13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-14, with 7,970 holding rows worth $237,812,265,000.
- Accession
- 0001140361-13-032941
- Filer
- CIK 70858
- Filed
- 2013-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A combination report, 18,567 entries on the cover page, a total value of $237,812,265,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $237,812,265,000 with VALUE read as thousands by filing date, 13F file number 028-00158. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerMANAGED ACCOUNT ADVISORS LLC028-12631
- included managerBANK OF AMERICA NA028-10264
- included managerMERRILL LYNCH, PIERCE, FENNER & SMITH INC.028-00962
- included managerMERRILL LYNCH CANADA INC028-14408
- included managerMERRILL LYNCH INTERNATIONAL028-07178
- included managerMERRILL LYNCH PROFESSIONAL CLEARING CORP028-11545
- included managerMERRILL LYNCH GROUP, INC.028-12505
- included managerMerrill Lynch Portfolio Managers LTD028-14479
- included managerU.S. TRUST Co OF DELAWARE028-10270
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 |
|---|---|---|---|---|---|---|
| ALEXCO RESOURCE CORP | 01535P106 | COM | 16,551 | $18,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 7,474 | $18,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 1,300 | $18,000 | thousands by filing date | |
| NUVERRA ENVIRNMNTL SOLUTIO | 67091K104 | COM | 6,100 | $18,000 | thousands by filing date | call |
| EXAMWORKS GROUP INC COM | 30066A105 | COM | 833 | $18,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 10,653 | $18,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 4,376 | $18,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 1,000 | $18,000 | thousands by filing date | put |
| AUGUSTA RES CORP | 050912203 | COM NEW | 8,703 | $18,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 700 | $18,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 760 | $18,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 7,134 | $18,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 2,100 | $17,000 | thousands by filing date | call |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 600 | $17,000 | thousands by filing date | put |
| CHEESECAKE FACTORY INC | 163072101 | COM | 400 | $17,000 | thousands by filing date | put |
| SEALED AIR CORP NEW | 81211K100 | COM | 700 | $17,000 | thousands by filing date | call |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 1,580 | $17,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 500 | $17,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 900 | $17,000 | thousands by filing date | put |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 1,000 | $17,000 | thousands by filing date | put |
| MAKO SURGICAL CORP | 560879108 | COM | 1,400 | $17,000 | thousands by filing date | call |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 800 | $17,000 | thousands by filing date | put |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 1,200 | $17,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 4,016 | $17,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 9,317 | $17,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 700 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 252 | $17,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 4,989 | $17,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,114 | $17,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 400 | $17,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 696 | $17,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 200 | $16,000 | thousands by filing date | put |
| OWENS CORNING NEW | 690742101 | COM | 400 | $16,000 | thousands by filing date | put |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,010 | $16,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 867 | $16,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 4,000 | $16,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 814 | $16,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 10,800 | $16,000 | thousands by filing date | put |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 186 | $16,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 3,100 | $16,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 2,044 | $16,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,563 | $16,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 2,300 | $16,000 | thousands by filing date | put |
| RARE ELEMENT RES LTD | 75381M102 | COM | 7,915 | $16,000 | thousands by filing date | |
| EDGEN GROUP INC | 28014Q107 | CL A | 2,539 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 700 | $16,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 4,463 | $16,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 1,000 | $16,000 | thousands by filing date | call |
| SINGAPORE FUND | 82929L109 | COM | 1,200 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 836 | $16,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 4,387 | $16,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 1,000 | $15,000 | thousands by filing date | put |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,002 | $15,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 224 | $15,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,432 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 782 | $15,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 9,017 | $15,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 4,004 | $15,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 12,000 | $15,000 | thousands by filing date | call |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 1,000 | $15,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 14,767 | $15,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 1,831 | $15,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L407 | GOLD TRENDP ETN | 541 | $15,000 | thousands by filing date | |
| TW TELECOM INC | 887319AC5 | CNV | 10,000 | $15,000 | thousands by filing date | principal |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 2,523 | $15,000 | thousands by filing date | |
| PROLOR BIOTECH INC | 74344F106 | COM | 2,400 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 868 | $15,000 | thousands by filing date | |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 10,000 | $15,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 2,953 | $15,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 600 | $14,000 | thousands by filing date | call |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 177 | $14,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,010 | $14,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 4,700 | $14,000 | thousands by filing date | call |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 1,572 | $14,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 1,900 | $14,000 | thousands by filing date | put |
| GREAT PANTHER MINING | 39115V101 | COM | 18,676 | $14,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 2,368 | $14,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 3,469 | $14,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 12,900 | $14,000 | thousands by filing date | put |
| NPS PHARMACEUTICALS INC | 62936P103 | COM | 900 | $14,000 | thousands by filing date | put |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,317 | $14,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 9,500 | $14,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,600 | $14,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 12,100 | $14,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 788 | $14,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 4,700 | $14,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 1,073 | $14,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 6,766 | $14,000 | thousands by filing date | |
| NATIONAL RETAIL PPTYS INC NOTE 5.125% 6/1 | 637417AC0 | Common | 10,000 | $14,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W379 | UL VIXSTFUT ETF | 191 | $14,000 | thousands by filing date | |
| HELIOS HIGH | 42327X204 | COM NEW | 1,749 | $14,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 3,739 | $14,000 | thousands by filing date | |
| MARKET VECTORS RUSSIA SMALL | 57060U399 | CMN | 1,045 | $14,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 1,115 | $14,000 | thousands by filing date | |
| THAI CAP FD INC | 882905201 | COM NEW | 1,200 | $14,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 417 | $13,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 729 | $13,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 4,400 | $13,000 | thousands by filing date | put |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,283 | $13,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 1,000 | $13,000 | thousands by filing date | put |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 10,491 | $13,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 2,245 | $13,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 2,289 | $13,000 | thousands by filing date | |
| KNIGHT CAP GROUP INC CL A | 499005106 | COM | 3,600 | $13,000 | thousands by filing date | call |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 10,295 | $13,000 | thousands by filing date | |
| FNB UNITED CORP | 302519202 | COM | 1,641 | $13,000 | thousands by filing date | |
| SYNTROLEUM CORP | 871630208 | COM | 1,855 | $13,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 2,400 | $13,000 | thousands by filing date | put |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 1,959 | $13,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 7,000 | $13,000 | thousands by filing date | principal |
| VIRTUS TOTAL | 92829A103 | COM | 3,393 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W219 | COM | 1,000 | $13,000 | thousands by filing date | call |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 132 | $13,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 137 | $13,000 | thousands by filing date | |
| FIRST AMERICAN MN MUN INC II | 31849P104 | CMN | 900 | $13,000 | thousands by filing date | |
| TECHE HLDG CO | 878330109 | COM | 300 | $13,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 2,031 | $13,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90268A691 | FISH GR RK OFF | 650 | $13,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255302 | COM PAR $0.0001 | 6,261 | $13,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 800 | $12,000 | thousands by filing date | call |
| OLIN CORP | 680665205 | COM PAR $1 | 500 | $12,000 | thousands by filing date | put |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 573 | $12,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 762 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 270 | $12,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 400 | $12,000 | thousands by filing date | put |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 1,600 | $12,000 | thousands by filing date | call |
| PIER 1 IMPORTS INC | 720279108 | COM | 500 | $12,000 | thousands by filing date | put |
| TUMI HLDGS INC | 89969Q104 | COM | 500 | $12,000 | thousands by filing date | put |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 500 | $12,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 5,700 | $12,000 | thousands by filing date | put |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 2,336 | $12,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 952 | $12,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 282 | $12,000 | thousands by filing date | |
| VERENIUM CORP | 92340P209 | COM | 5,411 | $12,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 180 | $12,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 6,759 | $12,000 | thousands by filing date | |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 1,644 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W219 | COM | 900 | $12,000 | thousands by filing date | put |
| GENVEC INC NEW | 37246C307 | cs | 32,029 | $12,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 1,000 | $12,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 800 | $11,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 160 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 450 | $11,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,803 | $11,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 548 | $11,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 500 | $11,000 | thousands by filing date | call |
| SOURCEFIRE INC | 83616T108 | COMMON STOCK | 200 | $11,000 | thousands by filing date | put |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 1,000 | $11,000 | thousands by filing date | put |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 1,900 | $11,000 | thousands by filing date | call |
| MONSTER WORLDWIDE INC | 611742107 | COM | 2,200 | $11,000 | thousands by filing date | call |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 790 | $11,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 9,000 | $11,000 | thousands by filing date | principal |
| ROCKWELL MED INC | 774374102 | COM | 2,967 | $11,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 2,423 | $11,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 2,392 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 531 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 368 | $11,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 882 | $11,000 | thousands by filing date | |
| IVANHOE ENERGY INC | 465790301 | COM NEW | 12,833 | $11,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 251 | $11,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 253 | $10,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 308 | $10,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 400 | $10,000 | thousands by filing date | call |
| CHAMPION HOMES INC | 830830105 | COM | 2,670 | $10,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 200 | $10,000 | thousands by filing date | call |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 8,000 | $10,000 | thousands by filing date | principal |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 364 | $10,000 | thousands by filing date | |
| RDA MICROELECTRONICS INC | 749394102 | SPONSORED ADR | 872 | $10,000 | thousands by filing date | |
| MOLSON COORS BREWING CO | 60871RAA8 | NOTE 2.500% 7/3 | 10,000 | $10,000 | thousands by filing date | principal |
| COMPUWARE CORP | 205638109 | COM | 1,000 | $10,000 | thousands by filing date | call |
| VALUECLICK INC | 92046N102 | COM | 400 | $10,000 | thousands by filing date | put |
| NOVACOPPER INC | 66988K102 | COM | 6,018 | $10,000 | thousands by filing date | |
| 7 DAYS GROUP HLDGS LTD | 81783J101 | ADR | 731 | $10,000 | thousands by filing date | |
| NASDAQ OMX GROUP INC 2.500 | 631103AA6 | NOTE 2.500% 8/1 | 10,000 | $10,000 | thousands by filing date | principal |
| SOLTA MED INC | 83438K103 | COM | 4,270 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347X567 | ULTSHT CHINA 25 | 427 | $10,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 2,746 | $10,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 125 | $10,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 18,475 | $10,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 900 | $10,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 1,207 | $10,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 267 | $9,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 1,330 | $9,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 1,000 | $9,000 | thousands by filing date | put |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 200 | $9,000 | thousands by filing date | call |
| EXELON CORP COM | 30161N101 | Stock | 300 | $9,000 | thousands by filing date | put |
| AVERY DENNISON CORP COM | 053611109 | Stock | 200 | $9,000 | thousands by filing date | call |
| CINTAS CORP COM | 172908105 | Stock | 200 | $9,000 | thousands by filing date | put |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 2,043 | $9,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 3,804 | $9,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 475 | $9,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,258 | $9,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 386 | $9,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 570 | $9,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 1,304 | $9,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 800 | $9,000 | thousands by filing date | put |
| NW Biotherapeutics | 66737P600 | USD | 2,825 | $9,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 801 | $9,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 1,261 | $9,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 11,500 | $9,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 500 | $9,000 | thousands by filing date | put |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 10,000 | $9,000 | thousands by filing date | principal |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 273 | $9,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 15,011 | $9,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 1,484 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 338 | $9,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AN3 | NOTE | 4,000 | $9,000 | thousands by filing date | principal |
| KMG CHEMICALS INC | 482564101 | COM | 442 | $9,000 | thousands by filing date | |
| Acquity Group Ltd | 00489C103 | COM | 674 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 102 | $9,000 | thousands by filing date | |
| POKERTEK INC | 730864204 | COM | 7,870 | $9,000 | thousands by filing date | |
| FACTORSHARES 2X: OIL-SP500 | 30304P104 | COM | 1,303 | $9,000 | thousands by filing date | |
| AMBIENT CORP | 02318N201 | COM | 3,741 | $9,000 | thousands by filing date | |
| RIVER VY BANCORP | 768475105 | COM | 400 | $9,000 | thousands by filing date | |
| MOD PAC CORP | 607495108 | COM | 1,033 | $9,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 5,685 | $9,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818AB7 | CNV | 3,000 | $9,000 | thousands by filing date | principal |
| ISHARES INC | 464286418 | EMKT CNSM DISC | 191 | $9,000 | thousands by filing date | |
| NTS RLTY HLDGS LTD PARTNERSH | 629422106 | PARTSHIP UNITS | 1,221 | $9,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 7,200 | $9,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 74 | $8,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 200 | $8,000 | thousands by filing date | call |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 350 | $8,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1,131 | $8,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 1,146 | $8,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 300 | $8,000 | thousands by filing date | put |
| LA Z BOY INC | 505336107 | COM | 400 | $8,000 | thousands by filing date | call |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,032 | $8,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 675 | $8,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $8,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 300 | $8,000 | thousands by filing date | call |
| STRATASYS LTD | M85548101 | SHS | 100 | $8,000 | thousands by filing date | put |
| Gilat Satellite Network | M51474118 | COM | 1,450 | $8,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,070 | $8,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 200 | $8,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 1,422 | $8,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 100 | $8,000 | thousands by filing date | put |
| LEUCADIA NATL CORP | 527288104 | COM | 300 | $8,000 | thousands by filing date | call |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 2,700 | $8,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 3,200 | $8,000 | thousands by filing date | call |
| NYSE EURONEXT | 629491101 | COM | 200 | $8,000 | thousands by filing date | put |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 15,000 | $8,000 | thousands by filing date | principal |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 924 | $8,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 300 | $8,000 | thousands by filing date | call |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 300 | $8,000 | thousands by filing date | call |
| CLEVELAND BIOLABS INC | 185860103 | COM | 4,890 | $8,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779101 | COM | 13,796 | $8,000 | thousands by filing date | |
| RICK'S CABARET INTL INC | 765641303 | COM | 920 | $8,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 265 | $8,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 500 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286566 | MSCI EMKT EUR | 347 | $8,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 9,000 | $8,000 | thousands by filing date | principal |
| CSR PLC | 12640Y205 | SPONSORED ADR | 252 | $8,000 | thousands by filing date | |
| CHINA MARINE | 16943R106 | COM | 10,000 | $8,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 300 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 299 | $8,000 | thousands by filing date | |
| ISHARES TR | 464289636 | MSCI ACWI EX | 115 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $8,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 300 | $7,000 | thousands by filing date | put |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 900 | $7,000 | thousands by filing date | call |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 200 | $7,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 312 | $7,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 524 | $7,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 358 | $7,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 103 | $7,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 300 | $7,000 | thousands by filing date | call |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 921 | $7,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 500 | $7,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 3,332 | $7,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 200 | $7,000 | thousands by filing date | call |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 108 | $7,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 5,000 | $7,000 | thousands by filing date | principal |
| ENERGY TRANSFER L P LP | 30064K105 | COM | 218 | $7,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 12,350 | $7,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,200 | $7,000 | thousands by filing date | call |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 654 | $7,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 1,122 | $7,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 1,700 | $7,000 | thousands by filing date | put |
| ISOFTSTONE HLDGS LTD | 46489B108 | SPONSORED ADS | 1,450 | $7,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 288 | $7,000 | thousands by filing date | |
| HILLSHIRE BRANDS CO | 432589109 | COM | 200 | $7,000 | thousands by filing date | call |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 1,123 | $7,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 4,000 | $7,000 | thousands by filing date | principal |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 5,000 | $7,000 | thousands by filing date | principal |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 30,168 | $7,000 | thousands by filing date | |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 5,000 | $7,000 | thousands by filing date | principal |
| HYPERDYNAMICS CORP | 448954107 | COM | 15,114 | $7,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 773 | $7,000 | thousands by filing date | |
| FIRST FED BNCSHS OF ARKANSAS | 32020F303 | COM | 857 | $7,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 242 | $7,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 500 | $7,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 300 | $7,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 6,850 | $7,000 | thousands by filing date | |
| ALLIANCE DATA SYSTEMS CORP | 018581AD0 | NOTE 1.750% 8/0 | 3,000 | $7,000 | thousands by filing date | principal |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 2,207 | $7,000 | thousands by filing date | |
| NOVAGOLD RES INC | 66987EAA5 | NOTE 5.500% 5/0 | 7,000 | $7,000 | thousands by filing date | principal |
| VESTIN RLTY MTG II INC | 92549X201 | COM NEW | 4,308 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 500 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 85 | $7,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 400 | $6,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 400 | $6,000 | thousands by filing date | call |
| TRIPADVISOR INC | 896945201 | COM | 100 | $6,000 | thousands by filing date | put |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 100 | $6,000 | thousands by filing date | call |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 547 | $6,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 300 | $6,000 | thousands by filing date | put |
| MARCHEX INC | 56624R108 | CMN | 969 | $6,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 687 | $6,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 600 | $6,000 | thousands by filing date | put |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 3,400 | $6,000 | thousands by filing date | call |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 541 | $6,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 2,005 | $6,000 | thousands by filing date | |
| TRANSWITCH CORP | 894065309 | COM | 15,901 | $6,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 200 | $6,000 | thousands by filing date | call |
| XL GROUP PLC | G98290102 | SHS | 200 | $6,000 | thousands by filing date | call |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 2,200 | $6,000 | thousands by filing date | call |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 4,000 | $6,000 | thousands by filing date | principal |
| NUTRI SYS INC NEW | 67069D108 | COM | 500 | $6,000 | thousands by filing date | call |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 6,000 | $6,000 | thousands by filing date | principal |
| TELLABS INC | 879664100 | COM | 3,100 | $6,000 | thousands by filing date | call |
| COLDWATER CREEK INC | 193068202 | COM | 2,431 | $6,000 | thousands by filing date | |
| PALOMAR MEDICAL TECHNOLOGIES | 697529303 | COM | 413 | $6,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 536 | $6,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 5,000 | $6,000 | thousands by filing date | principal |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 1,062 | $6,000 | thousands by filing date | |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 900 | $6,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 2,580 | $6,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 405 | $6,000 | thousands by filing date | |
| ANTHERA PHARMACEUTICALS INC | 03674U102 | COM | 11,950 | $6,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 6,301 | $6,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 6,000 | $6,000 | thousands by filing date | put |
| INTL SHIPHOLDING CORP | 460321201 | COM | 262 | $6,000 | thousands by filing date | |
| ARABIAN AMERICAN DEVELOPMENT | 038465100 | COM | 633 | $6,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 3,704 | $6,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 5,074 | $6,000 | thousands by filing date | |
| EASTERN INSURANCE HOLDINGS | 276534104 | COM | 343 | $6,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 2,240 | $6,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 9,060 | $6,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 712 | $6,000 | thousands by filing date | |
| ECOTALITY INC | 27922Y202 | COM NEW | 3,522 | $6,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 1,000 | $6,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 5,000 | $6,000 | thousands by filing date | principal |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 14,600 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 200 | $6,000 | thousands by filing date | put |
| PROSHARES ULTRASHORT RE | 74348A871 | COM | 300 | $6,000 | thousands by filing date | put |
| PROSHARES ULTRASHORT RE | 74348A871 | COM | 300 | $6,000 | thousands by filing date | call |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 6,929 | $6,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 1,595 | $6,000 | thousands by filing date | |
| AMDOCS LTD | 02342tad1 | NOTE 0.500% 3/1 | 7,000 | $6,000 | thousands by filing date | principal |
| STANDARD REGISTER CO | 853887206 | COM | 2,079 | $6,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 3,754 | $6,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895101 | CLB | 560 | $6,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,200 | $6,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 200 | $5,000 | thousands by filing date | put |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 764 | $5,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 2,967 | $5,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 100 | $5,000 | thousands by filing date | put |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 380 | $5,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 521 | $5,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 198 | $5,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,700 | $5,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,000 | $5,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,039 | $5,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 335 | $5,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 5,852 | $5,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 1,400 | $5,000 | thousands by filing date | call |
| Northeast Community Bancorp Inc | 664112109 | COM | 800 | $5,000 | thousands by filing date | |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 870 | $5,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 3,000 | $5,000 | thousands by filing date | principal |
| FRESH MKT INC | 35804H106 | COM | 100 | $5,000 | thousands by filing date | put |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 1,300 | $5,000 | thousands by filing date | call |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 2,500 | $5,000 | thousands by filing date | call |
| WATERSTONE FINANCIAL INC | 941888109 | COM | 485 | $5,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 3,800 | $5,000 | thousands by filing date | put |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 2,595 | $5,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 500 | $5,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 1,000 | $5,000 | thousands by filing date | call |
| CIENA CORP | 171779AE1 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 500 | $5,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 477 | $5,000 | thousands by filing date | |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 1,133 | $5,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,805 | $5,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 2,000 | $5,000 | thousands by filing date | principal |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 300 | $5,000 | thousands by filing date | put |
| AMERICAN INDEPENDENCE CORP | 026760405 | COM | 666 | $5,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 588 | $5,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 414 | $5,000 | thousands by filing date | |
| J F CHINA REGION FD INC | 46614T107 | COM | 355 | $5,000 | thousands by filing date | |
| DENDREON CORP | 24823QAB3 | NOTE 4.750% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| ATLATSA RES CORP | 049477102 | COM | 25,125 | $5,000 | thousands by filing date | |
| ISHARES TR | 464289560 | TELECM SVCS FD | 100 | $5,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 924 | $5,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 100 | $4,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 2,275 | $4,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 100 | $4,000 | thousands by filing date | put |
| BANCROFT FUND LIMITED | 059695106 | COM | 234 | $4,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 200 | $4,000 | thousands by filing date | call |
| READING INTL INC | 755408101 | CL A | 684 | $4,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 382 | $4,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 577 | $4,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,513 | $4,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 532 | $4,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 1,595 | $4,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 121 | $4,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 800 | $4,000 | thousands by filing date | put |
| CAREER EDUCATION CORP | 141665109 | COM | 1,500 | $4,000 | thousands by filing date | put |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 200 | $4,000 | thousands by filing date | call |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 718 | $4,000 | thousands by filing date | |
| LONE PINE RES INC | 54222A106 | COM | 13,551 | $4,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 100 | $4,000 | thousands by filing date | put |
| DORAL FINL CORP COM | 25811P886 | COM | 5,323 | $4,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 100 | $4,000 | thousands by filing date | |
| MEDIVATION INC | 58501NAA9 | NOTE | 3,000 | $4,000 | thousands by filing date | principal |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 2,000 | $4,000 | thousands by filing date | principal |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 648 | $4,000 | thousands by filing date | |
| CELSION CORPORATION | 15117N305 | COM NEW | 4,100 | $4,000 | thousands by filing date | call |
| LUCAS ENERGY INC | 549333201 | COM NEW | 2,882 | $4,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 1,058 | $4,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 2,300 | $4,000 | thousands by filing date | put |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 2,964 | $4,000 | thousands by filing date | |
| FORTEGRA FINANCIAL CORP | 34954W104 | COM | 565 | $4,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 3,666 | $4,000 | thousands by filing date | principal |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 2,051 | $4,000 | thousands by filing date | |
| OWENS CORNING WARRANT | 690742127 | COMMON | 4,275 | $4,000 | thousands by filing date | |
| SAPPI LTD | 803069202 | SPON ADR NEW | 1,500 | $4,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 6,000 | $4,000 | thousands by filing date | |
| SALESFORCE COM INC | 79466LAB0 | BOND | 2,000 | $4,000 | thousands by filing date | principal |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 829 | $4,000 | thousands by filing date | |
| BAXANO SURGICAL | 071773105 | COM | 1,552 | $4,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 3,000 | $4,000 | thousands by filing date | principal |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,037 | $4,000 | thousands by filing date | |
| ISHARES TR | 464289172 | MSCI EM MK FNL | 175 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E507 | CHINA ENRG ETF | 312 | $4,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 584 | $4,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 600 | $4,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 253 | $4,000 | thousands by filing date | |
| TIMBERLINE RESOURCES CORP | 887133106 | COM | 25,400 | $4,000 | thousands by filing date | |
| FACTORSHARES S&P GOLD PREM | 30304T106 | COM UNT BEN IT | 555 | $4,000 | thousands by filing date | |
| OXYGEN BIOTHERAPEUTICS INC | 69207P308 | COM PAR $0.0001 | 1,397 | $4,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 200 | $3,000 | thousands by filing date | put |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 200 | $3,000 | thousands by filing date | put |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 167 | $3,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 100 | $3,000 | thousands by filing date | call |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 825 | $3,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 396 | $3,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 161 | $3,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 311 | $3,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 204 | $3,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 644 | $3,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 183 | $3,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 900 | $3,000 | thousands by filing date | put |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 1,200 | $3,000 | thousands by filing date | put |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 1,500 | $3,000 | thousands by filing date | call |
| SEACOAST BKG CORP FL | 811707306 | COMMON STOCK | 1,404 | $3,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 180 | $3,000 | thousands by filing date | put |
| LEUCADIA NATL CORP | 527288104 | COM | 100 | $3,000 | thousands by filing date | put |
| SONDE RESOURCES CORP | 835426107 | COM | 3,500 | $3,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 791 | $3,000 | thousands by filing date | |
| INFORMATICA CORP | 45666Q102 | COM | 100 | $3,000 | thousands by filing date | call |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 967 | $3,000 | thousands by filing date | |
| LAKE SHORE GOLD CORP | 510728108 | COM | 8,530 | $3,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AQ6 | NOTE 1.500% 8/0 | 2,000 | $3,000 | thousands by filing date | principal |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 2,400 | $3,000 | thousands by filing date | call |
| MCCLATCHY CO | 579489105 | CL A | 1,336 | $3,000 | thousands by filing date | |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 913 | $3,000 | thousands by filing date | |
| HERTZ GLOBAL HOLDINGS INC | 42805TAA3 | NOTE 5.250% 6/0 | 1,000 | $3,000 | thousands by filing date | principal |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 6,130 | $3,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 100 | $3,000 | thousands by filing date | call |
| TELLABS INC | 879664100 | COM | 1,500 | $3,000 | thousands by filing date | put |
| TRIQUINT SEMICONDUCTOR INC | 89674K103 | COM | 500 | $3,000 | thousands by filing date | put |
| AFFILIATED MANAGERS 3.950/15/38 | 008252AL2 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 146 | $3,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 22 | $3,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 1,224 | $3,000 | thousands by filing date | |
| ZALICUS INC | 98887C105 | COM | 4,589 | $3,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 908 | $3,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U305 | COM NEW | 7,670 | $3,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 399 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| KONAMI CORP-ADR | 50046R101 | SPON | 164 | $3,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 756 | $3,000 | thousands by filing date | |
| TRAVELZOO INC | 89421Q106 | COM | 100 | $3,000 | thousands by filing date | put |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 406 | $3,000 | thousands by filing date | |
| CORSICANTO LTD SR CONV NT CONV DTD 7/15/2012 3.5% 1/15/2032 | 220480AC1 | CONVERTIBLE | 3,000 | $3,000 | thousands by filing date | principal |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 714 | $3,000 | thousands by filing date | |
| VELOCITYSHARES 2X VIX SH-TRM | 22539T852 | CMN | 1,000 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A301 | ULTRASHORT EUROP | 125 | $3,000 | thousands by filing date | |
| SEMILEDS CORP | 816645105 | COM | 1,560 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288190 | FTSE CHINA ETF | 78 | $3,000 | thousands by filing date | |
| COUNTRY STYLE COOKING REST ADR | 22238M109 | ADR-EMG MKT | 528 | $3,000 | thousands by filing date | |
| PROMOTORA DE INFORMACIONES S | 74343G303 | ADR CL B CONV | 3,000 | $3,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 1,500 | $3,000 | thousands by filing date | |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 741 | $3,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 1,175 | $3,000 | thousands by filing date | |
| MEMSIC INC | 586264103 | EQUITY | 680 | $3,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 275 | $3,000 | thousands by filing date | |
| ALTAIR NANOTECHNOLOGIES INC | 021373303 | COM PAR $0.001 | 1,493 | $3,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 1,583 | $3,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 2,875 | $3,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 502 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-13-032941 | this filing | 2013-08-14 | acceptance time not in the bulk data set |