13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2015-06-30, filed 2015-08-14, with 8,518 holding rows worth $150,455,061,000.
- Accession
- 0000950123-15-009205
- Filer
- CIK 1610520
- Filed
- 2015-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A holdings report, 14,890 entries on the cover page, a total value of $150,455,061,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $150,455,131,000 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 |
|---|---|---|---|---|---|---|
| MAGELLAN PETROLEUM CORP | 559091301 | com | 8,965 | $4,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 6,904 | $4,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 400 | $4,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 7,220 | $4,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 10,300 | $4,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 2,000 | $4,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 1,234 | $4,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 2,933 | $4,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 400 | $4,000 | thousands by filing date | call |
| NAVISTAR INTL CORP | 638901306 | PFD | 562 | $4,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 299 | $4,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 60 | $4,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 3,931 | $4,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 539 | $4,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 2,276 | $4,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 11,550 | $4,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 1,754 | $4,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 16,348 | $4,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 219 | $4,000 | thousands by filing date | |
| COLLABRX INC | 19422J108 | COM | 6,140 | $4,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 3,659 | $4,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 5,839 | $4,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 100 | $4,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 403 | $4,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D787 | VIX MID TERM | 230 | $4,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,202 | $4,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 164 | $4,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 764 | $4,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 15,629 | $4,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 1,890 | $4,000 | thousands by filing date | |
| NEW SOURCE ENERGY PARTNERS L | 64881E109 | CMN | 1,000 | $4,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 3,585 | $4,000 | thousands by filing date | |
| GLOBAL TECH ADVANCED INNOVAT | G39320117 | SHS NEW | 1,322 | $4,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 633 | $4,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 198 | $4,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 2,215 | $4,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 202 | $4,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 3,675 | $4,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 149 | $4,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 296 | $4,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 1,514 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B730 | ULSHRT TECH NEW | 76 | $4,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 2,800 | $4,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 125 | $4,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 1,427 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K737 | OIL GAS BLL 3X | 113 | $4,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E108 | COM | 6,954 | $4,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 2,522 | $4,000 | thousands by filing date | |
| NEPHROGENEX INC | 640667101 | Cmn | 591 | $4,000 | thousands by filing date | |
| IKANOS COMMUNICATIONS INC | 45173E204 | COM NEW | 1,917 | $4,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 100 | $3,000 | thousands by filing date | put |
| ZIONS BANCORPORATION | 989701107 | COM | 100 | $3,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 2,200 | $3,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 100 | $3,000 | thousands by filing date | call |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 100 | $3,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 64 | $3,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 86 | $3,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 100 | $3,000 | thousands by filing date | put |
| IROBOT CORP | 462726100 | COM | 100 | $3,000 | thousands by filing date | call |
| OFG BANCORP | 67103X102 | COM | 317 | $3,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 1,046 | $3,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 157 | $3,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 773 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 116 | $3,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 169 | $3,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 700 | $3,000 | thousands by filing date | put |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 144 | $3,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 842 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 129 | $3,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 100 | $3,000 | thousands by filing date | call |
| RENN FD INC | 759720105 | COM | 2,666 | $3,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 387 | $3,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 562 | $3,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 100 | $3,000 | thousands by filing date | call |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 1,300 | $3,000 | thousands by filing date | call |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 2,500 | $3,000 | thousands by filing date | call |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 200 | $3,000 | thousands by filing date | call |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 300 | $3,000 | thousands by filing date | put |
| NOVAVAX INC | 670002104 | COMMON STOCK | 300 | $3,000 | thousands by filing date | put |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 355 | $3,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 309 | $3,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 150 | $3,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 600 | $3,000 | thousands by filing date | call |
| SONIC CORP | 835451105 | COM | 100 | $3,000 | thousands by filing date | call |
| CIBER INC | 17163B102 | COM | 770 | $3,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 1,301 | $3,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 1,042 | $3,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 200 | $3,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 900 | $3,000 | thousands by filing date | call |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 200,000 | $3,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 6,675 | $3,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 1,200 | $3,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 153 | $3,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 300 | $3,000 | thousands by filing date | call |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 776 | $3,000 | thousands by filing date | |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 2,500 | $3,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 2,974 | $3,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 3,781 | $3,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 6,375 | $3,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 2,250 | $3,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 100 | $3,000 | thousands by filing date | call |
| SYNACOR INC | 871561106 | COM | 2,081 | $3,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 177 | $3,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 834 | $3,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 928 | $3,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 659 | $3,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 803 | $3,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 1,200 | $3,000 | thousands by filing date | call |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 1,047 | $3,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 943 | $3,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 67 | $3,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 3,582 | $3,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 7,013 | $3,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 310 | $3,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 4,000 | $3,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D456 | BACK ETN LK IDX | 222 | $3,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 1,615 | $3,000 | thousands by filing date | |
| ISHARES TR | 46429B226 | INDUSTRIAL SCT | 65 | $3,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 500 | $3,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 1,850 | $3,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 1,412 | $3,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 215 | $3,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 5,000 | $3,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 2,353 | $3,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 1,187 | $3,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 944 | $3,000 | thousands by filing date | |
| ACORN INTL INC | 004854105 | SPON ADR | 1,591 | $3,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 837 | $3,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 1,885 | $3,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 2,819 | $3,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 3,275 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H453 | FUND | 100 | $3,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 350 | $3,000 | thousands by filing date | |
| CHIPOTLE MEXICAN GRILL INC | 73937B738 | COM | 53 | $3,000 | thousands by filing date | |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 2,223 | $3,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 324 | $3,000 | thousands by filing date | |
| AVOLON HLDGS LTD | G52237107 | COM | 150 | $3,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 900 | $3,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 457 | $3,000 | thousands by filing date | |
| OI SA-ADR | 670851401 | Com | 1,631 | $3,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 677 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 109 | $3,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 1,000 | $3,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 171 | $3,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 1,264 | $3,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 5,000 | $3,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E120 | *W EXP 02/28/202 | 1,531 | $3,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 616 | $3,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 2,000 | $3,000 | thousands by filing date | principal |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 745 | $3,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 1,359 | $3,000 | thousands by filing date | |
| SPDR MSCI SOUTH KOREA STRATEGICFACTORS ETF | 78463X277 | ETF | 119 | $3,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V209 | COM | 2,304 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y608 | GURU ACTS ETF | 203 | $3,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 483 | $3,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 1,562 | $3,000 | thousands by filing date | |
| MODSYS INTL LTD | M70378100 | SHS | 1,600 | $3,000 | thousands by filing date | |
| Capnia, Inc. | 14066L105 | Common | 1,184 | $3,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 1,130 | $3,000 | thousands by filing date | |
| CIVEO CORP | 178787107 | COM | 1,000 | $3,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W489 | JP TECH MEDIA | 109 | $3,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 167 | $3,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605116 | Cmn | 1,971 | $3,000 | thousands by filing date | |
| TERRAPIN 3 ACQUISITION CORP | 88104P203 | UNIT 06/27/2019 | 250 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P288 | IPTH SOFTS ETN | 129 | $3,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A408 | *W EXP 03/26/201 | 19,936 | $3,000 | thousands by filing date | |
| LOOKSMART LTD | 543442602 | COM PAR $0.001 | 4,885 | $3,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 123 | $2,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 100 | $2,000 | thousands by filing date | call |
| RADIAN GROUP INC COM | 750236101 | Stock | 100 | $2,000 | thousands by filing date | call |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 265 | $2,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 1,998 | $2,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 100 | $2,000 | thousands by filing date | call |
| BEL FUSE INC | 077347300 | CL B | 104 | $2,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 64 | $2,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 230 | $2,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 100 | $2,000 | thousands by filing date | call |
| COSAN LTD | G25343107 | SHS A | 404 | $2,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 100 | $2,000 | thousands by filing date | call |
| ARDELYX INC | 039697107 | COM | 100 | $2,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 146 | $2,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 282 | $2,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 673 | $2,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 166 | $2,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 254 | $2,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 583 | $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 |
| TECOGEN INC NEW | 87876P201 | COM NEW | 433 | $2,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 200 | $2,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 610 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 66 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 100 | $2,000 | thousands by filing date | call |
| BIRKS GROUP INC | 09088U109 | CL A COM | 1,387 | $2,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 352 | $2,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 5,401 | $2,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 1,600 | $2,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 2,170 | $2,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 505 | $2,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 3,100 | $2,000 | thousands by filing date | put |
| AH BELO CORP | 001282102 | COMMON STOCK | 320 | $2,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 100 | $2,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 1,200 | $2,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 74 | $2,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 100 | $2,000 | thousands by filing date | put |
| EPIZYME INC | 29428V104 | COM | 100 | $2,000 | thousands by filing date | put |
| P & F INDS INC | 692830508 | CL A NEW | 200 | $2,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 900 | $2,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 800 | $2,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 1,000 | $2,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 2,800 | $2,000 | thousands by filing date | call |
| AMYRIS INC | 03236M101 | COM | 1,000 | $2,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 945 | $2,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 961 | $2,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 500 | $2,000 | thousands by filing date | put |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 200 | $2,000 | thousands by filing date | put |
| SUPERVALU INC | 868536103 | COM | 300 | $2,000 | thousands by filing date | call |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 758 | $2,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 3,495 | $2,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 284 | $2,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 1,200 | $2,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 800 | $2,000 | thousands by filing date | put |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 100 | $2,000 | thousands by filing date | call |
| HHGREGG INC | 42833L108 | COM | 563 | $2,000 | thousands by filing date | |
| MEDIVATION INC | 58501NAA9 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 1,725 | $2,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 11,000 | $2,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 500 | $2,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 1,000 | $2,000 | thousands by filing date | call |
| SUPPORT COM INC | 86858W101 | COM | 1,494 | $2,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 340 | $2,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 1,000 | $2,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 100 | $2,000 | thousands by filing date | call |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 3,018 | $2,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 98 | $2,000 | thousands by filing date | |
| DDR CORP | 251591AX1 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| BEBE STORES INC | 075571109 | COM | 1,000 | $2,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 10,688 | $2,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 1,329 | $2,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 250 | $2,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 252 | $2,000 | thousands by filing date | |
| COMSTOCK HOLDING COMPANIES | 205684103 | CL A | 2,708 | $2,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 893 | $2,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 5,000 | $2,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 1,678 | $2,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 963 | $2,000 | thousands by filing date | |
| China Recycling Energy Corp | 168913101 | Com | 2,127 | $2,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 1,000 | $2,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 1,265 | $2,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 2,944 | $2,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 500 | $2,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 524 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 100 | $2,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 38 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 200 | $2,000 | thousands by filing date | call |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 5,932 | $2,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 77 | $2,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 1,207 | $2,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 2,000 | $2,000 | thousands by filing date | principal |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 5,512 | $2,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 1,138 | $2,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 5,539 | $2,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 100 | $2,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 910 | $2,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 2,389 | $2,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 315 | $2,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 3,565 | $2,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 1,272 | $2,000 | thousands by filing date | |
| COEUR MNG INC | 192108116 | *W EXP 04/16/201 | 7,485 | $2,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 637 | $2,000 | thousands by filing date | |
| CHINA METRO-RURAL HLDGS LTD | G3163G104 | SHS | 1,603 | $2,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H126 | *W EXP 02/08/201 | 354 | $2,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 703 | $2,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 759 | $2,000 | thousands by filing date | |
| OPTIMUMBANK HOLDINGS INC | 68401P304 | COM PAR $0.01 | 2,174 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L527 | 30 YR TREAS BULL | 21 | $2,000 | thousands by filing date | |
| TIANYIN PHARMACEUTICAL CO IN | 88630M104 | COM | 4,999 | $2,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 1,401 | $2,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 972 | $2,000 | thousands by filing date | |
| ANDATEE CHINA MARINE FUEL SV | 67086W105 | COM | 3,248 | $2,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 500 | $2,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 200 | $2,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 100 | $2,000 | thousands by filing date | put |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 742 | $2,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 143 | $2,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 49 | $2,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 768 | $2,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 1,049 | $2,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 1,184 | $2,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 191 | $2,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 90 | $2,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 150 | $2,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 900 | $2,000 | thousands by filing date | call |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 300 | $2,000 | thousands by filing date | put |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 2,210 | $2,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 1,000 | $2,000 | thousands by filing date | principal |
| VAPOR CORP NEV COM NEW | 922099205 | US SMALL AND MID-CAP EQUITIES | 5,432 | $2,000 | thousands by filing date | |
| OPGEN INC | 68373L117 | *W EXP 05/05/202 | 3,550 | $2,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 2,000 | $2,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002104 | COM | 759 | $2,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V202 | UNIT 07/18/2016 | 200 | $2,000 | thousands by filing date | |
| C B PHARMA ACQUISITION CORP | G2029P100 | UNIT 12/17/2021 | 210 | $2,000 | thousands by filing date | |
| GREAT BASIN SCIENTIFIC INC | 39013L106 | COM | 842 | $2,000 | thousands by filing date | |
| COMPASS EMP FDS TR | 20452Y783 | 100 ENH VOLA ETF | 65 | $2,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326128 | WRT | 3,417 | $2,000 | thousands by filing date | |
| NEUROMETRIX EQUITY WARRANTS | 641255138 | *W | 9,600 | $2,000 | thousands by filing date | |
| CELSUS THERAPEUTICS PLC | 15119A202 | COM | 3,350 | $2,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 50 | $1,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 400 | $1,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 3,000 | $1,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 200 | $1,000 | thousands by filing date | call |
| SHOE STA GROUP INC | 824889109 | COM | 30 | $1,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 100 | $1,000 | thousands by filing date | put |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | call |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 100 | $1,000 | thousands by filing date | call |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 4,145 | $1,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 99 | $1,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 5,424 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 176 | $1,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 531 | $1,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 100 | $1,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 74 | $1,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 15 | $1,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 62 | $1,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 100 | $1,000 | thousands by filing date | put |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 1,100 | $1,000 | thousands by filing date | call |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| LUNA INNOVATIONS INC | 550351100 | COM | 1,552 | $1,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 5,000 | $1,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 163 | $1,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 93 | $1,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 200 | $1,000 | thousands by filing date | call |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 56 | $1,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 19 | $1,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 2,267 | $1,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 176 | $1,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 500 | $1,000 | thousands by filing date | put |
| FXCM INC | 302693106 | COM | 500 | $1,000 | thousands by filing date | call |
| COUNTERPATH CORP | 22228P203 | COM NEW | 1,622 | $1,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 800 | $1,000 | thousands by filing date | put |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 100 | $1,000 | thousands by filing date | call |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 100 | $1,000 | thousands by filing date | call |
| STANDARD PAC CORP NEW | 85375C101 | COM | 100 | $1,000 | thousands by filing date | put |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 1,000 | $1,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 200 | $1,000 | thousands by filing date | call |
| ANADIGICS INC | 032515108 | COM | 1,865 | $1,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 32 | $1,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 1,000 | $1,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 300 | $1,000 | thousands by filing date | put |
| VANGUARD | 92205F106 | Domestic Common | 100 | $1,000 | thousands by filing date | call |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| MOSYS INC COM | 619718109 | COM | 694 | $1,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 102 | $1,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 141 | $1,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 645 | $1,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 1,500 | $1,000 | thousands by filing date | call |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 514 | $1,000 | thousands by filing date | |
| LOCAL CORP | 53954W104 | COM | 10,781 | $1,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 509 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 1,683 | $1,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 60 | $1,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 1,000 | $1,000 | thousands by filing date | put |
| PLANET PAYMENT INC | U72603118 | SHS | 437 | $1,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 600 | $1,000 | thousands by filing date | put |
| BALLANTYNE STRONG INC | 058516105 | COM | 250 | $1,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 21 | $1,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 239 | $1,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 1,000 | $1,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 239 | $1,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 112 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 39 | $1,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 580 | $1,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 1,085 | $1,000 | thousands by filing date | |
| Call - ZION $36.27 Exp 11/14/2018 | 989701131 | Warrants | 202 | $1,000 | thousands by filing date | |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 1,868 | $1,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 368 | $1,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 100 | $1,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 913 | $1,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 70 | $1,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 384 | $1,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 301 | $1,000 | thousands by filing date | |
| QC HLDGS INC | 74729T101 | COM | 782 | $1,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 1,460 | $1,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 462 | $1,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 301 | $1,000 | thousands by filing date | |
| TOR MINERALS INTL INC | 890878309 | COM NEW | 85 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P262 | IPTH AGRIC ETN | 24 | $1,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H118 | *W EXP 02/08/201 | 100 | $1,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 1,351 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 82 | $1,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 1,159 | $1,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 58 | $1,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 289 | $1,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F102 | SHS | 800 | $1,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225301 | UNIT 99/99/9999 | 253 | $1,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760129 | SHS | 1,353 | $1,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 1,300 | $1,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 41 | $1,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 783 | $1,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 100 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 83 | $1,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 274 | $1,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| CINEDIGM CORP COM | 172406100 | COM | 2,000 | $1,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 403 | $1,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 402 | $1,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 8,591 | $1,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 266 | $1,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 1,000 | $1,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 957 | $1,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 1,000 | $1,000 | thousands by filing date | principal |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 1,000 | $1,000 | thousands by filing date | principal |
| EnerJex Resources Inc | 292758406 | COM | 932 | $1,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 500 | $1,000 | thousands by filing date | put |
| Medovex Corp | 58504H101 | COM | 232 | $1,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 541 | $1,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150112 | *W EXP 12/05/201 | 100 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P312 | IPTH ENRGY ETN | 20 | $1,000 | thousands by filing date | |
| TCP International Holdings Ltd | H84689100 | COMMON | 325 | $1,000 | thousands by filing date | |
| MEDOVEX CORP | 58504H119 | *W EXP 12/24/201 | 1,852 | $1,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 367 | $1,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T129 | *W EXP 04/13/201 | 8,252 | $1,000 | thousands by filing date | |
| SUTOR TECH GROUP LTD | 869362202 | Cmn | 416 | $1,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740100 | COM | 100 | $1,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P116 | *W EXP 01/21/202 | 1,982 | $1,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 274 | $1,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J112 | RIGHT 03/30/2016 | 2,800 | $1,000 | thousands by filing date | |
| INTERCLOUD SYS INC | 458488111 | *W EXP 08/25/201 | 474 | $1,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D112 | WARRANT | 1,050 | $1,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 2,800 | $1,000 | thousands by filing date | |
| SINO MERCURY ACQUISITION COR | 82936K110 | RIGHT 08/26/2016 | 1,600 | $1,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC NEW | 86852R108 | COM | 316 | $1,000 | thousands by filing date | |
| AXION PWR INTL INC | 05460X117 | *W EXP 10/24/201 | 25,503 | $1,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 43 | $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. |
| LENDINGTREE INC | 52603B107 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 663 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERICEL CORP | 92346J108 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LANTRONIX INC | 516548203 | COMMON STOCK | 82 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 270 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 290 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Jason Industries Inc | 471172106 | COMMON STOCK | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREAT PANTHER MINING | 39115V101 | COM | 1,000 | $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. |
| Walter Energy Inc | 93317Q105 | COM | 1,300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MECHEL OAO | 583840103 | SPONSORED ADR | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SEACHANGE INTL INC | 811699107 | COM | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMSTOCK RESOURCES INC | 205768203 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| FXCM INC | 302693106 | COM | 320 | $0 | thousands by filing date | Value 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. |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 1,000 | $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. |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 116 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 1 | $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. |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FX ENERGY INC | 302695101 | COM | 300 | $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. |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 19 | $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. |
| CAPE BANCORP INC | 139209100 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATUZZI S P A | 63905A101 | ADR | 231 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LONDON BRH | 25154N522 | DB 3X LONG UST | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GEEKNET INC | 36846Q203 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 22 | $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. |
| NET ELEMENT INTL INC | 64111R102 | CMN | 884 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 195 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALLEY NATL BANCORP | 919794123 | *W EXP 06/30/201 | 1,692 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DAEGIS INC | 233720101 | COM | 286 | $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. |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SINOCOKING COAL & COKE CH IN | 829357102 | COM | 282 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METHES ENERGIES INTL LTD | 591517123 | *W EXP 10/12/201 | 1,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 136 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IDREAMSKY TECHNOLOGY LIMITED | 45173K101 | SPONSORED ADS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RESONANT INC | 76118L102 | COM | 88 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 128 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 214 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARMONY MERGER CORP | 413247123 | *W EXP 01/01/202 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-15-009205 | this filing | 2015-08-14 | acceptance time not in the bulk data set |