELTEK LTD | M40184109 | ORD | 2,963 | $3,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H102 | COM | 2,241 | $3,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 937 | $3,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 269 | $3,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS-ADR | 98386D208 | COM | 1,574 | $3,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 100 | $3,000 | thousands by filing date | call |
| MAVENIR SYS INC | 577675101 | COM | 209 | $3,000 | thousands by filing date | |
| ZAZA ENERGY CORP - NEW | 98919T407 | COM | 1,050 | $3,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 450 | $3,000 | thousands by filing date | |
| Amedica Corporation | 023435100 | COM | 4,000 | $3,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W309 | ENH INTL SMCAP | 130 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 112 | $3,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 100 | $3,000 | thousands by filing date | put |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 100 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 121 | $3,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 100 | $3,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 100 | $3,000 | thousands by filing date | put |
| TURTLE BEACH CORP COM | 900450107 | Stock | 752 | $3,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 388 | $3,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 100 | $3,000 | thousands by filing date | put |
| SPDR MSCI SOUTH KOREA STRATEGICFACTORS ETF | 78463X277 | ETF | 100 | $3,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 300 | $3,000 | thousands by filing date | put |
| ADVISORSHARES TR | 00768Y628 | ATHENA HGH DIV | 150 | $3,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 427 | $3,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 500 | $3,000 | thousands by filing date | call |
| Capnia, Inc. | 14066L105 | Common | 2,058 | $3,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 1,254 | $3,000 | thousands by filing date | |
| TERRAPIN 3 ACQUISITION CORP | 88104P112 | *W EXP 06/27/201 | 10,480 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X293 | MSCI MEXCO STRGC | 100 | $3,000 | thousands by filing date | |
| ASCENT SOLAR TECHNOLOGIES IN | 043635309 | COM NEW | 2,758 | $3,000 | thousands by filing date | |
| CHINA GERUI ADV MAT GR LTD | G21101137 | USD NEW ORD SHS ADDED | 1,412 | $3,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G200 | COM | 300 | $3,000 | thousands by filing date | |
| INVENTERGY GLOBAL INC | 46123X102 | Cmn | 3,830 | $3,000 | thousands by filing date | |
| AXION PWR INTL INC | 05460X117 | *W EXP 10/24/201 | 5,170 | $3,000 | thousands by filing date | |
| Sphere 3D Corp. | 84841Q109 | COM | 636 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B763 | ULSHT MC GR NEW | 45 | $3,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 227 | $2,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 100 | $2,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,219 | $2,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 100 | $2,000 | thousands by filing date | call |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 100 | $2,000 | thousands by filing date | call |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 1,967 | $2,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 100 | $2,000 | thousands by filing date | put |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 100 | $2,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 100 | $2,000 | thousands by filing date | call |
| TUTOR PERINI CORP | 901109108 | COM | 100 | $2,000 | thousands by filing date | put |
| CADIZ INC | 127537207 | COM NEW | 200 | $2,000 | thousands by filing date | call |
| OLIN CORP | 680665205 | COM PAR $1 | 100 | $2,000 | thousands by filing date | call |
| GIBRALTAR INDS INC | 374689107 | COM | 129 | $2,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 100 | $2,000 | thousands by filing date | call |
| M/I HOMES INC | 55305B101 | COM | 100 | $2,000 | thousands by filing date | call |
| CALIX INC | 13100M509 | COM | 200 | $2,000 | thousands by filing date | call |
| Matrix Service Company | 576853105 | COM | 100 | $2,000 | thousands by filing date | put |
| LA Z BOY INC | 505336107 | COM | 60 | $2,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 274 | $2,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 100 | $2,000 | thousands by filing date | call |
| LIQUIDITY SVCS INC | 53635B107 | COM | 300 | $2,000 | thousands by filing date | call |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 599 | $2,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 89 | $2,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 632 | $2,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 271 | $2,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| United States Brent Oil Fund L | 91167Q100 | COM | 100 | $2,000 | thousands by filing date | call |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 100 | $2,000 | thousands by filing date | call |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 110 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 3,000 | $2,000 | thousands by filing date | principal |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 579 | $2,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 100 | $2,000 | thousands by filing date | call |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 72 | $2,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 289 | $2,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 1,541 | $2,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 189 | $2,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 350 | $2,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 5,000 | $2,000 | thousands by filing date | principal |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 100 | $2,000 | thousands by filing date | call |
| QLT INC | 746927102 | COMMON STOCK | 505 | $2,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 5,800 | $2,000 | thousands by filing date | call |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 200 | $2,000 | thousands by filing date | put |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 200 | $2,000 | thousands by filing date | call |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 600 | $2,000 | thousands by filing date | call |
| ZION OIL & GAS INC | 989696109 | COM | 1,555 | $2,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 209 | $2,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 100 | $2,000 | thousands by filing date | put |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 1,126 | $2,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 1,200 | $2,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 3,100 | $2,000 | thousands by filing date | call |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 100 | $2,000 | thousands by filing date | put |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 122 | $2,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 100 | $2,000 | thousands by filing date | call |
| TAITRON COMPONENTS INC | 874028103 | CL A | 2,400 | $2,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 100 | $2,000 | thousands by filing date | put |
| Seadrill Partners, LLC | Y7545W109 | LTD | 100 | $2,000 | thousands by filing date | put |
| CRAY INC | 225223304 | COM NEW | 50 | $2,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 600 | $2,000 | thousands by filing date | call |
| BANRO CORP | 066800103 | COM | 18,847 | $2,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 11,000 | $2,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 10,000 | $2,000 | thousands by filing date | call |
| EPIZYME INC | 29428V104 | COM | 100 | $2,000 | thousands by filing date | put |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 500 | $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 | 600 | $2,000 | thousands by filing date | call |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 200 | $2,000 | thousands by filing date | call |
| ASSOCIATED ESTATES RLTY CORP | 045604105 | COM | 100 | $2,000 | thousands by filing date | put |
| SMARTPROS LTD | 83171G103 | COM | 957 | $2,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 100 | $2,000 | thousands by filing date | call |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 500 | $2,000 | thousands by filing date | call |
| WAUSAU PAPER CORP | 943315101 | COM | 165 | $2,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 1,200 | $2,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 400 | $2,000 | thousands by filing date | call |
| HHGREGG INC | 42833L108 | COM | 300 | $2,000 | thousands by filing date | call |
| MEDIVATION INC | 58501NAA9 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 1,000 | $2,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 100 | $2,000 | thousands by filing date | put |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 200 | $2,000 | thousands by filing date | call |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 210 | $2,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 300 | $2,000 | thousands by filing date | call |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 2,100 | $2,000 | thousands by filing date | call |
| DOVER MOTORSPORTS INC | 260174107 | COM | 840 | $2,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 277 | $2,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 600 | $2,000 | thousands by filing date | call |
| PHOTOMEDEX INC | 719358301 | COM | 1,400 | $2,000 | thousands by filing date | call |
| WHITING USA TRUST I | 966389108 | TR U | 1,300 | $2,000 | thousands by filing date | put |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 1,550 | $2,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 200 | $2,000 | thousands by filing date | |
| LEARNING TREE INTERNATIONAL | 522015106 | COM | 912 | $2,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 400 | $2,000 | thousands by filing date | put |
| RCS CAP CORP | 74937W102 | COM CL A | 200 | $2,000 | thousands by filing date | call |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 160 | $2,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 400 | $2,000 | thousands by filing date | call |
| NATUZZI S P A | 63905A101 | ADR | 1,125 | $2,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 2,597 | $2,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 1,900 | $2,000 | thousands by filing date | call |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 166 | $2,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 5,618 | $2,000 | thousands by filing date | |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 4,090 | $2,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 567 | $2,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 1,606 | $2,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 139 | $2,000 | thousands by filing date | |
| ROBERTS REALTY INVS | 769900101 | COM | 2,212 | $2,000 | thousands by filing date | |
| MSB FINANCIAL CORPORATION | 55352P102 | COM | 148 | $2,000 | thousands by filing date | |
| ASTEA INTL INC | 04622E208 | COM | 959 | $2,000 | thousands by filing date | |
| METHES ENERGIES INTL LTD | 591517107 | COM | 1,804 | $2,000 | thousands by filing date | |
| LENTUO INTL INC | 526353107 | SPONSORED ADS | 1,837 | $2,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 1,199 | $2,000 | thousands by filing date | |
| COEUR MNG INC | 192108116 | *W EXP 04/16/201 | 6,198 | $2,000 | thousands by filing date | |
| CHINA METRO-RURAL HLDGS LTD | G3163G104 | SHS | 2,356 | $2,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 1,716 | $2,000 | thousands by filing date | |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 699 | $2,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 700 | $2,000 | thousands by filing date | call |
| CHINA SHENGDA PACKAGING GROU | 16950V107 | COM | 1,714 | $2,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 3,171 | $2,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 984 | $2,000 | thousands by filing date | |
| DB-X FUNDS | 233052307 | XTRAK 2030TGT DT | 74 | $2,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 1,247 | $2,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 840 | $2,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225301 | UNIT 99/99/9999 | 254 | $2,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W200 | ENH US SCP ETF | 51 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-15-002162 | this filing | 2015-02-17 | acceptance time not in the bulk data set |