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 |
|---|---|---|---|---|---|---|
| SEVCON INC | 81783K108 | COM | 356 | $3,000 | thousands by filing date | |
| ACORN INTL INC | 004854105 | SPON ADR | 4,145 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y735 | PRING TRNR BUS | 115 | $3,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 1,800 | $3,000 | thousands by filing date | |
| NORTHWEST BIOTHERAPEUTICS IN | 66737P113 | *W EXP 99/99/999 | 963 | $3,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 2,709 | $3,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H102 | COM | 3,739 | $3,000 | thousands by filing date | |
| OPTIMUMBANK HOLDINGS INC | 68401P304 | COM PAR $0.01 | 2,471 | $3,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 431 | $3,000 | thousands by filing date | |
| SKYSTAR BIO-PHARMA CO | 830884300 | COM PAR $.001 | 3,304 | $3,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 158 | $3,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 2,760 | $3,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS-ADR | 98386D208 | COM | 1,704 | $3,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 385 | $3,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 255 | $3,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 4,334 | $3,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 296,525 | $3,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 587 | $3,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 308 | $3,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 200 | $3,000 | thousands by filing date | call |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 840 | $3,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 124 | $3,000 | thousands by filing date | |
| Amedica Corporation | 023435100 | COM | 12,325 | $3,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 223 | $3,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R407 | ISE CYBER SEC | 100 | $3,000 | thousands by filing date | put |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 1,030 | $3,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 265 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 200 | $3,000 | thousands by filing date | |
| ACRE RLTY INVS INCORPORATED REIT | 00489F106 | REIT | 2,470 | $3,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 2,000 | $3,000 | thousands by filing date | principal |
| ECLIPSE RES CORP | 27890G100 | COM | 1,500 | $3,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 106 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 150 | $3,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 716 | $3,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 3,387 | $3,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 2,000 | $3,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 2,000 | $3,000 | thousands by filing date | principal |
| AVALANCHE BIOT | 05337G107 | Common Stock | 400 | $3,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 4,793 | $3,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 900 | $3,000 | thousands by filing date | |
| Medovex Corp | 58504H101 | COM | 1,224 | $3,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V305 | COM PAR | 1,713 | $3,000 | thousands by filing date | |
| MODSYS INTL LTD | M70378100 | SHS | 1,632 | $3,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326110 | *W EXP 01/31/201 | 2,038 | $3,000 | thousands by filing date | |
| HONGLI CLEAN ENERGY TECHNOLO | 438586109 | COM | 6,752 | $3,000 | thousands by filing date | |
| ANCHOR BANCORP WIS INC DEL | 03283P106 | COM | 61 | $3,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M102 | Cmn | 750 | $3,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605116 | Cmn | 2,259 | $3,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A507 | Cmn | 4,549 | $3,000 | thousands by filing date | |
| Terrapin 3 Acquisition Corporation | 88104P104 | Common | 305 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W288 | ULT BLMBRG COMM | 96 | $3,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V202 | UNIT 07/18/2016 | 300 | $3,000 | thousands by filing date | |
| QUOTIENT LTD | G73268123 | *W EXP 10/30/201 | 6,203 | $3,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 100 | $2,000 | thousands by filing date | call |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 69 | $2,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 1,046 | $2,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 100 | $2,000 | thousands by filing date | call |
| NATERA INC COM | 632307104 | Stock | 200 | $2,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 100 | $2,000 | thousands by filing date | call |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 100 | $2,000 | thousands by filing date | call |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 45 | $2,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 7,741 | $2,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 59 | $2,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 135 | $2,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 5,428 | $2,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 313 | $2,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 100 | $2,000 | thousands by filing date | call |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 146 | $2,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 740 | $2,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 830 | $2,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 135 | $2,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 700 | $2,000 | thousands by filing date | put |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 3,000 | $2,000 | thousands by filing date | principal |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 77 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 100 | $2,000 | thousands by filing date | call |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 1,861 | $2,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 2,386 | $2,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 889 | $2,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 222 | $2,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 447 | $2,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 352 | $2,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 3,333 | $2,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 175 | $2,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 1,300 | $2,000 | thousands by filing date | call |
| AH BELO CORP | 001282102 | COMMON STOCK | 320 | $2,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 896 | $2,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 2,500 | $2,000 | thousands by filing date | call |
| NOVAVAX INC | 670002104 | COMMON STOCK | 300 | $2,000 | thousands by filing date | put |
| CONNS INC | 208242107 | COM | 100 | $2,000 | thousands by filing date | call |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 2,100 | $2,000 | thousands by filing date | call |
| GULF IS FABRICATION INC | 402307102 | COM | 176 | $2,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 300 | $2,000 | thousands by filing date | call |
| MILACRON HLDGS CORP | 59870L106 | COM | 100 | $2,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 200 | $2,000 | thousands by filing date | call |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 2,000 | $2,000 | thousands by filing date | principal |
| VIRNETX HLDG CORP | 92823T108 | COM | 600 | $2,000 | thousands by filing date | call |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 1,016 | $2,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 2,521 | $2,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 100 | $2,000 | thousands by filing date | put |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 494 | $2,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 2,000 | $2,000 | thousands by filing date | principal |
| LinnCo, LLC | 535782106 | LTD | 600 | $2,000 | thousands by filing date | call |
| COUNTERPATH CORP | 22228P203 | COM NEW | 3,759 | $2,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 691 | $2,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 1,042 | $2,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 200 | $2,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 900 | $2,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 380 | $2,000 | thousands by filing date | |
| RACKSPACE HOSTING INC | 750086100 | COM | 100 | $2,000 | thousands by filing date | call |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,207 | $2,000 | thousands by filing date | |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 200,000 | $2,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 1,000 | $2,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 945 | $2,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 4,094 | $2,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 632 | $2,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 300 | $2,000 | thousands by filing date | call |
| STILLWATER MINING CO | 86074Q102 | COM | 200 | $2,000 | thousands by filing date | call |
| BANK MUTUAL CORP | 063750103 | COM | 303 | $2,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 100 | $2,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 800 | $2,000 | thousands by filing date | put |
| HHGREGG INC | 42833L108 | COM | 496 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC IPATH S&P MT E | 06740C519 | COM | 179 | $2,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 3,270 | $2,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 8,059 | $2,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 1,000 | $2,000 | thousands by filing date | call |
| CARDICA INC | 14141R101 | COM | 7,220 | $2,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 100 | $2,000 | thousands by filing date | call |
| NAVISTAR INTL CORP | 638901306 | PFD | 549 | $2,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 2,219 | $2,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 252 | $2,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 1,728 | $2,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 1,701 | $2,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 244 | $2,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 1,777 | $2,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 184 | $2,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 2,109 | $2,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 1,000 | $2,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 697 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 198 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 100 | $2,000 | thousands by filing date | call |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 2,000 | $2,000 | thousands by filing date | principal |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 100 | $2,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 82 | $2,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 500 | $2,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 400 | $2,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 315 | $2,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 3,225 | $2,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 1,607 | $2,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 478 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X518 | ULT MSCIMEX CAPP | 85 | $2,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 643 | $2,000 | thousands by filing date | |
| DAEGIS INC | 233720101 | COM | 5,687 | $2,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H126 | *W EXP 02/08/201 | 404 | $2,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 1,000 | $2,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 703 | $2,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P131 | W EXP 06/11/201 | 15,728 | $2,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 235 | $2,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 1,645 | $2,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 6,433 | $2,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 3,769 | $2,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 2,258 | $2,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225301 | UNIT 99/99/9999 | 303 | $2,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 1,562 | $2,000 | thousands by filing date | |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 2,362 | $2,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 200 | $2,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 422 | $2,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 771 | $2,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 3,000 | $2,000 | thousands by filing date | principal |
| HEAT BIOLOGICS INC | 42237K102 | COM | 481 | $2,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 330 | $2,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 100 | $2,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 443 | $2,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 206 | $2,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 1,000 | $2,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 3,600 | $2,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 1,110 | $2,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 6,211 | $2,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 875 | $2,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 79 | $2,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 955 | $2,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 174 | $2,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 2,000 | $2,000 | thousands by filing date | principal |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 1,359 | $2,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 166 | $2,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 971 | $2,000 | thousands by filing date | |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 311 | $2,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 1,000 | $2,000 | thousands by filing date | principal |
| OPGEN INC | 68373L117 | *W EXP 05/05/202 | 3,950 | $2,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T309 | COM NEW | 753 | $2,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 12,027 | $2,000 | thousands by filing date | |
| MOKO SOCIAL MEDIA LTD | 608458204 | Depository Receipt | 600 | $2,000 | thousands by filing date | |
| SUTOR TECH GROUP LTD | 869362202 | Cmn | 1,300 | $2,000 | thousands by filing date | |
| C B PHARMA ACQUISITION CORP | G2029P100 | UNIT 12/17/2021 | 210 | $2,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D112 | WARRANT | 2,225 | $2,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A408 | *W EXP 03/26/201 | 20,861 | $2,000 | thousands by filing date | |
| COMPASS EMP FDS TR | 20452Y783 | 100 ENH VOLA ETF | 65 | $2,000 | thousands by filing date | |
| NEUROMETRIX EQUITY WARRANTS | 641255138 | *W | 9,600 | $2,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 60 | $1,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 400 | $1,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 100 | $1,000 | thousands by filing date | call |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 94 | $1,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 2,200 | $1,000 | thousands by filing date | put |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 100 | $1,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 400 | $1,000 | thousands by filing date | put |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 200 | $1,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 3,000 | $1,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 100 | $1,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 30 | $1,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 200 | $1,000 | thousands by filing date | call |
| BEL FUSE INC | 077347300 | CL B | 69 | $1,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 100 | $1,000 | thousands by filing date | put |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 44 | $1,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 277 | $1,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 301 | $1,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 26 | $1,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 43 | $1,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 2,070 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 45 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 176 | $1,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 4,137 | $1,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 156 | $1,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 79 | $1,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 400 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 50 | $1,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 242 | $1,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 347 | $1,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 100 | $1,000 | thousands by filing date | put |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 175 | $1,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 74 | $1,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 245 | $1,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 3,100 | $1,000 | thousands by filing date | put |
| MERITOR INC | 59001K100 | COMMON STOCK | 100 | $1,000 | thousands by filing date | call |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 163 | $1,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 24 | $1,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 100 | $1,000 | thousands by filing date | put |
| INTEVAC INC | 461148108 | COM | 114 | $1,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 425 | $1,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 70 | $1,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 400 | $1,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 100 | $1,000 | thousands by filing date | call |
| LAKE SHORE GOLD CORP | 510728108 | COM | 1,264 | $1,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 100 | $1,000 | thousands by filing date | call |
| STANDARD PAC CORP NEW | 85375C101 | COM | 100 | $1,000 | thousands by filing date | put |
| RICHMONT MINES INC | 76547T106 | COM | 231 | $1,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 41 | $1,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 2,800 | $1,000 | thousands by filing date | call |
| SOLAZYME INC | 83415T101 | COM | 200 | $1,000 | thousands by filing date | call |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 129 | $1,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 102 | $1,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 315 | $1,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 1,675 | $1,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 148 | $1,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 300 | $1,000 | thousands by filing date | put |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 734 | $1,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 100 | $1,000 | thousands by filing date | call |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 1,400 | $1,000 | thousands by filing date | call |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 1,000 | $1,000 | thousands by filing date | principal |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 1,714 | $1,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 102 | $1,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 200 | $1,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 126 | $1,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 100 | $1,000 | thousands by filing date | call |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 100 | $1,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 450 | $1,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| DDR CORP | 251591AX1 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 1,550 | $1,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 8,942 | $1,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 393 | $1,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 250 | $1,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 1,200 | $1,000 | thousands by filing date | call |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 6,150 | $1,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 1,000 | $1,000 | thousands by filing date | |
| China Recycling Energy Corp | 168913101 | Com | 1,274 | $1,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 172 | $1,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 401 | $1,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 45 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 18 | $1,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 500 | $1,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 1,036 | $1,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 77 | $1,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 501 | $1,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 11,729 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 258 | $1,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 230 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 84 | $1,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 7,378 | $1,000 | thousands by filing date | |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 1,868 | $1,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 740 | $1,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 580 | $1,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 3,599 | $1,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 6,629 | $1,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 66 | $1,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 162 | $1,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 1,032 | $1,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 4,840 | $1,000 | thousands by filing date | |
| METHES ENERGIES INTL LTD | 591517107 | COM | 3,174 | $1,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 4,849 | $1,000 | thousands by filing date | |
| COEUR MNG INC | 192108116 | *W EXP 04/16/201 | 5,751 | $1,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 509 | $1,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 516 | $1,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678202 | COM NEW | 735 | $1,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 390 | $1,000 | thousands by filing date | |
| PACIFIC BOOKER MINERALS INC | 69403R108 | COM | 700 | $1,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H118 | *W EXP 02/08/201 | 100 | $1,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 360 | $1,000 | thousands by filing date | |
| THT HEAT TRANSFER TECHNOLOGY | 886031103 | COM | 1,250 | $1,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 597 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 28 | $1,000 | thousands by filing date | |
| TIANYIN PHARMACEUTICAL CO IN | 88630M104 | COM | 3,766 | $1,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 660 | $1,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 1,169 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 23 | $1,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 500 | $1,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 20 | $1,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 662 | $1,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 68 | $1,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | put |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | call |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 48 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 73 | $1,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 34 | $1,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 295 | $1,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 1,000 | $1,000 | thousands by filing date | put |
| ONCOSEC MED INC | 68234L207 | COM NEW | 131 | $1,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 15,745 | $1,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 1,000 | $1,000 | thousands by filing date | principal |
| PRESBIA PLC | G7234P100 | SHS | 111 | $1,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 100 | $1,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E120 | *W EXP 02/28/202 | 1,430 | $1,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y115 | *W EXP 12/24/201 | 762 | $1,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 1,000 | $1,000 | thousands by filing date | principal |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 149 | $1,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 893 | $1,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 500 | $1,000 | thousands by filing date | put |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 900 | $1,000 | thousands by filing date | call |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 2,886 | $1,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 3,221 | $1,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 130 | $1,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150112 | *W EXP 12/05/201 | 100 | $1,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 228 | $1,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 69 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B664 | ULTSHT OIL GAS | 24 | $1,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 771 | $1,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T129 | *W EXP 04/13/201 | 8,252 | $1,000 | thousands by filing date | |
| MACROCURE LTD | M67872107 | SHS | 178 | $1,000 | thousands by filing date | |
| CELATOR PHARMACEUTICALS INC | 15089R102 | Cmn | 500 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K604 | Cmn | 65 | $1,000 | thousands by filing date | |
| AR CAPITAL ACQUISITION CORP | 00191R109 | COM | 100 | $1,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740100 | COM | 120 | $1,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 2,800 | $1,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D705 | S&P 500 VEQ SW | 66 | $1,000 | thousands by filing date | |
| ACCUSHARES COMMODITIES TR I | 00439V813 | ACCUSHARES SPOT | 172 | $1,000 | thousands by filing date | |
| ASCENT SOLAR TECHNOLOGIES IN | 043635309 | COM NEW | 8,181 | $1,000 | thousands by filing date | |
| VIGGLE INC | 92672V204 | COM NEW | 1,026 | $1,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D531 | E TRACS LKD 45 | 100 | $1,000 | thousands by filing date | |
| CHINA GERUI ADV MAT GR LTD | G21101137 | USD NEW ORD SHS ADDED | 1,810 | $1,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326128 | WRT | 5,032 | $1,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396878 | GLB GROWTH FD | 12 | $1,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERICEL CORP | 92346J108 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 74 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| AXT INC | 00246W103 | COM | 113 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 290 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Radcom Ltd | M81865111 | COM | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMREP CORP | 032159105 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDICINOVA INC | 58468P206 | COM NEW | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| READING INTL INC | 755408200 | CL B | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 1,100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 84 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| GREAT PANTHER MINING | 39115V101 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MECHEL OAO | 583840103 | SPONSORED ADR | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MECHEL OAO | 583840103 | SPONSORED ADR | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PENN WEST PETE LTD NEW | 707887105 | COM | 800 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 540 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRONOX LTD | Q9235V101 | SHS CL A | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SMARTPROS LTD | 83171G103 | COM | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANADIGICS INC | 032515108 | COM | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XOMA CORP DEL | 98419J107 | COM | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 800 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PARKERVISION INC | 701354102 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PARKERVISION INC | 701354102 | COM | 1,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VRINGO INC | 92911N104 | COM | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALIMERA SCIENCES INC | 016259103 | COM | 188 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIODEL INC | 09064M204 | COM | 373 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PDI INC | 69329V100 | COM | 210 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 148 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 185 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 105 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALON BLUE SQUARE ISRAEL LTD | 02051Q106 | SPONSORED ADR | 209 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MATTERSIGHT CORP | 577097108 | COM | 53 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD CBOE | 33733E609 | S\&P.* | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Call - ZION $36.27 Exp 11/14/2018 | 989701131 | Warrants | 101 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 485 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QC HLDGS INC | 74729T101 | COM | 255 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REMARK MEDIA INC | 75954W107 | COM | 74 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NET ELEMENT INTL INC | 64111R102 | CMN | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASSOCIATED BANC CORP | 045487113 | WTS | 207 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 220 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OSSEN INNOVATION CO LTD | 688410109 | SPONSORED ADR | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDIA GLOBALIZATION CAP INC | 45408X118 | W EXP 03/06/201 | 2,167 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HIGHPOWER INTL INC | 43113X101 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 272 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METHES ENERGIES INTL LTD | 591517115 | *W EXP 10/12/201 | 4,304 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| METHES ENERGIES INTL LTD | 591517123 | *W EXP 10/12/201 | 11,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARMCO METALS HLDGS XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/20 | 042182204 | COM | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD INC | 044104107 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 182 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37950E127 | REIT ETF | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COASTWAY BANCORP INC | 190632109 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PREMIER EXHIBITIONS INC COM NEW | 74051E201 | Stock | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VBI VACCINES INC CDA | 91790E102 | Stock | 186 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| O'SHARES FTSE ASIA PACIFIC QUALITY DIVIDEND ETF | 351680822 | ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TURTLE BEACH CORP COM | 900450107 | Stock | 79 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 136 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 126 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NANOSPHERE INC COM NEW | 63009F204 | Stock | 102 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 541 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHECK CAP LTD | M2361E112 | SHS | 155 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDOVEX CORP | 58504H119 | *W EXP 12/24/201 | 1,852 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARMONY MERGER CORP | 413247123 | *W EXP 01/01/202 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TROVAGENE INC | 897238200 | UNIT 12/31/2017 | 240 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPNIA INC | 14066L113 | *W EXP 11/12/201 | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Escalera Resources Co | 296064108 | Ordinary Shares | 2,839 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPOWER INC | 68375Y109 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WL ROSS HLDG CORP | 92939D104 | COM SHS | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELCATH SYS INC | 24661P401 | Cmn | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLADON CORP | 15117E107 | Cmn | 78 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PERSEON CORP | 715270112 | Wt | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REAL GOODS SOLAR INC | 75601N203 | Cmn | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78463X228 | MSCI TAWN STRGIC | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLAYMORE EXCHANGE TRD FD TR | 18385P200 | GUGG EM RL EST | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 1347 CAP CORP | 68245V111 | RIGHT 07/21/2016 | 1,250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRAGONWAVE INC | 26144M129 | *W EXP 08/01/201 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A800 | FALAH RUS LG CAP | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERCLOUD SYS INC | 458488111 | *W EXP 08/25/201 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q114 | *W EXP 12/17/201 | 220 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SINO MERCURY ACQUISITION COR | 82936K110 | RIGHT 08/26/2016 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| C B PHARMA ACQUISITION CORP | G2029P134 | RIGHT 06/17/2016 | 1,100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CESCA THERAPEUTICS INC | 157131103 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA HOUSING & LAND DEV INC | 16939V202 | COM NEW | 129 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEREOTAXIS INC | 85916J128 | *W EXP 09/30/201 | 4,733 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO | 37045V134 | WAR | 3,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |