13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-12, with 7,683 holding rows worth $149,331,661,000.
- Accession
- 0000950123-16-016908
- Filer
- CIK 1610520
- Filed
- 2016-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A combination report, 13,855 entries on the cover page, a total value of $149,331,661,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $149,331,721,000 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 |
|---|---|---|---|---|---|---|
| MARINE PETE TR | 568423107 | UNIT BEN INT | 926 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 368 | $5,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 1,288 | $5,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 130 | $5,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 909 | $5,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 288 | $5,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 1,172 | $5,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 2,500 | $5,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 2,534 | $5,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 771 | $5,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 3,808 | $5,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 263 | $5,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 2,810 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 200 | $5,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 2,700 | $5,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 4,708 | $5,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 907 | $5,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 2,550 | $5,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 2,101 | $5,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 7,013 | $5,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 587 | $5,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 7,765 | $5,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 37,931 | $5,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 2,000 | $5,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 5,175 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 199 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K825 | MTLS LNG ETN38 | 709 | $5,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 1,212 | $5,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 29,430 | $5,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 12,444 | $5,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 900 | $5,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 3,059 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 216 | $5,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 2,010 | $5,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,462 | $5,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 4,213 | $5,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 2,586 | $5,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 5,292 | $5,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 820 | $5,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 3,549 | $5,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 2,856 | $5,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 3,606 | $5,000 | thousands by filing date | |
| ARMCO METALS HLDGS XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/20 | 042182204 | COM | 14,588 | $5,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 856 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 199 | $5,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 4,735 | $5,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 487 | $5,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 106 | $5,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 22,464 | $5,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 187 | $5,000 | thousands by filing date | |
| KITOV PHARMA LTD | 49803V115 | *W EXP 11/25/202 | 4,940 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 200 | $5,000 | thousands by filing date | |
| CERES INC | 156773400 | COM NEW | 22,313 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A875 | DMND HILL VAL | 208 | $5,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 2,551 | $5,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 129 | $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 | |
| CERECOR INC | 15671L117 | *W EXP 10/20/201 | 4,746 | $5,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y156 | SHS NEW 2016 | 2,664 | $5,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 3,637 | $5,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 500 | $5,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 7,779 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y644 | Cmn | 211 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P288 | IPTH SOFTS ETN | 224 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B649 | ULTSHT HMEBUIL | 275 | $5,000 | thousands by filing date | |
| Alon Blue Square Israel Ltd | 02051Q205 | CMN | 2,194 | $5,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 407 | $4,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 317 | $4,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 100 | $4,000 | thousands by filing date | put |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 200 | $4,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 100 | $4,000 | thousands by filing date | call |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 600 | $4,000 | thousands by filing date | call |
| LAKELAND FINL CORP | 511656100 | COM | 92 | $4,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 2,127 | $4,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 260 | $4,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 2,485 | $4,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 558 | $4,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 424 | $4,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 400 | $4,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 353 | $4,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 156 | $4,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 77 | $4,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 2,000 | $4,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 1,115 | $4,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 1,068 | $4,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 256 | $4,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 906 | $4,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 909 | $4,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 917 | $4,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 193 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 70 | $4,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 500 | $4,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 632 | $4,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 492 | $4,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 1,900 | $4,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AP8 | CORPORATE OBLIG | 1,000 | $4,000 | thousands by filing date | principal |
| QLT INC | 746927102 | COMMON STOCK | 1,796 | $4,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 144 | $4,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,171 | $4,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 2,157 | $4,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 200 | $4,000 | thousands by filing date | call |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 700 | $4,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 100 | $4,000 | thousands by filing date | put |
| BAKER HUGHES INC | 057224107 | COM | 100 | $4,000 | thousands by filing date | call |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 300 | $4,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 2,500 | $4,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 9,000 | $4,000 | thousands by filing date | put |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 1,000 | $4,000 | thousands by filing date | principal |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 10,305 | $4,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 331 | $4,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 2,600 | $4,000 | thousands by filing date | put |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 5,000 | $4,000 | thousands by filing date | principal |
| DYNAMIC MATLS CORP | 267888105 | COM | 600 | $4,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 200 | $4,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 363 | $4,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 200 | $4,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 4,395 | $4,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 20,531 | $4,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 1,915 | $4,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 723 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H566 | PS AGRI DS ETN | 125 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 142 | $4,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 1,273 | $4,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 5,945 | $4,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 1,412 | $4,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 255 | $4,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 6,403 | $4,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 427 | $4,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 919 | $4,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 2,306 | $4,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 385 | $4,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 3,092 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X179 | ULT MSCIMEX CAPP | 180 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A889 | GERMAN SOV/SUB | 119 | $4,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 1,550 | $4,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 6,292 | $4,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 2,438 | $4,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 2,111 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 210 | $4,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 727 | $4,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 1,200 | $4,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,500 | $4,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 2,954 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 109 | $4,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 1,033 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 78 | $4,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 3,593 | $4,000 | thousands by filing date | |
| GLOBAL PARTNER ACQUISITION C | 37954X105 | COM | 400 | $4,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 1,354 | $4,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 571 | $4,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T501 | COM PAR | 1,030 | $4,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 1,698 | $4,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 1,017 | $4,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 241 | $4,000 | thousands by filing date | |
| XTERA COMMUNICATIONS INC | 98415E300 | COM | 1,298 | $4,000 | thousands by filing date | |
| E COMPASS ACQUISITION CORP | G2920Y200 | UNIT 99/99/9999 | 407 | $4,000 | thousands by filing date | |
| LIME ENERGY CO COM | 53261U304 | COM | 1,521 | $4,000 | thousands by filing date | |
| CELATOR PHARMACEUTICALS INC | 15089R102 | Cmn | 353 | $4,000 | thousands by filing date | |
| NEPHROGENEX INC | 640667101 | Cmn | 8,573 | $4,000 | thousands by filing date | |
| VRINGO INC | 92911N302 | Cmn | 2,649 | $4,000 | thousands by filing date | |
| GORES HLDGS INC | 382866200 | UNIT 99/99/9999 | 400 | $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 | 1,775 | $4,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 18,572 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W288 | ULT BLMBRG COMM | 122 | $4,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V863 | SSGA RISK AWAR | 96 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R247 | HIGH INCOME MLP | 872 | $4,000 | thousands by filing date | |
| CARDICA INC | 14141R309 | COM NEW | 1,117 | $4,000 | thousands by filing date | |
| C B PHARMA ACQUISITION CORP | G2029P100 | UNIT 12/17/2021 | 410 | $4,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 100 | $3,000 | thousands by filing date | put |
| CAMECO CORP COM | 13321L108 | Stock | 200 | $3,000 | thousands by filing date | call |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,044 | $3,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 175 | $3,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 136 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 107 | $3,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 200 | $3,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 273 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 57 | $3,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 1,500 | $3,000 | thousands by filing date | put |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 2,584 | $3,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 100 | $3,000 | thousands by filing date | call |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 1,280 | $3,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 1,334 | $3,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,015 | $3,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 148 | $3,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,012 | $3,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 230 | $3,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 257 | $3,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 3,071 | $3,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 631 | $3,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 764 | $3,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 255 | $3,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 778 | $3,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 3,221 | $3,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 1,175 | $3,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 116 | $3,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 2,511 | $3,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,155 | $3,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 6,200 | $3,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,176 | $3,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 4,864 | $3,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 1,080 | $3,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 500 | $3,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 594 | $3,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 603 | $3,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 6,017 | $3,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 3,350 | $3,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 200 | $3,000 | thousands by filing date | call |
| COBALT INTL ENERGY INC | 19075F106 | COM | 1,000 | $3,000 | thousands by filing date | call |
| PENN WEST PETE LTD NEW | 707887105 | COM | 3,700 | $3,000 | thousands by filing date | call |
| IMAGE SENSING SYS INC | 45244C104 | COM | 969 | $3,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 4,645 | $3,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 5,904 | $3,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 200 | $3,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 3,625 | $3,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 318 | $3,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 2,612 | $3,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 775 | $3,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 1,128 | $3,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 593 | $3,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 4,436 | $3,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 706 | $3,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 228 | $3,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 2,307 | $3,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 5,167 | $3,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 10,000 | $3,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 300 | $3,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 6,300 | $3,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 748 | $3,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 3,793 | $3,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 800 | $3,000 | thousands by filing date | |
| China Recycling Energy Corp | 168913101 | Com | 11,123 | $3,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 784 | $3,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 275 | $3,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 13,498 | $3,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 4,000 | $3,000 | thousands by filing date | principal |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 5,053 | $3,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 2,623 | $3,000 | thousands by filing date | |
| SEMILEDS CORP | 816645105 | COM | 11,377 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 248 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P170 | INV JAP GOV BD | 206 | $3,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 222 | $3,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 2,011 | $3,000 | thousands by filing date | |
| REMARK MEDIA INC | 75954W107 | COM | 709 | $3,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 2,599 | $3,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 1,183 | $3,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 2,742 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 99 | $3,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 602 | $3,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 319 | $3,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 1,100 | $3,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 166 | $3,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 372 | $3,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 555 | $3,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 1,198 | $3,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 504 | $3,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 1,479 | $3,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 390 | $3,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 117 | $3,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 324 | $3,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 359 | $3,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 350 | $3,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 200 | $3,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 106 | $3,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 219 | $3,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 2,909 | $3,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 2,350 | $3,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 900 | $3,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO COM PAR NEW | 560690307 | Stock | 3,473 | $3,000 | thousands by filing date | |
| Medovex Corp | 58504H101 | COM | 2,748 | $3,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 500 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P320 | IPTH LIVESTK | 62 | $3,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y106 | COM | 1,803 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y124 | DAILY RGNAL BEAR | 85 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B548 | DEV EUR PA | 100 | $3,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP III | 14055M106 | COMMON STOCK | 260 | $3,000 | thousands by filing date | |
| Capnia, Inc. | 14066L105 | Common | 2,402 | $3,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 642 | $3,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853202 | Cmn | 1,822 | $3,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 8,881 | $3,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E207 | Pref Stk | 806 | $3,000 | thousands by filing date | |
| LABSTYLE INNOVATIONS CORP | 50544T112 | *W EXP 03/08/202 | 3,500 | $3,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R506 | PURFND BG DATA | 126 | $3,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 30 | $2,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 200 | $2,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 73 | $2,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 200 | $2,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 100 | $2,000 | thousands by filing date | put |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 2,000 | $2,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 102 | $2,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 176 | $2,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 69 | $2,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 227 | $2,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 297 | $2,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 135 | $2,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 2,212 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 100 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 3,000 | $2,000 | thousands by filing date | principal |
| FULL HSE RESORTS INC | 359678109 | COM | 1,632 | $2,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 90 | $2,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 689 | $2,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 600 | $2,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 819 | $2,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 633 | $2,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 72 | $2,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 510 | $2,000 | thousands by filing date | |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 135 | $2,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 16,262 | $2,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 200 | $2,000 | thousands by filing date | put |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 215 | $2,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 209 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 21 | $2,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 200 | $2,000 | thousands by filing date | call |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 150 | $2,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 300 | $2,000 | thousands by filing date | call |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 66 | $2,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 1,329 | $2,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 9,100 | $2,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 999 | $2,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 5,561 | $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 | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,000 | $2,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 5,000 | $2,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 300 | $2,000 | thousands by filing date | call |
| ANTARES PHARMA INC | 036642106 | COM | 2,000 | $2,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 434 | $2,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 335 | $2,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 151 | $2,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 387 | $2,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 2,822 | $2,000 | thousands by filing date | |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 21,955 | $2,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 9,107 | $2,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 4,472 | $2,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 1,951 | $2,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 971 | $2,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 92 | $2,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 1,212 | $2,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 1,394 | $2,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 638901306 | PFD | 619 | $2,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 1,644 | $2,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 8,513 | $2,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 7,598 | $2,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 4,558 | $2,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 110 | $2,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 142 | $2,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 1,992 | $2,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 1,000 | $2,000 | thousands by filing date | principal |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 1,324 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 150 | $2,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 1,430 | $2,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 2,686 | $2,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 2,000 | $2,000 | thousands by filing date | principal |
| IBIO INC | 451033104 | COM | 3,630 | $2,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 8,139 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 82 | $2,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 1,000 | $2,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 152 | $2,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 1,500 | $2,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 15,000 | $2,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 489 | $2,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 4,927 | $2,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 1,283 | $2,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 242 | $2,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y750 | QAM EQTY HEDGE | 57 | $2,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 308 | $2,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639209 | UNIT 12/06/20166 | 351 | $2,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 5,320 | $2,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 3,627 | $2,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 1,442 | $2,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 298,238 | $2,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 200 | $2,000 | thousands by filing date | call |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 376 | $2,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 3,514 | $2,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 150 | $2,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 333 | $2,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 100 | $2,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 465 | $2,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 2,392 | $2,000 | thousands by filing date | |
| FULING GLOBAL INC | G3729B102 | SHS | 679 | $2,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 1,201 | $2,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 1,892 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33739Q606 | HEITMAN GLOBAL | 100 | $2,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 701 | $2,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 954 | $2,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 1,678 | $2,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 2,000 | $2,000 | thousands by filing date | principal |
| STATE NATIONAL. | 85711T305 | Common Stock | 147 | $2,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 1,271 | $2,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 80 | $2,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 1,000 | $2,000 | thousands by filing date | principal |
| TCP International Holdings Ltd | H84689100 | COMMON | 1,651 | $2,000 | thousands by filing date | |
| HENNESSY CAP ACQUISITION COR | 42588J100 | COM | 200 | $2,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247206 | UNIT 99/99/9999 | 154 | $2,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 2,939 | $2,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T309 | COM NEW | 11,865 | $2,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255153 | *W | 4,500 | $2,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP III | 14055M205 | STOCK UNIT | 251 | $2,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403102 | Cmn | 13,540 | $2,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 8,300 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K711 | EURO BULL 2X | 80 | $2,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 100 | $1,000 | thousands by filing date | call |
| OIL DRI CORP AMER COM | 677864100 | Stock | 31 | $1,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 109 | $1,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 375 | $1,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 32 | $1,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 3,000 | $1,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 400 | $1,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 30 | $1,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 126 | $1,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 60 | $1,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 155 | $1,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 100 | $1,000 | thousands by filing date | put |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 100 | $1,000 | thousands by filing date | put |
| ARDELYX INC | 039697107 | COM | 100 | $1,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 245 | $1,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 2,801 | $1,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 39 | $1,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 461 | $1,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 90 | $1,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 100 | $1,000 | thousands by filing date | call |
| ASCENT INDUSTRIES CO | 871565107 | COM | 140 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 176 | $1,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 157 | $1,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 734 | $1,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 30 | $1,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 369 | $1,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 786 | $1,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 10 | $1,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 1,620 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 480 | $1,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 105,000 | $1,000 | thousands by filing date | principal |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 360 | $1,000 | thousands by filing date | |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 576 | $1,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 332 | $1,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 1,582 | $1,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 264 | $1,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 100 | $1,000 | thousands by filing date | call |
| GREAT PANTHER MINING | 39115V101 | COM | 1,000 | $1,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 169 | $1,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 1,072 | $1,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 1,089 | $1,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 2,500 | $1,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 600 | $1,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 951 | $1,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 2,116 | $1,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 500 | $1,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,008 | $1,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 123 | $1,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 125 | $1,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 600 | $1,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 887 | $1,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 1,600 | $1,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 582 | $1,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 149 | $1,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 50 | $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 | |
| Tremor Video | 89484Q100 | Common Stock | 802 | $1,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 500 | $1,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 394 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 2,192 | $1,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 2,387 | $1,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 486 | $1,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 302 | $1,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 148 | $1,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 2,227 | $1,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 250 | $1,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 250 | $1,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 702 | $1,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 2,000 | $1,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 500 | $1,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 1,689 | $1,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 4,120 | $1,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 162 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D787 | VIX MID TERM | 60 | $1,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 39 | $1,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 891 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 84 | $1,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 73 | $1,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 1,597 | $1,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 709 | $1,000 | thousands by filing date | |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 7,168 | $1,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 6,629 | $1,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 200 | $1,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 100 | $1,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 1,500 | $1,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 691 | $1,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 1,058 | $1,000 | thousands by filing date | |
| CHINA METRO-RURAL HLDGS LTD | G3163G104 | SHS | 896 | $1,000 | thousands by filing date | |
| SUNTRUST BKS INC | 867914111 | *W EXP 11/14/201 | 260 | $1,000 | thousands by filing date | |
| PACIFIC BOOKER MINERALS INC | 69403R108 | COM | 725 | $1,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 400 | $1,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 572 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-016908 | this filing | 2016-05-12 | acceptance time not in the bulk data set |