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 |
|---|---|---|---|---|---|---|
| LIQTECH INTERNATIONAL | 53632a102 | COM | 1,740 | $2,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 254 | $2,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 155 | $2,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 492 | $2,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 402 | $2,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 354 | $2,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R308 | COM NEW | 1,732 | $2,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 100 | $2,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 7,328 | $2,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 179 | $2,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 1,314 | $2,000 | thousands by filing date | |
| EnerJex Resources Inc | 292758406 | COM | 873 | $2,000 | thousands by filing date | |
| SPDR SER TR | 78468R846 | BRCLY HGH YIEL | 80 | $2,000 | thousands by filing date | |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 435 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051796 | XTRACK MSCI MEX | 97 | $2,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 1,109 | $2,000 | thousands by filing date | |
| MOL GLOBAL INC | 60845Q105 | Depository Receipt | 614 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P288 | IPTH SOFTS ETN | 72 | $2,000 | thousands by filing date | |
| Ivanhoe Energy Inc | 465790509 | Common Stock | 3,768 | $2,000 | thousands by filing date | |
| LOOKSMART LTD | 543442602 | COM PAR $0.001 | 2,171 | $2,000 | thousands by filing date | |
| AXION PWR INTL INC | 05460X208 | COM NEW | 2,540 | $2,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 800 | $1,000 | thousands by filing date | put |
| MERCURY SYS INC COM | 589378108 | Stock | 70 | $1,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 115 | $1,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 400 | $1,000 | thousands by filing date | put |
| NEOGENOMICS INC | 64049M209 | COM NEW | 125 | $1,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 18 | $1,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 100 | $1,000 | thousands by filing date | put |
| CODEXIS INC | 192005106 | COM | 500 | $1,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 100 | $1,000 | thousands by filing date | call |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 20 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 519 | $1,000 | thousands by filing date | |
| 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 |
| KOPIN CORP | 500600101 | COMMON STOCK | 300 | $1,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 501 | $1,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 200 | $1,000 | thousands by filing date | call |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 73 | $1,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 335 | $1,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 300 | $1,000 | thousands by filing date | call |
| CORECARD CORPORATION | 45816D100 | COM | 488 | $1,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 200 | $1,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 926 | $1,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 100 | $1,000 | thousands by filing date | put |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 100 | $1,000 | thousands by filing date | put |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 300 | $1,000 | thousands by filing date | put |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 400 | $1,000 | thousands by filing date | call |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 500 | $1,000 | thousands by filing date | call |
| AVANTAX INC | 095229100 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 200 | $1,000 | thousands by filing date | put |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 200 | $1,000 | thousands by filing date | put |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 250 | $1,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 200 | $1,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 500 | $1,000 | thousands by filing date | call |
| AVID TECHNOLOGY INC | 05367P100 | COM | 100 | $1,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 200 | $1,000 | thousands by filing date | put |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 172 | $1,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | call |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 100 | $1,000 | thousands by filing date | call |
| FERRO CORP | 315405100 | COM | 100 | $1,000 | thousands by filing date | call |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 100 | $1,000 | thousands by filing date | call |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 100 | $1,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 150 | $1,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 554 | $1,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 1,500 | $1,000 | thousands by filing date | call |
| MECHEL OAO | 583840103 | SPONSORED ADR | 1,001 | $1,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P203 | COM NEW | 1,430 | $1,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 300 | $1,000 | thousands by filing date | put |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 500 | $1,000 | thousands by filing date | call |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 100 | $1,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 100 | $1,000 | thousands by filing date | put |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 100 | $1,000 | thousands by filing date | call |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 100 | $1,000 | thousands by filing date | put |
| DURECT CORP | 266605104 | COM | 1,800 | $1,000 | thousands by filing date | call |
| SMTC CORP | 832682207 | COM NEW | 384 | $1,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 200 | $1,000 | thousands by filing date | call |
| NEW YORK & CO INC | 649295102 | COM | 460 | $1,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 1,200 | $1,000 | thousands by filing date | put |
| SCHULMAN (A.) INC | 808194104 | COM | 20 | $1,000 | thousands by filing date | |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 100 | $1,000 | thousands by filing date | put |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 100 | $1,000 | thousands by filing date | call |
| Medgenics Inc New | 58436Q203 | COM NEW | 200 | $1,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 911 | $1,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 1,011 | $1,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 1,429 | $1,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 300 | $1,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 200 | $1,000 | thousands by filing date | call |
| SILVER BULL RES INC | 827458100 | COM | 5,757 | $1,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 1,500 | $1,000 | thousands by filing date | call |
| QUICKLOGIC CORP | 74837P108 | COM | 200 | $1,000 | thousands by filing date | put |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 900 | $1,000 | thousands by filing date | call |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 342 | $1,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 2,700 | $1,000 | thousands by filing date | put |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 100 | $1,000 | thousands by filing date | put |
| PHOTOMEDEX INC | 719358301 | COM | 917 | $1,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 100 | $1,000 | thousands by filing date | call |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 1,000 | $1,000 | thousands by filing date | call |
| DDR CORP | 251591AX1 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 100 | $1,000 | thousands by filing date | call |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 100 | $1,000 | thousands by filing date | call |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 399 | $1,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 1,294 | $1,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 4,714 | $1,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 1,558 | $1,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 200 | $1,000 | thousands by filing date | call |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 600 | $1,000 | thousands by filing date | call |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 500 | $1,000 | thousands by filing date | call |
| Timmins Gold Corp | 88741P103 | COM | 550 | $1,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 622 | $1,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 973 | $1,000 | thousands by filing date | |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 147,074 | $1,000 | thousands by filing date | |
| CHINA HOUSING & LAND DEV INC | 16939V103 | COM | 2,284 | $1,000 | thousands by filing date | |
| BLUEPHOENIX SOLUTIONS LTD | M20157117 | SHS NEW | 201 | $1,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 515 | $1,000 | thousands by filing date | |
| QKL STORES INC | 74732Y303 | COM PAR $0.001 | 592 | $1,000 | thousands by filing date | |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 1,568 | $1,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 400 | $1,000 | thousands by filing date | call |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 400 | $1,000 | thousands by filing date | call |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 275 | $1,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 400 | $1,000 | thousands by filing date | |
| DATARAM CORP | 238108302 | COM | 293 | $1,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 500 | $1,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 93 | $1,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 205 | $1,000 | thousands by filing date | |
| FIRST FINL SVC CORP | 32022D108 | COM | 296 | $1,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 350 | $1,000 | thousands by filing date | |
| ACORN INTL INC | 004854105 | SPON ADR | 721 | $1,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 513 | $1,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 881 | $1,000 | thousands by filing date | |
| DAEGIS INC | 233720101 | COM | 1,529 | $1,000 | thousands by filing date | |
| CIS ACQUISITION LTD | G21490118 | *W EXP 99/99/999 | 2,000 | $1,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H126 | *W EXP 02/08/201 | 254 | $1,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H118 | *W EXP 02/08/201 | 100 | $1,000 | thousands by filing date | |
| China Yida Holdings Co | 16945D303 | COM PAR $0.0001 | 373 | $1,000 | thousands by filing date | |
| WEBSTER FINL CORP CONN | 947890117 | *W EXP 11/21/201 | 50 | $1,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 100 | $1,000 | thousands by filing date | put |
| ATOSSA GENETICS INC | 04962H100 | COM | 1,009 | $1,000 | thousands by filing date | |
| S&W SEED CO | 785135120 | *W EXP 05/03/201 | 7,008 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 6 | $1,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 589 | $1,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 105 | $1,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 1,124 | $1,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 1,207 | $1,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 166 | $1,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 1,300 | $1,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 854 | $1,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 387 | $1,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 100 | $1,000 | thousands by filing date | call |
| LOMBARD MED INC | G55598109 | COM | 115 | $1,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 251 | $1,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 335 | $1,000 | thousands by filing date | |
| VBI VACCINES INC CDA | 91790E102 | Stock | 365 | $1,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 28 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 103 | $1,000 | thousands by filing date | |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 6,222 | $1,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 228 | $1,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 174 | $1,000 | thousands by filing date | |
| TROVAGENE INC | 897238200 | UNIT 12/31/2017 | 100 | $1,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326110 | *W EXP 01/31/201 | 915 | $1,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 100 | $1,000 | thousands by filing date | |
| Innocoll | 45780Q103 | SPONDS ADR | 200 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W489 | JP TECH MEDIA | 26 | $1,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 903 | $1,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403102 | Cmn | 1,814 | $1,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V103 | COM | 100 | $1,000 | thousands by filing date | |
| INTERCLOUD SYS INC | 458488111 | *W EXP 08/25/201 | 500 | $1,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y149 | SHS NEW 2014 | 496 | $1,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 3,800 | $1,000 | thousands by filing date | |
| ARMCO METALS HLDGS INC | 042182105 | COM ADDED | 4,000 | $1,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 128 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 236 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGILYSYS INC | 00847J105 | COM | 26 | $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. |
| ENCORE WIRE CORP | 292562105 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 175 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDICINOVA INC | 58468P206 | COM NEW | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTECH SYS INC | 656553104 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 53 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 2,421 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 5,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 1,900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 201 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MECHEL PREF SPON ADR | 583840509 | COM | 1,262 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FONAR CORP | 344437405 | COM NEW | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MECHEL OAO | 583840103 | SPONSORED ADR | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEONODE INC | 64051M402 | COM NEW | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HUDSON GLOBAL INC | 443787106 | COM | 71 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IPASS INC | 46261V108 | COM | 77 | $0 | thousands by filing date | Value 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. |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MEETME INC | 585141104 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CACHE INC | 127150308 | COM | 87 | $0 | thousands by filing date | Value 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. |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 721 | $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. |
| GORDMANS STORES INC | 38269P100 | COM | 129 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| URANIUM RESOURCES INC | 916901606 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 41 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VOLTARI CORP NEW | 92870X309 | COM | 84 | $0 | thousands by filing date | Value 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. |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAFEPRESS INC | 12769A103 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UBS AG JERSEY BRH | 902641661 | S&P500 GLD ETN | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| United Community Bancorp | 90984R101 | Common Stock | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Call - ZION $36.27 Exp 11/14/2018 | 989701131 | Warrants | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STANDARD REGISTER CO | 853887206 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOWL AMER INC BWL | 102565108 | COMMON | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 96 | $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. |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 166 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 66 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 84 | $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 | 357 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NET ELEMENT INTL INC | 64111R102 | CMN | 472 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORMEDIX INC | 21900C118 | *W EXP 03/24/201 | 3,328 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALLEY NATL BANCORP | 919794123 | *W EXP 06/30/201 | 8,965 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OSSEN INNOVATION CO LTD | 688410109 | SPONSORED ADR | 180 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 100 | $0 | thousands by filing date | callValue 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. |
| CHART ACQUISITION CORP | 161151113 | *W EXP 12/19/201 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEWARDSHIP FINL CORP | 860326107 | COM | 76 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| GALECTIN THERAPEUTICS INC | 363225111 | W EXP 03/28/201 | 332 | $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. |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METHES ENERGIES INTL LTD | 591517115 | *W EXP 10/12/201 | 950 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METHES ENERGIES INTL LTD | 591517123 | *W EXP 10/12/201 | 1,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VRINGO INC | 92911N112 | W EXP 06/21/201 | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 7 | $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. |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORIUM INTL INC | 21887L107 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA COML CR INC | 16891K103 | COM | 2,939 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOCEPT INC | 09072V105 | COM | 48 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YUMA ENERGY INC | 98872E108 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LGL GROUP INC WTS EXP 08/06/18 | 50186A116 | NOTE 1.250% 5/1 | 20,546 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KBS FASHION GROUP LTD | Y46002104 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 2,600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DT ASIA INVTS LTD | G2615J112 | RIGHT 03/30/2016 | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GARNERO GROUP ACQUISITION CO | G5866L116 | *W EXP 06/24/201 | 1,900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 1347 CAP CORP | 68245V129 | *W EXP 07/15/202 | 2,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 1347 CAP CORP | 68245V111 | RIGHT 07/21/2016 | 1,250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRAGONWAVE INC | 26144M129 | *W EXP 08/01/201 | 800 | $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 | 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 | 864 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VESTIN REALTY MORTGAGE I INC | 925490203 | COM NEW | 133 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B755 | ULSHRT TELE NEW | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORNERSTONE PROGRESSIVE RTN | 21925C200 | COM NEW | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLASMATECH BIOPHARMACEUTICAL | 72754H109 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CBD ENERGY LTD | Q2145B158 | Cmn | 105 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |