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 |
|---|---|---|---|---|---|---|
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 222 | $7,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 100 | $7,000 | thousands by filing date | put |
| BB & T CORP | 054937107 | COM | 200 | $7,000 | thousands by filing date | put |
| DLH HLDGS CORP | 23335Q100 | COM | 2,448 | $7,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,884 | $7,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,750 | $7,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 864 | $7,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,053 | $7,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,286 | $7,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 950 | $7,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 5,445 | $7,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 2,297 | $7,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 11,500 | $7,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 598 | $7,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 723 | $7,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 400 | $7,000 | thousands by filing date | put |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 3,702 | $7,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 955 | $7,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 1,758 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 699 | $7,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 285 | $7,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 4,690 | $7,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 2,900 | $7,000 | thousands by filing date | put |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 861 | $7,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 273 | $7,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 900 | $7,000 | thousands by filing date | call |
| HALCON RES CORP | 40537Q209 | COM NEW | 13,400 | $7,000 | thousands by filing date | call |
| XOMA CORP DEL | 98419J107 | COM | 9,413 | $7,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 607 | $7,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 7,000 | $7,000 | thousands by filing date | principal |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 100 | $7,000 | thousands by filing date | call |
| HUDSON GLOBAL INC | 443787106 | COM | 2,797 | $7,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 4,081 | $7,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 3,038 | $7,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 11,787 | $7,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 200 | $7,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 15,725 | $7,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 4,345 | $7,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 2,840 | $7,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 788 | $7,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 600 | $7,000 | thousands by filing date | put |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 460 | $7,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W593 | GUG RUSS1000 EQL | 145 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 1,766 | $7,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 5,582 | $7,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 523 | $7,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 828 | $7,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 4,000 | $7,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 300 | $7,000 | thousands by filing date | put |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 10,608 | $7,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 10,898 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 100 | $7,000 | thousands by filing date | |
| COUNTRY STYLE COOKING REST ADR | 22238M109 | ADR-EMG MKT | 1,687 | $7,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 4,733 | $7,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 2,700 | $7,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 1,983 | $7,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 271 | $7,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 460 | $7,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 826 | $7,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 1,049 | $7,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 4,001 | $7,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 530 | $7,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 13,051 | $7,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 1,187 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 310 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 200 | $7,000 | thousands by filing date | put |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 1,296 | $7,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 947 | $7,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 2,715 | $7,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 5,955 | $7,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 1,412 | $7,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 2,007 | $7,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 400 | $7,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 2,409 | $7,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 500 | $7,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E207 | Pref Stk | 711 | $7,000 | thousands by filing date | |
| IMPRIVATA INC | 45323J103 | Cmn | 390 | $7,000 | thousands by filing date | |
| YOUR CMNTY BANKSHARES INC | 98779U106 | COM | 242 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A285 | ULTSHT JR MIN | 263 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K711 | EURO BULL 2X | 220 | $7,000 | thousands by filing date | |
| SUNGY MOBILE LTD | 86737M100 | ADR | 1,561 | $7,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 100 | $6,000 | thousands by filing date | call |
| ALLSTATE CORP COM | 020002101 | Stock | 100 | $6,000 | thousands by filing date | call |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 100 | $6,000 | thousands by filing date | call |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 378 | $6,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 100 | $6,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 253 | $6,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 100 | $6,000 | thousands by filing date | call |
| OPKO HEALTH INC | 68375N103 | COM | 700 | $6,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 101 | $6,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 100 | $6,000 | thousands by filing date | put |
| CERNER CORP | 156782104 | COM | 100 | $6,000 | thousands by filing date | call |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 1,500 | $6,000 | thousands by filing date | put |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 100 | $6,000 | thousands by filing date | call |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 1,000 | $6,000 | thousands by filing date | call |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 500 | $6,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 334 | $6,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 271 | $6,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 541 | $6,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,147 | $6,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 20,943 | $6,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 126 | $6,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,180 | $6,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 158 | $6,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 3,086 | $6,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 459 | $6,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 5,927 | $6,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,000 | $6,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 6,308 | $6,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 2,367 | $6,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 500 | $6,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 1,788 | $6,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 100 | $6,000 | thousands by filing date | call |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 426 | $6,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 2,152 | $6,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 900 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,086 | $6,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 2,157 | $6,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 1,000 | $6,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 56,589 | $6,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 2,700 | $6,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 3,000 | $6,000 | thousands by filing date | principal |
| ORAGENICS INC | 684023203 | COM NEW | 3,499 | $6,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 2,867 | $6,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 1,100 | $6,000 | thousands by filing date | put |
| AMBASSADORS GROUP INC | 023177108 | COM | 2,189 | $6,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 900 | $6,000 | thousands by filing date | call |
| WHITING PETE CORP NEW | 966387102 | COM | 400 | $6,000 | thousands by filing date | call |
| STILLWATER MINING CO | 86074Q102 | COM | 600 | $6,000 | thousands by filing date | put |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 4,900 | $6,000 | thousands by filing date | call |
| FBR & CO | 30247C400 | COM NEW | 286 | $6,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 3,305 | $6,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 11,182 | $6,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 860 | $6,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 598 | $6,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 11,665 | $6,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 789 | $6,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 870 | $6,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 3,598 | $6,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 19,599 | $6,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 33,913 | $6,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 14,246 | $6,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 1,660 | $6,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 3,018 | $6,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 900 | $6,000 | thousands by filing date | put |
| HOPFED BANCORP INC | 439734104 | COM | 520 | $6,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 445 | $6,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 300 | $6,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 213 | $6,000 | thousands by filing date | |
| QKL STORES INC | 74732Y303 | COM PAR $0.001 | 5,051 | $6,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 38,577 | $6,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 5,611 | $6,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 11,303 | $6,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 1,407 | $6,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 1,336 | $6,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 4,135 | $6,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U571 | VECTRS POL ETF | 411 | $6,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 4,838 | $6,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 700 | $6,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 1,140 | $6,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525202 | PFD CV SER A | 1,801 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 90 | $6,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 7,105 | $6,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 2,060 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 300 | $6,000 | thousands by filing date | call |
| CRH MEDICAL CORP | 12626F105 | COM | 1,900 | $6,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 141 | $6,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 720 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 248 | $6,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 1,154 | $6,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 99 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 200 | $6,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 933 | $6,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 1,999 | $6,000 | thousands by filing date | |
| Emerald Oil Inc | 29101U407 | Common Stock | 3,294 | $6,000 | thousands by filing date | |
| SPDR MSCI SOUTH KOREA STRATEGICFACTORS ETF | 78463X277 | ETF | 242 | $6,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 100 | $6,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V101 | COM | 600 | $6,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 1,627 | $6,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 777 | $6,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y106 | COM | 3,870 | $6,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 4,552 | $6,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F861 | UNIT 09/01/2016 | 110 | $6,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T100 | EXCH TRAD SPVXSP | 297 | $6,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 3,750 | $6,000 | thousands by filing date | |
| SIGNAL GENETICS INC | 826640104 | Cmn | 6,367 | $6,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 9,300 | $6,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 100 | $5,000 | thousands by filing date | put |
| KBHOME | 48666K109 | COM | 400 | $5,000 | thousands by filing date | call |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 401 | $5,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 758 | $5,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 1,000 | $5,000 | thousands by filing date | put |
| NASDAQ INC COM | 631103108 | Stock | 100 | $5,000 | thousands by filing date | call |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 250 | $5,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 133 | $5,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,050 | $5,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 1,546 | $5,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 189 | $5,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 300 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 105 | $5,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 172 | $5,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 1,280 | $5,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 613 | $5,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 100 | $5,000 | thousands by filing date | put |
| MBIA INC | 55262C100 | COMMON STOCK | 900 | $5,000 | thousands by filing date | call |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 237 | $5,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,250 | $5,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 314 | $5,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,948 | $5,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 200 | $5,000 | thousands by filing date | call |
| ALLOT LTD | M0854Q105 | SHS | 1,078 | $5,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 800 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 176 | $5,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,530 | $5,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 847 | $5,000 | thousands by filing date | |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 2,036 | $5,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 470 | $5,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 100 | $5,000 | thousands by filing date | call |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 150 | $5,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 200 | $5,000 | thousands by filing date | put |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 6,877 | $5,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 300 | $5,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 3,599 | $5,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 2,500 | $5,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 2,206 | $5,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 18,011 | $5,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 357 | $5,000 | thousands by filing date | |
| Northeast Community Bancorp Inc | 664112109 | COM | 648 | $5,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 5,435 | $5,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 2,500 | $5,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 1,000 | $5,000 | thousands by filing date | principal |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 175 | $5,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 10,300 | $5,000 | thousands by filing date | call |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 282 | $5,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 834 | $5,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 900 | $5,000 | thousands by filing date | put |
| ANGIES LIST INC | 034754101 | COM | 1,000 | $5,000 | thousands by filing date | call |
| RADISYS CORP | 750459109 | COM | 1,737 | $5,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 132 | $5,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 355 | $5,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 4,000 | $5,000 | thousands by filing date | principal |
| Tremor Video | 89484Q100 | Common Stock | 2,689 | $5,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 28,567 | $5,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 19,229 | $5,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 9,200 | $5,000 | thousands by filing date | call |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 2,747 | $5,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 2,109 | $5,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 192 | $5,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 6,300 | $5,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 768 | $5,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 600 | $5,000 | thousands by filing date | put |
| BSQUARE CORP | 11776U300 | COM | 804 | $5,000 | thousands by filing date | |
| COLLABRX INC | 19422J108 | COM | 7,096 | $5,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 200 | $5,000 | thousands by filing date | put |
| CHINA SUNERGY CO LTD | 16942X302 | SPONSORED ADR NE | 4,295 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 250 | $5,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 850 | $5,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 3,320 | $5,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 311 | $5,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 500 | $5,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 1,681 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 414 | $5,000 | thousands by filing date | |
| China Yida Holdings Co | 16945D303 | COM PAR $0.0001 | 1,558 | $5,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 2,278 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y826 | MEIDELL TCT AD | 158 | $5,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639209 | UNIT 12/06/20166 | 351 | $5,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 2,622 | $5,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 1,599 | $5,000 | thousands by filing date | |
| FIRST TRUST MULTI STRGY ALTER ETF | 73935B870 | ALT MULTI STRG | 229 | $5,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 649 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 181 | $5,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 475 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 205 | $5,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 525 | $5,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 10,400 | $5,000 | thousands by filing date | principal |
| PERSHING GOLD CORP | 715302204 | COM NEW | 1,296 | $5,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 817 | $5,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 355 | $5,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 975 | $5,000 | thousands by filing date | |
| EnerJex Resources Inc | 292758406 | COM | 9,337 | $5,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 1,753 | $5,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 3,639 | $5,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 1,600 | $5,000 | thousands by filing date | call |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 2,574 | $5,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 2,931 | $5,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 2,172 | $5,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 8,360 | $5,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W408 | Cmn | 208 | $5,000 | thousands by filing date | |
| LIQUID HLDGS GROUP INC COM | 53633A101 | COM | 68,648 | $5,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y205 | PFD STK SER A | 832 | $5,000 | thousands by filing date | |
| VAPOR CORP DEL | 922099502 | UNIT 99/99/9999 | 611 | $5,000 | thousands by filing date | |
| OCI RES LP | 67081B106 | COM UNIT LTD | 247 | $5,000 | thousands by filing date | |
| LOOKSMART LTD | 543442602 | COM PAR $0.001 | 8,531 | $5,000 | thousands by filing date | |
| INVENTERGY GLOBAL INC | 46123X102 | Cmn | 13,991 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y173 | DLY MID CP BULL | 200 | $5,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 100 | $4,000 | thousands by filing date | call |
| KBHOME | 48666K109 | COM | 300 | $4,000 | thousands by filing date | put |
| ZOETIS INC CL A | 98978V103 | Stock | 100 | $4,000 | thousands by filing date | call |
| FASTENAL CO COM | 311900104 | Stock | 100 | $4,000 | thousands by filing date | put |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 282 | $4,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 500 | $4,000 | thousands by filing date | call |
| FORTINET INC COM | 34959E109 | Stock | 100 | $4,000 | thousands by filing date | put |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 1,778 | $4,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 510 | $4,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 100 | $4,000 | thousands by filing date | put |
| TEXTRON INC COM | 883203101 | Stock | 100 | $4,000 | thousands by filing date | call |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 300 | $4,000 | thousands by filing date | call |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 400 | $4,000 | thousands by filing date | call |
| COTERRA ENERGY INC COM | 127097103 | Stock | 200 | $4,000 | thousands by filing date | put |
| GUESS INC COM | 401617105 | Stock | 200 | $4,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 200 | $4,000 | thousands by filing date | put |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 100 | $4,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 176 | $4,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 2,000 | $4,000 | thousands by filing date | call |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 100 | $4,000 | thousands by filing date | call |
| AVIS BUDGET GROUP INC | 053774105 | COM | 100 | $4,000 | thousands by filing date | put |
| ISHARES INC | 464286103 | MSCI AUST ETF | 200 | $4,000 | thousands by filing date | call |
| ZYNGA INC. | 98986T108 | CL A | 1,600 | $4,000 | thousands by filing date | put |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 842 | $4,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 200 | $4,000 | thousands by filing date | put |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 100 | $4,000 | thousands by filing date | call |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 500 | $4,000 | thousands by filing date | put |
| VUZIX CORP | 92921W300 | COM NEW | 954 | $4,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 141 | $4,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 650 | $4,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 1,617 | $4,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 3,342 | $4,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 2,000 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 100 | $4,000 | thousands by filing date | call |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 128 | $4,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,550 | $4,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 187 | $4,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 1,550 | $4,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 1,300 | $4,000 | thousands by filing date | call |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 500 | $4,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AP8 | CORPORATE OBLIG | 1,000 | $4,000 | thousands by filing date | principal |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 100 | $4,000 | thousands by filing date | call |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 1,700 | $4,000 | thousands by filing date | call |
| QLT INC | 746927102 | COMMON STOCK | 1,444 | $4,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,170 | $4,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 800 | $4,000 | thousands by filing date | |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 1,653 | $4,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 406 | $4,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 6,030 | $4,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 630 | $4,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 743 | $4,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 700 | $4,000 | thousands by filing date | call |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 2,000 | $4,000 | thousands by filing date | |
| LINEAR TECHNOLOGY CORP | 535678106 | COM | 100 | $4,000 | thousands by filing date | call |
| XCEL BRANDS INC | 98400M101 | COM NEW | 496 | $4,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 189 | $4,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 4,652 | $4,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 100 | $4,000 | thousands by filing date | put |
| RYLAND GROUP INC | 783764103 | COM | 100 | $4,000 | thousands by filing date | call |
| LinnCo, LLC | 535782106 | LTD | 1,300 | $4,000 | thousands by filing date | put |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 3,685 | $4,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 4,900 | $4,000 | thousands by filing date | call |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 1,957 | $4,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 2,003 | $4,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 400 | $4,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 4,451 | $4,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 2,500 | $4,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 287 | $4,000 | thousands by filing date | |
| INTERPHASE CORP | 460593106 | COM | 24,624 | $4,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 8,332 | $4,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 7,018 | $4,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 1,403 | $4,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 60 | $4,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 1,914 | $4,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 3,916 | $4,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 8,441 | $4,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 567 | $4,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 1,615 | $4,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 1,823 | $4,000 | thousands by filing date | |
| Professional Diversity Network | 74312y103 | COM | 5,220 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K825 | MTLS LNG ETN38 | 409 | $4,000 | thousands by filing date | |
| SEMILEDS CORP | 816645105 | COM | 9,051 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 79 | $4,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 266 | $4,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 18,991 | $4,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 45,976 | $4,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 1,031 | $4,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 210 | $4,000 | thousands by filing date | |
| CHINA METRO-RURAL HLDGS LTD | G3163G104 | SHS | 3,980 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 64 | $4,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K105 | CL A SHS | 15,944 | $4,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 660 | $4,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,989 | $4,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 3,558 | $4,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 16,812 | $4,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 959 | $4,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 299 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 188 | $4,000 | thousands by filing date | |
| ZAZA ENERGY CORP - NEW | 98919T407 | COM | 10,314 | $4,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 342 | $4,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 809 | $4,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 816 | $4,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| MELROSE BANCORP INC | 585553100 | COM | 273 | $4,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 125 | $4,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 6,144 | $4,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 9,431 | $4,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 100 | $4,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 22,991 | $4,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 657 | $4,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 374 | $4,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 3,192 | $4,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 285 | $4,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 9,960 | $4,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T621 | EXCHTRADE MIDTER | 124 | $4,000 | thousands by filing date | |
| LIME ENERGY CO COM | 53261U304 | COM | 1,521 | $4,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 350 | $4,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 5,322 | $4,000 | thousands by filing date | |
| GORES HLDGS INC | 382866200 | UNIT 99/99/9999 | 400 | $4,000 | thousands by filing date | |
| TERRAPIN 3 ACQUISITION CORP | 88104P203 | UNIT 06/27/2019 | 350 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P288 | IPTH SOFTS ETN | 224 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X293 | MSCI MEXCO STRGC | 191 | $4,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 1,286 | $4,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V863 | SSGA RISK AWAR | 118 | $4,000 | thousands by filing date | |
| AXION PWR INTL INC | 05460X307 | COM PAR $0.001 | 2,045 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R338 | GLB SPIN OFF | 250 | $4,000 | thousands by filing date | |
| ATRM HLDGS INC | 04964A103 | COM | 1,212 | $4,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 100 | $3,000 | thousands by filing date | put |
| WENDYS CO COM | 95058W100 | Stock | 400 | $3,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 597 | $3,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 5,000 | $3,000 | thousands by filing date | call |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 2,220 | $3,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 100 | $3,000 | thousands by filing date | call |
| INSTEEL INDS INC | 45774W108 | COM | 200 | $3,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 100 | $3,000 | thousands by filing date | call |
| WINMARK CORP | 974250102 | COM | 33 | $3,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 293 | $3,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 911 | $3,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 141 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 158 | $3,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 483 | $3,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 617 | $3,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 285 | $3,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 19,000 | $3,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 1,002 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 59 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 218 | $3,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 4,400 | $3,000 | thousands by filing date | call |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 4,000 | $3,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 2,000 | $3,000 | thousands by filing date | principal |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 1,405 | $3,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 3,200 | $3,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 19,400 | $3,000 | thousands by filing date | call |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 1,176 | $3,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 2,517 | $3,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 7,500 | $3,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 158 | $3,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 1,500 | $3,000 | thousands by filing date | call |
| RENTECH INC | 760112201 | COMMON STOCK | 452 | $3,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 1,250 | $3,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 977 | $3,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 2,000 | $3,000 | thousands by filing date | call |
| Transition Therapeutics, Inc. | 893716209 | COM | 1,567 | $3,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 864 | $3,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 15,441 | $3,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 1,100 | $3,000 | thousands by filing date | call |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,106 | $3,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 900 | $3,000 | thousands by filing date | call |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 1,000 | $3,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 43 | $3,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 1,200 | $3,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 385 | $3,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 581 | $3,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 6,904 | $3,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 500 | $3,000 | thousands by filing date | call |
| U S GEOTHERMAL INC | 90338S102 | COM | 4,965 | $3,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 3,060 | $3,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 3,510 | $3,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 22,013 | $3,000 | thousands by filing date | |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 13,000 | $3,000 | thousands by filing date | principal |
| ENGLOBAL CORP | 293306106 | COM | 3,149 | $3,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 906 | $3,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 2,508 | $3,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 400 | $3,000 | thousands by filing date | call |
| URANIUM RESOURCES INC | 916901606 | COM | 4,018 | $3,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 2,427 | $3,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 469 | $3,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 1,569 | $3,000 | thousands by filing date | |
| ESSEX RENT CORP COM | 297187106 | Common | 7,361 | $3,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 100 | $3,000 | thousands by filing date | call |
| AMERICAN DG ENERGY INC | 025398108 | COM | 8,899 | $3,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 4,000 | $3,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 150 | $3,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 293 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D456 | BACK ETN LK IDX | 222 | $3,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 6,317 | $3,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 2,141 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E317 | GLBLX CEN ASIA | 369 | $3,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 197 | $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 | 3,459 | $3,000 | thousands by filing date | |
| ELEMENTS LKD TO S&P CMDTY TR | 4042EP602 | CMN | 585 | $3,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 500 | $3,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 1,296 | $3,000 | 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 |