13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-16, with 8,404 holding rows worth $154,096,253,000.
- Accession
- 0000950123-16-014825
- Filer
- CIK 1610520
- Filed
- 2016-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A combination report, 15,204 entries on the cover page, a total value of $154,096,253,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $154,049,085,000 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
- reports for this filerUBS ASSET MANAGEMENT (AMERICAS) INC 028-02682
- reports for this filerUBS OCONNOR LLC 028-06327
- 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 |
|---|---|---|---|---|---|---|
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 275 | $7,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 289 | $7,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 700 | $7,000 | thousands by filing date | put |
| ENOVA INTL INC | 29357K103 | COM | 972 | $7,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 100 | $7,000 | thousands by filing date | call |
| FOOT LOCKER INC | 344849104 | COM | 100 | $7,000 | thousands by filing date | put |
| PAR TECHNOLOGY CORP | 698884103 | COM | 1,106 | $7,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 900 | $7,000 | thousands by filing date | call |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,148 | $7,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,301 | $7,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 630 | $7,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,150 | $7,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 300 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 255 | $7,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 6,328 | $7,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 6,474 | $7,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 20,000 | $7,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 878 | $7,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 200 | $7,000 | thousands by filing date | put |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 4,712 | $7,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 6,796 | $7,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 478 | $7,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 4,000 | $7,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 939 | $7,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 1,962 | $7,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 789 | $7,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 7,500 | $7,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 1,601 | $7,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 2,949 | $7,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 21,989 | $7,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 20,000 | $7,000 | thousands by filing date | put |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 1,037 | $7,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 1,833 | $7,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 277 | $7,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 300 | $7,000 | thousands by filing date | call |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 3,499 | $7,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 3,773 | $7,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 1,100 | $7,000 | thousands by filing date | put |
| WALTER INVT MGMT CORP | 93317W102 | COM | 500 | $7,000 | thousands by filing date | call |
| SPARTAN MTRS INC | 846819100 | COM | 2,422 | $7,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 4,900 | $7,000 | thousands by filing date | call |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 4,391 | $7,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 100 | $7,000 | thousands by filing date | call |
| MEETME INC | 585141104 | COM | 2,000 | $7,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 3,827 | $7,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 3,391 | $7,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 8,906 | $7,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 5,912 | $7,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W593 | GUG RUSS1000 EQL | 145 | $7,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 5,028 | $7,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 1,448 | $7,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 38,640 | $7,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 1,189 | $7,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 3,784 | $7,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 6,300 | $7,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 4,384 | $7,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 570 | $7,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 516 | $7,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 2,980 | $7,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 831 | $7,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 2,950 | $7,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 18,929 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 295 | $7,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 400 | $7,000 | thousands by filing date | |
| ETF MANAGER GROUP COMMODITY | 26923H101 | SIT RISING RTE | 287 | $7,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 700 | $7,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 676 | $7,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 2,319 | $7,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 300 | $7,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 2,420 | $7,000 | thousands by filing date | |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 1,900 | $7,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 18,420 | $7,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 1,500 | $7,000 | thousands by filing date | |
| GLOBAL PARTNER ACQUISITION C | 37954X105 | COM | 700 | $7,000 | thousands by filing date | |
| USCF ETF TR | 90290T106 | STK SPLT IDX FD | 486 | $7,000 | thousands by filing date | |
| VESTIN RLTY MTG II INC | 92549X300 | COM PAR | 2,854 | $7,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E207 | Pref Stk | 1,749 | $7,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 3,000 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K752 | Cmn | 340 | $7,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R886 | BLUESTAR TA | 298 | $7,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 100 | $6,000 | thousands by filing date | call |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 100 | $6,000 | thousands by filing date | call |
| ALLSTATE CORP COM | 020002101 | Stock | 100 | $6,000 | thousands by filing date | call |
| ARCBEST CORP COM | 03937C105 | Stock | 300 | $6,000 | thousands by filing date | put |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 300 | $6,000 | thousands by filing date | call |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 100 | $6,000 | thousands by filing date | call |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 100 | $6,000 | thousands by filing date | call |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 100 | $6,000 | thousands by filing date | call |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 100 | $6,000 | thousands by filing date | call |
| VARONIS SYS INC | 922280102 | COM | 300 | $6,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 4,584 | $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 |
| RADIANT LOGISTICS INC | 75025X100 | COM | 1,700 | $6,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 100 | $6,000 | thousands by filing date | put |
| MBIA INC | 55262C100 | COMMON STOCK | 900 | $6,000 | thousands by filing date | call |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,389 | $6,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 905 | $6,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 3,340 | $6,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 1,700 | $6,000 | thousands by filing date | call |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 721 | $6,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,000 | $6,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 314 | $6,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 400 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,568 | $6,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 184 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 53 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 158 | $6,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 2,263 | $6,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 1,570 | $6,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 105 | $6,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 100 | $6,000 | thousands by filing date | call |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 758 | $6,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 1,130 | $6,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 1,196 | $6,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 400 | $6,000 | thousands by filing date | put |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 486 | $6,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 2,576 | $6,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 318 | $6,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 1,617 | $6,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 2,900 | $6,000 | thousands by filing date | put |
| EMAGIN CORP | 29076N206 | COM | 3,845 | $6,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 4,286 | $6,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 3,000 | $6,000 | thousands by filing date | principal |
| MCCLATCHY CO | 579489105 | CL A | 4,550 | $6,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 9,300 | $6,000 | thousands by filing date | put |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 7,000 | $6,000 | thousands by filing date | principal |
| MITCHAM INDS INC COM | 606501104 | COM | 2,069 | $6,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 3,080 | $6,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 17,540 | $6,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 600 | $6,000 | thousands by filing date | put |
| GTX INC | 40052B108 | COM | 8,542 | $6,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 600 | $6,000 | thousands by filing date | put |
| NAVISTAR INTL CORP | 638901306 | PFD | 2,219 | $6,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 689 | $6,000 | thousands by filing date | |
| China Recycling Energy Corp | 168913101 | Com | 15,525 | $6,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 789 | $6,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 520 | $6,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 2,442 | $6,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 3,557 | $6,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 53,115 | $6,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 550 | $6,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,649 | $6,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 4,258 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,043 | $6,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 900 | $6,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 5,279 | $6,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 2,537 | $6,000 | thousands by filing date | |
| COLUMBIA LG CAP GROWTH ETF | 19761R307 | COM | 129 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 95 | $6,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 3,411 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 200 | $6,000 | thousands by filing date | put |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 593 | $6,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 22,464 | $6,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 269 | $6,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 2,026 | $6,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 1,746 | $6,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 832 | $6,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 1,258 | $6,000 | thousands by filing date | |
| Emerald Oil Inc | 29101U407 | Common Stock | 5,677 | $6,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 3,758 | $6,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 100 | $6,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 676 | $6,000 | thousands by filing date | |
| COPSYNC INC | 217712207 | COM NEW | 2,845 | $6,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142100 | COM | 4,174 | $6,000 | thousands by filing date | |
| HENNESSY CAPITAL ACQUISITION | 42588J209 | UNIT 99/99/9999 | 580 | $6,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853202 | Cmn | 4,390 | $6,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N208 | Cmn | 1,145 | $6,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 6,015 | $6,000 | thousands by filing date | |
| MYOS CORP | 554051201 | Cmn | 3,402 | $6,000 | thousands by filing date | |
| VRINGO INC | 92911N302 | Cmn | 2,528 | $6,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 24,472 | $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 |
| ZOETIS INC CL A | 98978V103 | Stock | 100 | $5,000 | thousands by filing date | call |
| RESMED INC COM | 761152107 | Stock | 100 | $5,000 | thousands by filing date | put |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 300 | $5,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 5,000 | $5,000 | thousands by filing date | call |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 200 | $5,000 | thousands by filing date | put |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 100 | $5,000 | thousands by filing date | call |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 17,173 | $5,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 189 | $5,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 200 | $5,000 | thousands by filing date | call |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 500 | $5,000 | thousands by filing date | call |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 500 | $5,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 400 | $5,000 | thousands by filing date | call |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 100 | $5,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 455 | $5,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 4,211 | $5,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 617 | $5,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 217 | $5,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 105 | $5,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 280 | $5,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 680 | $5,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 105,000 | $5,000 | thousands by filing date | principal |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,100 | $5,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 869 | $5,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 552 | $5,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 2,588 | $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 | |
| PHARMATHENE INC | 71714G102 | COM | 2,524 | $5,000 | thousands by filing date | |
| ARM HLDGS PLC | 042068106 | SPONSORED ADR | 100 | $5,000 | thousands by filing date | put |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 954 | $5,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 600 | $5,000 | thousands by filing date | put |
| MOSYS INC COM | 619718109 | COM | 4,240 | $5,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 28,389 | $5,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 26,113 | $5,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 1,143 | $5,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 500 | $5,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,169 | $5,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 121 | $5,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 200 | $5,000 | thousands by filing date | put |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 167 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 300 | $5,000 | thousands by filing date | put |
| CREDIT SUISSE NASSAU BRH | 22542D472 | CMDT BCH TOT RET | 497 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 1,623 | $5,000 | thousands by filing date | |
| CAROLINA TR BK LINCOLNTON NC | 144200102 | COM | 748 | $5,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 3,029 | $5,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 500 | $5,000 | thousands by filing date | |
| MECOX LANE LIMITED | 58403M201 | SPON ADR REP 35 | 1,318 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 471 | $5,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 11,357 | $5,000 | thousands by filing date | |
| China Yida Holdings Co | 16945D303 | COM PAR $0.0001 | 2,283 | $5,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 2,397 | $5,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 4,101 | $5,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 3,880 | $5,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525202 | PFD CV SER A | 2,540 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A582 | ULTRAPRO FINLS | 56 | $5,000 | thousands by filing date | |
| First Financial Bancorp Warrants | 320209117 | Warrant | 800 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 224 | $5,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 490 | $5,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 1,076 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 300 | $5,000 | thousands by filing date | call |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 1,204 | $5,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 1,423 | $5,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 276 | $5,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 831 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 144 | $5,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 1,117 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 108 | $5,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 125 | $5,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 9,431 | $5,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 1,725 | $5,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 500 | $5,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 81 | $5,000 | thousands by filing date | |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 714 | $5,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T309 | COM NEW | 1,646 | $5,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 1,910 | $5,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W408 | Cmn | 208 | $5,000 | thousands by filing date | |
| MOKO SOCIAL MEDIA LTD | 608458204 | Depository Receipt | 8,730 | $5,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 1,518 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K711 | EURO BULL 2X | 139 | $5,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 200 | $4,000 | thousands by filing date | put |
| FASTENAL CO COM | 311900104 | Stock | 100 | $4,000 | thousands by filing date | put |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 1,000 | $4,000 | thousands by filing date | put |
| 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 |
| 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 |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 289 | $4,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 2,000 | $4,000 | thousands by filing date | call |
| INSTEEL INDS INC | 45774W108 | COM | 200 | $4,000 | thousands by filing date | |
| 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 |
| IROBOT CORP | 462726100 | COM | 100 | $4,000 | thousands by filing date | call |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 692 | $4,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 501 | $4,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 223 | $4,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 178 | $4,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 571 | $4,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 2,761 | $4,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 657 | $4,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 2,528 | $4,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 500 | $4,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 150 | $4,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 722 | $4,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 15,476 | $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 |
| ZION OIL & GAS INC | 989696109 | COM | 2,489 | $4,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 805 | $4,000 | thousands by filing date | |
| LINEAR TECHNOLOGY CORP | 535678106 | COM | 100 | $4,000 | thousands by filing date | call |
| RARE ELEMENT RES LTD | 75381M102 | COM | 27,162 | $4,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 20,246 | $4,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 300 | $4,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 147 | $4,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 18,310 | $4,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 232 | $4,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 3,679 | $4,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U703 | UNIT 04/01/2013 | 77 | $4,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 562 | $4,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 708 | $4,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 10,022 | $4,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 500 | $4,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 2,100 | $4,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 1,659 | $4,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 10,000 | $4,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 1,872 | $4,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 608 | $4,000 | thousands by filing date | |
| GOLDEN ENTERPRISES | 381010107 | COM | 822 | $4,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 4,314 | $4,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,056 | $4,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 7,043 | $4,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 400 | $4,000 | thousands by filing date | call |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 3,232 | $4,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 11,909 | $4,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 343 | $4,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 1,586 | $4,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 900 | $4,000 | thousands by filing date | put |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 649 | $4,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 2,827 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 79 | $4,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 2,142 | $4,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 208 | $4,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 2,424 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 183 | $4,000 | thousands by filing date | |
| FIRST CLOVER LEAF FINANCIAL | 31969M105 | COM | 480 | $4,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 3,122 | $4,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 1,049 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X518 | ULT MSCIMEX CAPP | 185 | $4,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 10,587 | $4,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 500 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 268 | $4,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H102 | COM | 4,453 | $4,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 276 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 160 | $4,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 2,220 | $4,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 1,708 | $4,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 1,686 | $4,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 152 | $4,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 1,247 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 186 | $4,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 829 | $4,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 253 | $4,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 4,308 | $4,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 1,071 | $4,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 1,556 | $4,000 | thousands by filing date | |
| EnerJex Resources Inc | 292758406 | COM | 14,588 | $4,000 | thousands by filing date | |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 1,186 | $4,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 549333300 | Stock | 480 | $4,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 900 | $4,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 1,046 | $4,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 1,927 | $4,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 410 | $4,000 | thousands by filing date | |
| XTERA COMMUNICATIONS INC | 98415E300 | COM | 853 | $4,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A507 | Cmn | 18,383 | $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 | |
| SPDR INDEX SHS FDS | 78463X178 | MSCI INTL REAL | 100 | $4,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 1,084 | $4,000 | thousands by filing date | |
| CODE REBEL CORP | 19200J106 | COM | 1,555 | $4,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V863 | SSGA RISK AWAR | 97 | $4,000 | thousands by filing date | |
| AXION PWR INTL INC | 05460X307 | COM PAR $0.001 | 4,172 | $4,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 100 | $3,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 100 | $3,000 | thousands by filing date | put |
| ENBRIDGE INC COM | 29250N105 | Stock | 100 | $3,000 | thousands by filing date | call |
| FORTINET INC COM | 34959E109 | Stock | 100 | $3,000 | thousands by filing date | put |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 109 | $3,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 100 | $3,000 | thousands by filing date | call |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 100 | $3,000 | thousands by filing date | call |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 100 | $3,000 | thousands by filing date | call |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 56 | $3,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 100 | $3,000 | thousands by filing date | call |
| FIRST INTERNET BANCORP | 320557101 | COM | 121 | $3,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 718 | $3,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 200 | $3,000 | thousands by filing date | put |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 242 | $3,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 100 | $3,000 | thousands by filing date | call |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 670 | $3,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 786 | $3,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 226 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 32 | $3,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 155 | $3,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 550 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 100 | $3,000 | thousands by filing date | call |
| MV OIL TR | 553859109 | TR UNITS | 547 | $3,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 857 | $3,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 2,984 | $3,000 | thousands by filing date | |
| 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 |
| LO JACK CORP | 539451104 | COMMON STOCK | 512 | $3,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 1,700 | $3,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,508 | $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 | 1,963 | $3,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 300 | $3,000 | thousands by filing date | put |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 1,500 | $3,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 1,500 | $3,000 | thousands by filing date | call |
| Direxion Daily South Korea Bull 3X ETF | 25459Y520 | Exchange Traded Fund | 120 | $3,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 369 | $3,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 307 | $3,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 700 | $3,000 | thousands by filing date | call |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 4,532 | $3,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 200 | $3,000 | thousands by filing date | call |
| ESSA BANCORP INC COM | 29667D104 | Stock | 194 | $3,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 338 | $3,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 1,016 | $3,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 4,316 | $3,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 1,548 | $3,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 10,000 | $3,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 1,053 | $3,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 8,251 | $3,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 1,234 | $3,000 | thousands by filing date | |
| RACKSPACE HOSTING INC | 750086100 | COM | 100 | $3,000 | thousands by filing date | call |
| RENREN INC | 759892102 | SPONSORED ADR | 900 | $3,000 | thousands by filing date | call |
| RUBICON MINERALS CORP | 780911103 | COM | 36,529 | $3,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,413 | $3,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 1,288 | $3,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 167 | $3,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 800 | $3,000 | thousands by filing date | put |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 686 | $3,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 409 | $3,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 19,053 | $3,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 10,800 | $3,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 26,163 | $3,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 285 | $3,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 1,454 | $3,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 339 | $3,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 1,600 | $3,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 23,253 | $3,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 260 | $3,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T303 | COM NEW | 4,053 | $3,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 663 | $3,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 4,000 | $3,000 | thousands by filing date | principal |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 1,562 | $3,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 197 | $3,000 | thousands by filing date | |
| QUALSTAR CORP QBAK | 74758R109 | COMMON | 4,239 | $3,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 449 | $3,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 5,547 | $3,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 5,380 | $3,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 1,867 | $3,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 229 | $3,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 303 | $3,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 1,200 | $3,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 703 | $3,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 9,709 | $3,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 158 | $3,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 4,213 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347R123 | SHT INV GRD CP | 100 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 100 | $3,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 3,817 | $3,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 234 | $3,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 166 | $3,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 295,225 | $3,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 166 | $3,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 300 | $3,000 | thousands by filing date | call |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 929 | $3,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 2,635 | $3,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 186 | $3,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 2,872 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 283 | $3,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 14,000 | $3,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 2,000 | $3,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 150 | $3,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 117 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B730 | ULSHRT TECH NEW | 63 | $3,000 | thousands by filing date | |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 3,234 | $3,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 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 |
| TURTLE BEACH CORP COM | 900450107 | Stock | 1,484 | $3,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 278 | $3,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 4,420 | $3,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM | 759757107 | Stock | 2,133 | $3,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO COM PAR NEW | 560690307 | Stock | 3,254 | $3,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 2,000 | $3,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 1,550 | $3,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V305 | COM PAR | 1,420 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B548 | DEV EUR PA | 100 | $3,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326110 | *W EXP 01/31/201 | 2,358 | $3,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 327 | $3,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 7,289 | $3,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 5,920 | $3,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 1,499 | $3,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002104 | COM | 1,400 | $3,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 748 | $3,000 | thousands by filing date | |
| PERSEON CORP | 715270112 | Wt | 120,251 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P288 | IPTH SOFTS ETN | 133 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W288 | ULT BLMBRG COMM | 103 | $3,000 | thousands by filing date | |
| ACCUSHARES COMMODITIES TR I | 00439V797 | ACCUSHARES SPOT | 173 | $3,000 | thousands by filing date | |
| C B PHARMA ACQUISITION CORP | G2029P100 | UNIT 12/17/2021 | 310 | $3,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 69 | $2,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 100 | $2,000 | thousands by filing date | call |
| VSE CORP COM | 918284100 | Stock | 26 | $2,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 2,200 | $2,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 200 | $2,000 | thousands by filing date | put |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 100 | $2,000 | thousands by filing date | call |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 6,185 | $2,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 200 | $2,000 | thousands by filing date | call |
| ADDUS HOMECARE CORP | 006739106 | COM | 100 | $2,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 6,375 | $2,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 100 | $2,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 100 | $2,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 227 | $2,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 166 | $2,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 135 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-014825 | this filing | 2016-02-16 | acceptance time not in the bulk data set |