13F-HR filed by Focused Wealth Management, Inc
Focused Wealth Management, Inc filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-12, with 740 holding rows worth $130,386,000.
- Accession
- 0001062993-14-006455
- Filer
- CIK 1586052
- Filed
- 2014-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 740 entries on the cover page, a total value of $130,386,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $130,386,000 with VALUE read as thousands by filing date, 13F file number 028-15621. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 131 | $6,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 151 | $6,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 100 | $6,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 100 | $6,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 130 | $6,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 200 | $6,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 2,610 | $6,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 80 | $6,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 152 | $6,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 90 | $5,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 100 | $5,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 57 | $5,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 67 | $5,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 102 | $5,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 1,000 | $5,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 576 | $5,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 80 | $5,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 100 | $5,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 56 | $5,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 113 | $5,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 550 | $5,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 112 | $5,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 400 | $5,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 122 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 40 | $5,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 80 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 35 | $5,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 96 | $5,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 200 | $5,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 447 | $5,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 400 | $5,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 758 | $5,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 362 | $5,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 500 | $5,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 115 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 145 | $5,000 | thousands by filing date | |
| ARROWHEAD RESH CORP | 042797959 | Cmn | 2,500 | $5,000 | thousands by filing date | put |
| CONAGRA FOODS INC | 205887102 | COM | 115 | $4,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 100 | $4,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 96 | $4,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 88 | $4,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 77 | $4,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 769 | $4,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 100 | $4,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 379 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 225 | $4,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 325 | $4,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 100 | $4,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 545 | $4,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 521 | $4,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 109 | $4,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 200 | $4,000 | thousands by filing date | |
| ACTAVIS PLC | G0083B108 | SHS | 18 | $4,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 200 | $4,000 | thousands by filing date | |
| TRW AUTOMOTIVE HLDGS CORP | 87264S106 | COM | 35 | $4,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 137 | $4,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 300 | $3,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 550 | $3,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 76 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 31 | $3,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 360 | $3,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 460 | $3,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 200 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 26 | $3,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 40 | $3,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 350 | $3,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 78 | $3,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 325 | $3,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 111 | $3,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 920 | $3,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 100 | $3,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 125 | $3,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 193 | $3,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 338 | $3,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 377 | $3,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 358 | $3,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 36 | $3,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 100 | $3,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 100 | $3,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 81 | $3,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 333 | $3,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 18 | $2,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 15 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 20 | $2,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 45 | $2,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 50 | $2,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 200 | $2,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 33 | $2,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 150 | $2,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 15 | $2,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 30 | $2,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 20 | $2,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 25 | $2,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 33 | $2,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 36 | $2,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 82 | $2,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 30 | $2,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 100 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 14 | $2,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 33 | $2,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 112 | $2,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 123 | $2,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 54 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 30 | $2,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 135 | $2,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 26 | $2,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 190 | $2,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 250 | $2,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 1,000 | $2,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 266 | $2,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 63 | $2,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 100 | $2,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 450 | $2,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 200 | $2,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 91 | $2,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 100 | $2,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 372 | $2,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 500 | $2,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 333 | $2,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 50 | $2,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 1,160 | $2,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 975 | $2,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 75 | $2,000 | thousands by filing date | |
| POWERSHARES QQQ NASDAQ 100 | 73935A904 | COM | 2,000 | $2,000 | thousands by filing date | call |
| DUPONT FABROS TECHNOLOGY | 26613Q906 | Cmn | 500 | $2,000 | thousands by filing date | call |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 800 | $2,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 100 | $1,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 63 | $1,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 40 | $1,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 71 | $1,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 46 | $1,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 101 | $1,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 14 | $1,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 20 | $1,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 31 | $1,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 15 | $1,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 100 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 17 | $1,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 10 | $1,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 110 | $1,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 101 | $1,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 26 | $1,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 15 | $1,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 30 | $1,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 46 | $1,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505904 | CALL | 3,000 | $1,000 | thousands by filing date | call |
| INTREPID POTASH INC | 46121Y102 | COM | 50 | $1,000 | thousands by filing date | |
| RIG 270115C00010000 | h8817h900 | CALL | 7,900 | $1,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO | 194162953 | PUT | 800 | $1,000 | thousands by filing date | put |
| OCCIDENTAL PETE CORP | 674599905 | CALL | 15,000 | $1,000 | thousands by filing date | call |
| FORTINET INC | 34959E959 | PUT | 800 | $1,000 | thousands by filing date | put |
| Enzo Biochem Inc | 294100102 | Common Stock | 110 | $1,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 9 | $1,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 50 | $1,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 35 | $1,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 47 | $1,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 66 | $1,000 | thousands by filing date | |
| GRAFTECH INTERNATIONAL LTD | 384313102 | COMMON STOCK | 120 | $1,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 303 | $1,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 13 | $1,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 30 | $1,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 62 | $1,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 40 | $1,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 100 | $1,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 145 | $1,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 1,000 | $1,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS INC | 018804104 | COM | 4 | $1,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 16 | $1,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 197 | $1,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 55 | $1,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 400 | $1,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 80 | $1,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 67 | $1,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 62 | $1,000 | thousands by filing date | |
| POWERSHARES QQQ NASDAQ 100 | 73935A954 | COM | 3,000 | $1,000 | thousands by filing date | put |
| INVENSENSE INC | 46123D905 | COM | 2,800 | $1,000 | thousands by filing date | call |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 54 | $1,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 36 | $1,000 | thousands by filing date | |
| Washington Prime Group | 939647103 | COM | 51 | $1,000 | thousands by filing date | |
| MOBILEYE N V AMSTELVEEN | N51488907 | CALL | 400 | $1,000 | thousands by filing date | call |
| COLUMBIA LABS INC | 197779200 | COM NEW | 205 | $1,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINROSS GOLD CORP | 496902404 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COEUR MNG INC COM NEW | 192108504 | Stock | 110 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEXTRON INC COM | 883203101 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWS CORP NEW CL A | 65249B109 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OLD REP INTL CORP COM | 680223104 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JBT MAREL CORPORATION | 477839104 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMUCKER J M CO | 832696405 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XILINX INC | 983919101 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIPER SANDLER COMPANIES | 724078100 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CBS CORP NEW | 124857202 | CL B | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CST BRANDS INC | 12646R105 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RADNET INC | 750491102 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JPMORGAN CHASE & CO | 46625H900 | CALL | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| AMAZON COM INC | 023135956 | PUT | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VISA INC | 92826C909 | CALL | 9,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HALLIBURTON CO | 406216901 | CALL | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SLB LIMITED | 806857908 | CALL | 900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PFIZER INC | 717081903 | CALL | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MCDONALDS CORP | 580135901 | COM | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XL GROUP PLC | G98290102 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ITT CORP | 450911201 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMAGIN CORP | 29076N206 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHH CORP | 693320202 | COM NEW | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMATION CORP | 45245A107 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMULEX CORP | 292475209 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXETER RES CORP | 301835104 | COM | 310 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 133 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 166 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIVUS INC | 928551100 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WEBMD HEALTH CORP | 94770V102 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCLARO INC | 67555N206 | COM | 67 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MONSANTO CO | 61166W901 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GEEKNET INC | 36846Q203 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 175 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIFELOCK INC | 53224V900 | COM | 800 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VAPOR CORP NEV COM NEW | 922099205 | US SMALL AND MID-CAP EQUITIES | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-14-006455 | this filing | 2014-11-12 | acceptance time not in the bulk data set |