13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-13, with 8,481 holding rows worth $141,241,546,000.
- Accession
- 0000950123-15-011853
- Filer
- CIK 1610520
- Filed
- 2015-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 14,899 entries on the cover page, a total value of $141,241,546,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $141,241,616,000 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 |
|---|---|---|---|---|---|---|
| Onconova Therapeutics | 68232V108 | Common | 11,031 | $15,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 4,560 | $15,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N208 | Cmn | 3,683 | $15,000 | thousands by filing date | |
| GREAT BASIN SCIENTIFIC INC | 39013L106 | COM | 143,618 | $15,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 100 | $14,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 200 | $14,000 | thousands by filing date | put |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 300 | $14,000 | thousands by filing date | put |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 100 | $14,000 | thousands by filing date | put |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 500 | $14,000 | thousands by filing date | call |
| EXTREME NETWORKS INC | 30226D106 | COM | 4,050 | $14,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 500 | $14,000 | thousands by filing date | put |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 500 | $14,000 | thousands by filing date | call |
| LHC GROUP | 50187A107 | COM | 316 | $14,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 700 | $14,000 | thousands by filing date | call |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 3,075 | $14,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 1,621 | $14,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 2,298 | $14,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 2,565 | $14,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 2,356 | $14,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 600 | $14,000 | thousands by filing date | put |
| CA INC COM | 12673P105 | COM | 500 | $14,000 | thousands by filing date | put |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 559 | $14,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,256 | $14,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 4,499 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 234 | $14,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 7,900 | $14,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 2,000 | $14,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 1,429 | $14,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 4,023 | $14,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 800 | $14,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 46,422 | $14,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 2,348 | $14,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 16,900 | $14,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 2,042 | $14,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 1,300 | $14,000 | thousands by filing date | call |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 5,700 | $14,000 | thousands by filing date | put |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 5,040 | $14,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 35,000 | $14,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 592 | $14,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 29,364 | $14,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 500 | $14,000 | thousands by filing date | put |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 500 | $14,000 | thousands by filing date | call |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 2,207 | $14,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 4,111 | $14,000 | thousands by filing date | |
| AMERICAN INDEPENDENCE CORP | 026760405 | COM | 1,388 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 1,115 | $14,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 1,290 | $14,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 3,582 | $14,000 | thousands by filing date | |
| PROSHARES ULT MSCI PAC X-JPN | 74347X534 | CMN | 557 | $14,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 1,008 | $14,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 2,403 | $14,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 740 | $14,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 2,402 | $14,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 4,001 | $14,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 3,817 | $14,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 776 | $14,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 1,500 | $14,000 | thousands by filing date | |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 1,165 | $14,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 8,171 | $14,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 3,188 | $14,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 100 | $13,000 | thousands by filing date | put |
| OMNICOM GROUP INC COM | 681919106 | Stock | 200 | $13,000 | thousands by filing date | put |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 100 | $13,000 | thousands by filing date | call |
| VERACYTE INC COM | 92337F107 | Stock | 2,858 | $13,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 500 | $13,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,357 | $13,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 515 | $13,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 3,390 | $13,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 693 | $13,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 700 | $13,000 | thousands by filing date | call |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 300 | $13,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 1,115 | $13,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 1,390 | $13,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 1,289 | $13,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 3,585 | $13,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,650 | $13,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 800 | $13,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,291 | $13,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,237 | $13,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 600 | $13,000 | thousands by filing date | call |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 100 | $13,000 | thousands by filing date | put |
| GROUPON INC | 399473107 | COMMON STOCK | 4,000 | $13,000 | thousands by filing date | put |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 127,000 | $13,000 | thousands by filing date | principal |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 300 | $13,000 | thousands by filing date | call |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 1,298 | $13,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 800 | $13,000 | thousands by filing date | put |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 800 | $13,000 | thousands by filing date | call |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 1,334 | $13,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 900 | $13,000 | thousands by filing date | call |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 300 | $13,000 | thousands by filing date | |
| HOMEAWAY INC | 43739Q100 | COM | 500 | $13,000 | thousands by filing date | put |
| SWIFT ENERGY CO | 870738101 | COM | 35,483 | $13,000 | thousands by filing date | |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 500 | $13,000 | thousands by filing date | call |
| KEY ENERGY SVCS INC | 492914106 | COM | 27,500 | $13,000 | thousands by filing date | put |
| KEY ENERGY SVCS INC | 492914106 | COM | 27,500 | $13,000 | thousands by filing date | call |
| BLOUNT INTL INC NEW | 095180105 | COM | 2,222 | $13,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 283 | $13,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 2,148 | $13,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 1,853 | $13,000 | thousands by filing date | |
| INTELSAT S A | L5140P119 | MAN CONV JR PFD | 707 | $13,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 977 | $13,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 389 | $13,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 3,442 | $13,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 10,000 | $13,000 | thousands by filing date | principal |
| REALNETWORKS INC | 75605L708 | COM | 3,153 | $13,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 1,870 | $13,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 5,264 | $13,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,619 | $13,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 13,000 | $13,000 | thousands by filing date | principal |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 1,314 | $13,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 1,941 | $13,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 43,144 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 600 | $13,000 | thousands by filing date | |
| MADISON COUNTY FINANCIAL INC | 556777100 | COM | 642 | $13,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 600 | $13,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 4,099 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 523 | $13,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 3,317 | $13,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 2,744 | $13,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 3,502 | $13,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 1,540 | $13,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 25,198 | $13,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 22,464 | $13,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 1,338 | $13,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 3,669 | $13,000 | thousands by filing date | |
| CHINA COML CR INC | 16891K103 | COM | 21,081 | $13,000 | thousands by filing date | |
| NXT ID INC COM | 67091J107 | Stock | 13,542 | $13,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 1,199 | $13,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195108 | UNIT 99/99/9999 | 1,298 | $13,000 | thousands by filing date | |
| Innocoll | 45780Q103 | SPONDS ADR | 1,029 | $13,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 1,379 | $13,000 | thousands by filing date | |
| CVSL INC | 12665T206 | Cmn | 7,640 | $13,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 2,928 | $13,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 100 | $12,000 | thousands by filing date | put |
| MOSAIC CO COM | 61945C103 | Stock | 400 | $12,000 | thousands by filing date | call |
| GEOPARK LTD USD SHS | G38327105 | Stock | 4,000 | $12,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 259 | $12,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 2,000 | $12,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 1,600 | $12,000 | thousands by filing date | put |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 436 | $12,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 518 | $12,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,458 | $12,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,170 | $12,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 381 | $12,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 8,550 | $12,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 6,105 | $12,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 763 | $12,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 398 | $12,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 1,602 | $12,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 200 | $12,000 | thousands by filing date | put |
| RANDGOLD RES LTD | 752344309 | ADR | 200 | $12,000 | thousands by filing date | call |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 8,363 | $12,000 | thousands by filing date | |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 871 | $12,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 600 | $12,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 978 | $12,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 5,635 | $12,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,281 | $12,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 5,855 | $12,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 22,500 | $12,000 | thousands by filing date | put |
| HARTE-HANKS INC | 416196103 | COM | 3,371 | $12,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 2,515 | $12,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 4,536 | $12,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 8,000 | $12,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 700 | $12,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 6,500 | $12,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 5,428 | $12,000 | thousands by filing date | |
| ANACOR PHARMACEUTICALS INC | 032420101 | COM | 100 | $12,000 | thousands by filing date | put |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 300 | $12,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 6,605 | $12,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 756 | $12,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 3,515 | $12,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,517 | $12,000 | thousands by filing date | |
| PSB HLDGS INC | 69360W108 | COM | 1,295 | $12,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 100 | $12,000 | thousands by filing date | call |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 1,084 | $12,000 | thousands by filing date | |
| UBIC INC | 90346V105 | SPONSORED ADR | 1,052 | $12,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 2,480 | $12,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,253 | $12,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 1,655 | $12,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 7,239 | $12,000 | thousands by filing date | |
| TIMBERLINE RES CORP COM NEW | 887133205 | Equities | 26,285 | $12,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,826 | $12,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 7,073 | $12,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 1,235 | $12,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 5,073 | $12,000 | thousands by filing date | |
| JM GLOBAL HLDG CO | 46590H200 | UNIT 99/99/9999 | 1,265 | $12,000 | thousands by filing date | |
| WOWO LTD | 98212L101 | SPONSORED ADR | 1,949 | $12,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 8,501 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B656 | ULT HOMEBUILDS | 660 | $12,000 | thousands by filing date | |
| FX ENERGY INC | 302695309 | 9.25% PFD SER B | 889 | $12,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 9,205 | $11,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 100 | $11,000 | thousands by filing date | call |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 474 | $11,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 400 | $11,000 | thousands by filing date | call |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 500 | $11,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 6,100 | $11,000 | thousands by filing date | put |
| LIVEPERSON, INC. | 538146101 | COM | 1,384 | $11,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,289 | $11,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 500 | $11,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 730 | $11,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 749 | $11,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,135 | $11,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 4,522 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 881 | $11,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,860 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 953 | $11,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 772 | $11,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 10,628 | $11,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 1,678 | $11,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 585 | $11,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 9,261 | $11,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,332 | $11,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 27,221 | $11,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 6,000 | $11,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 3,000 | $11,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 500 | $11,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 5,791 | $11,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 300 | $11,000 | thousands by filing date | call |
| INVENTURE FOODS INC | 461212102 | COM | 1,248 | $11,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 5,848 | $11,000 | thousands by filing date | |
| CORPBANCA | 21987A209 | SPONSORED ADR | 854 | $11,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 1,358 | $11,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 999 | $11,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 5,153 | $11,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 3,529 | $11,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 3,196 | $11,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 62,415 | $11,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 8,460 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y488 | DLY SC BEAR3XNEW | 800 | $11,000 | thousands by filing date | call |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 2,062 | $11,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 4,004 | $11,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 18,517 | $11,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641661 | S&P500 GLD ETN | 241 | $11,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H459 | PS CMDT LG ETN | 1,197 | $11,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 7,815 | $11,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 2,699 | $11,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,893 | $11,000 | thousands by filing date | |
| CSX CORP | 126408GA5 | US DOMESTIC | 4,000 | $11,000 | thousands by filing date | principal |
| ATOSSA GENETICS INC | 04962H100 | COM | 14,443 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P122 | IPTH S&P GSCI | 490 | $11,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 300 | $11,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 790 | $11,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,442 | $11,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 5,919 | $11,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 2,782 | $11,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 3,964 | $11,000 | thousands by filing date | |
| LDR HLDG CORP | 50185U105 | COM | 340 | $11,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 1,651 | $11,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 1,541 | $11,000 | thousands by filing date | |
| VESTIN RLTY MTG II INC | 92549X300 | COM PAR | 3,454 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K752 | Cmn | 663 | $11,000 | thousands by filing date | |
| GARNERO GROUP ACQUISITION CO | G5866L108 | SHS | 1,100 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q551 | ENH PUT WR ETF | 476 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A277 | ULTRA JR MINER | 1,200 | $11,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 100 | $10,000 | thousands by filing date | call |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 900 | $10,000 | thousands by filing date | call |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 100 | $10,000 | thousands by filing date | put |
| NOVA LTD COM | M7516K103 | Stock | 982 | $10,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 500 | $10,000 | thousands by filing date | put |
| MODINE MFG CO COM | 607828100 | Stock | 1,300 | $10,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 4,600 | $10,000 | thousands by filing date | call |
| ANGIODYNAMICS INC | 03475V101 | COM | 769 | $10,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 986 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 511 | $10,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 809 | $10,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 6,649 | $10,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 1,258 | $10,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 5,709 | $10,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 4,649 | $10,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 1,900 | $10,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 514 | $10,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 100 | $10,000 | thousands by filing date | call |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 4,999 | $10,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 1,428 | $10,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 100 | $10,000 | thousands by filing date | call |
| Zagg, Inc. | 98884U108 | COM | 1,400 | $10,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 4,579 | $10,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 400 | $10,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 1,200 | $10,000 | thousands by filing date | |
| RACKSPACE HOSTING INC | 750086100 | COM | 400 | $10,000 | thousands by filing date | put |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 500 | $10,000 | thousands by filing date | call |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 7,600 | $10,000 | thousands by filing date | put |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 1,546 | $10,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 4,200 | $10,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 1,566 | $10,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 1,706 | $10,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 500 | $10,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 2,784 | $10,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,572 | $10,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 783 | $10,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 300 | $10,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 361 | $10,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 7,398 | $10,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 5,595 | $10,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 30,000 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 382 | $10,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 1,353 | $10,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 165 | $10,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 7,050 | $10,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 1,761 | $10,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 19,445 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H453 | FUND | 350 | $10,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 9,938 | $10,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 14,267 | $10,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 1,589 | $10,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 1,000 | $10,000 | thousands by filing date | |
| CYREN LTD | M26895108 | SHS | 5,824 | $10,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 2,915 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 440 | $10,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 740 | $10,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 2,099 | $10,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 2,793 | $10,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 3,386 | $10,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 948 | $10,000 | thousands by filing date | |
| HANSEN MEDICAL INC COM NEW | 411307200 | Stock | 2,627 | $10,000 | thousands by filing date | |
| GARNERO GROUP ACQUISITION CO | G5866L124 | UNIT 06/25/2016 | 990 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R585 | RUSSIA SMALLCP | 561 | $10,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 379 | $9,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 100 | $9,000 | thousands by filing date | put |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,335 | $9,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 600 | $9,000 | thousands by filing date | put |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 100 | $9,000 | thousands by filing date | put |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 500 | $9,000 | thousands by filing date | put |
| ATI INC COM | 01741R102 | Stock | 600 | $9,000 | thousands by filing date | call |
| CITY OFFICE REIT INC | 178587101 | COM | 809 | $9,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 775 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 500 | $9,000 | thousands by filing date | put |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 4,159 | $9,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 900 | $9,000 | thousands by filing date | call |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 3,139 | $9,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 700 | $9,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 1,589 | $9,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 705 | $9,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 200 | $9,000 | thousands by filing date | call |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,187 | $9,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,300 | $9,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 4,839 | $9,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,041 | $9,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 4,743 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 247 | $9,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,090 | $9,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 400 | $9,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,906 | $9,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 52,019 | $9,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 1,300 | $9,000 | thousands by filing date | call |
| FONAR CORP | 344437405 | COM NEW | 708 | $9,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 260 | $9,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 1,200 | $9,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 1,000 | $9,000 | thousands by filing date | put |
| CUMULUS MEDIA INC | 231082108 | CL A | 13,300 | $9,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 700 | $9,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 100 | $9,000 | thousands by filing date | put |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 100 | $9,000 | thousands by filing date | call |
| SOLAZYME INC | 83415T101 | COM | 3,600 | $9,000 | thousands by filing date | put |
| SPAN AMER MED SYS INC | 846396109 | COM | 500 | $9,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 1,300 | $9,000 | thousands by filing date | put |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 28,242 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 400 | $9,000 | thousands by filing date | call |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 7,000 | $9,000 | thousands by filing date | principal |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 10,747 | $9,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 1,179 | $9,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 7,852 | $9,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 49,188 | $9,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 9,814 | $9,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 900 | $9,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 1,710 | $9,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 5,947 | $9,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 49,570 | $9,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 15,153 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 179 | $9,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 309 | $9,000 | thousands by filing date | |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 3,060 | $9,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 3,505 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 60 | $9,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 495 | $9,000 | thousands by filing date | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 2,296 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B720 | KBW INS PORT | 137 | $9,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 5,689 | $9,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 880 | $9,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 2,222 | $9,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 5,056 | $9,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 7,202 | $9,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 8,103 | $9,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,500 | $9,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 246 | $9,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 2,319 | $9,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 8,032 | $9,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 1,292 | $9,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 328 | $9,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 2,511 | $9,000 | thousands by filing date | |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 3,306 | $9,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 4,386 | $9,000 | thousands by filing date | |
| NORTHSTAR REIT | 66704R704 | Common Stock | 700 | $9,000 | thousands by filing date | put |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 2,980 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P312 | IPTH ENRGY ETN | 486 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A867 | MASTER INC ETF | 548 | $9,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002104 | COM | 1,800 | $9,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 24,472 | $9,000 | thousands by filing date | |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q106 | COM | 900 | $9,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 1,922 | $8,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 300 | $8,000 | thousands by filing date | put |
| ZOETIS INC CL A | 98978V103 | Stock | 200 | $8,000 | thousands by filing date | put |
| PENUMBRA INC COM | 70975L107 | Stock | 200 | $8,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 200 | $8,000 | thousands by filing date | put |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 100 | $8,000 | thousands by filing date | call |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 100 | $8,000 | thousands by filing date | call |
| BANCORP INC DEL | 05969A105 | COM | 1,100 | $8,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 200 | $8,000 | thousands by filing date | put |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 1,408 | $8,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 3,400 | $8,000 | thousands by filing date | call |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 4,500 | $8,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 300 | $8,000 | thousands by filing date | put |
| RADIANT LOGISTICS INC | 75025X100 | COM | 1,700 | $8,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 580 | $8,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 825 | $8,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 8,779 | $8,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,280 | $8,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 580 | $8,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 454 | $8,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 800 | $8,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 696 | $8,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 231 | $8,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 545 | $8,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 995 | $8,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 913 | $8,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 3,207 | $8,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 200 | $8,000 | thousands by filing date | call |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $8,000 | thousands by filing date | principal |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 3,433 | $8,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 8,645 | $8,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 989 | $8,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 767 | $8,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,545 | $8,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 239 | $8,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 1,386 | $8,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 1,000 | $8,000 | thousands by filing date | put |
| PENDRELL CORP | 70686R104 | COM | 11,000 | $8,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 319 | $8,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 300 | $8,000 | thousands by filing date | call |
| CAREER EDUCATION CORP | 141665109 | COM | 2,154 | $8,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 500 | $8,000 | thousands by filing date | call |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 10,772 | $8,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 1,082 | $8,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 1,500 | $8,000 | thousands by filing date | call |
| RENESOLA LTD | 75971T103 | SPONS ADS | 8,400 | $8,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 4,257 | $8,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 1,596 | $8,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 5,572 | $8,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 109 | $8,000 | thousands by filing date | |
| FIRST CAPITAL BANCORP VA | 319438107 | COM | 1,635 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 348 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y488 | DLY SC BEAR3XNEW | 600 | $8,000 | thousands by filing date | put |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 4,000 | $8,000 | thousands by filing date | principal |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 4,000 | $8,000 | thousands by filing date | |
| MARKET VECTORS TREASURY-HEDG | 57061R775 | HI YLD TREA BD | 361 | $8,000 | thousands by filing date | |
| TOFUTTI BRANDS INC | 88906B105 | COM | 1,781 | $8,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 714 | $8,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 1,366 | $8,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 2,030 | $8,000 | thousands by filing date | |
| AMERICAN CARESOURCE HLDGS IN | 02505A202 | COM | 6,000 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P262 | IPTH AGRIC ETN | 248 | $8,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 350 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y504 | BAS MAT BULL3X | 245 | $8,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 218 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X229 | ULTRSH MSCI PAC | 253 | $8,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 1,164 | $8,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 1,823 | $8,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 1,173 | $8,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,127 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y608 | GURU ACTS ETF | 678 | $8,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 396 | $8,000 | thousands by filing date | |
| CODE REBEL CORP | 19200J106 | COM | 1,154 | $8,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T408 | UNIT 99/99/9999 | 1,100 | $8,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 8,863 | $8,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 100 | $7,000 | thousands by filing date | put |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 200 | $7,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 2,500 | $7,000 | thousands by filing date | call |
| WORKDAY INC CL A | 98138H101 | Stock | 100 | $7,000 | thousands by filing date | call |
| KROGER CO COM | 501044101 | Stock | 200 | $7,000 | thousands by filing date | call |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 100 | $7,000 | thousands by filing date | call |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 100 | $7,000 | thousands by filing date | call |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 500 | $7,000 | thousands by filing date | put |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 2,700 | $7,000 | thousands by filing date | call |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 100 | $7,000 | thousands by filing date | call |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 800 | $7,000 | thousands by filing date | put |
| W & T OFFSHORE INC | 92922P106 | COM | 2,162 | $7,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 1,703 | $7,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 1,953 | $7,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,182 | $7,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 400 | $7,000 | thousands by filing date | call |
| FOOT LOCKER INC | 344849104 | COM | 100 | $7,000 | thousands by filing date | put |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 500 | $7,000 | thousands by filing date | call |
| U S SILICA HLDGS INC | 90346E103 | COM | 500 | $7,000 | thousands by filing date | put |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 500 | $7,000 | thousands by filing date | call |
| TECNOGLASS INC | G87264100 | ORD SHS | 492 | $7,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 925 | $7,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,649 | $7,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,712 | $7,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2,957 | $7,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 300 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-15-011853 | this filing | 2015-11-13 | acceptance time not in the bulk data set |