13F-HR filed by NOMURA HOLDINGS INC
NOMURA HOLDINGS INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 2,309 holding rows worth $16,622,368,000.
- Accession
- 0001140361-13-042623
- Filer
- CIK 1163653
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 3,980 entries on the cover page, a total value of $16,622,368,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $16,622,368,000 with VALUE read as thousands by filing date, 13F file number 028-10594. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerNOMURA SECURITIES INTERNATIONAL INC028-04983
- included managerNOMURA INTERNATIONAL PLC028-04985
- included managerNOMURA SECURITIES BERMUDA LTD028-04993
- included managerNOMURA GLOBAL FINANCIAL PRODUCTS INC028-15494
- included managerNomura Capital Markets plc028-15597
- included managerNOMURA SECURITIES CO LTD028-04979
- included managerNomura Corporate Research & Asset Management Inc.028-13982
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 |
|---|---|---|---|---|---|---|
| SWIFT ENERGY CO | 870738101 | COM | 12,525 | $143,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 10,420 | $143,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 24,829 | $142,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H104 | COM | 15,543 | $142,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 64,889 | $142,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 12,560 | $142,000 | thousands by filing date | |
| HOMEAWAY INC | 43739Q100 | COM | 5,057 | $141,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 33,500 | $141,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 60,330 | $140,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 44,567 | $140,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 46,150 | $138,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 12,243 | $137,000 | thousands by filing date | |
| EARTHLINK INC | 270321102 | COM | 27,612 | $137,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 37,097 | $137,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 10,603 | $136,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 31,799 | $136,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 61,514 | $135,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 22,025 | $135,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 30,214 | $132,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 10,400 | $131,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 18,780 | $131,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 126,000 | $131,000 | thousands by filing date | principal |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 24,744 | $127,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 2,600 | $126,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 11,619 | $124,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 23,838 | $124,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 14,578 | $124,000 | thousands by filing date | |
| BLACKROCK SR HIGH INCOME FD | 09255T109 | COM | 31,307 | $123,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 120,000 | $122,000 | thousands by filing date | principal |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 12,595 | $121,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 126,850 | $121,000 | thousands by filing date | |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 12,522 | $121,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 1,800 | $120,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 10,367 | $120,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 36,430 | $120,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 14,801 | $120,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 10,642 | $119,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,380 | $119,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 11,700 | $119,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 36,312 | $118,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 15,800 | $116,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 13,465 | $115,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 36,500 | $115,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS I | 45773H102 | COM | 54,845 | $113,000 | thousands by filing date | |
| SYNTROLEUM CORP | 871630208 | COM | 24,020 | $113,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 1,355 | $112,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 24,326 | $112,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 16,101 | $111,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 33,100 | $111,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 13,513 | $110,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 16,403 | $110,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 16,300 | $110,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 164,405 | $110,000 | thousands by filing date | |
| Hologic | 436440AA9 | CONV | 110,000 | $110,000 | thousands by filing date | principal |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 17,300 | $110,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 11,595 | $109,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 18,038 | $109,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 23,700 | $109,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 11,595 | $108,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 24,664 | $107,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 12,550 | $105,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 11,928 | $102,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 10,157 | $102,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 2,500 | $102,000 | thousands by filing date | |
| GRAFTECH INTERNATIONAL LTD | 384313102 | COMMON STOCK | 12,080 | $102,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 11,935 | $101,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 51,572 | $100,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 16,148 | $100,000 | thousands by filing date | |
| EXTERRAN HLDGS INC 4.250 | 30225XAA1 | NOTE 4.250% 6/1 | 78,000 | $97,000 | thousands by filing date | principal |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 10,781 | $96,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 70,894 | $96,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 21,232 | $95,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 26,099 | $95,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 71,450 | $94,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 15,831 | $93,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 31,907 | $92,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 21,951 | $92,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 1,800 | $91,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 2,795 | $91,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 69,498 | $90,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 10,568 | $90,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 31,384 | $87,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 14,294 | $87,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 46,295 | $84,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 24,200 | $83,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 3,000 | $83,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 35,093 | $82,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 12,655 | $82,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 8,438 | $81,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 64,441 | $80,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 19,605 | $79,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 101,700 | $79,000 | thousands by filing date | |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 36,700 | $78,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 80,471 | $78,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 37,014 | $76,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 18,100 | $75,000 | thousands by filing date | |
| EQUINIX INC | 29444UAG1 | CNV | 45,000 | $75,000 | thousands by filing date | principal |
| CELSION CORPORATION | 15117N305 | COM NEW | 64,200 | $74,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 14,293 | $72,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,949 | $71,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 3,300 | $71,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 31,896 | $71,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 10,119 | $70,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AG0 | NOTE 2.625%12/1 | 70,000 | $70,000 | thousands by filing date | principal |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 22,700 | $69,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 15,320 | $69,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 13,600 | $67,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 39,750 | $67,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 10,915 | $66,000 | thousands by filing date | |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 40,000 | $66,000 | thousands by filing date | principal |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 600 | $65,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 1,100 | $63,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 15,506 | $63,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 137,100 | $62,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 42,401 | $61,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 34,700 | $61,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 11,100 | $60,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 12,050 | $60,000 | thousands by filing date | |
| VELTI PLC ST HELIER | G93285107 | SHS | 159,650 | $59,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 15,450 | $58,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES | 007903AL1 | CORPORATE OBLIG | 55,000 | $57,000 | thousands by filing date | principal |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 16,461 | $57,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 500 | $54,000 | thousands by filing date | |
| SILICON IMAGE INC | 82705T102 | COM | 10,038 | $54,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 22,624 | $53,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 38,000 | $53,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 81,300 | $52,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 15,097 | $51,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P205 | COM NEW | 100,400 | $50,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AH9 | NOTE | 49,000 | $49,000 | thousands by filing date | principal |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 10,500 | $48,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 109,800 | $48,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 30,173 | $48,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 15,550 | $45,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 35,000 | $44,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 33,800 | $44,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 35,000 | $44,000 | thousands by filing date | principal |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 40,000 | $43,000 | thousands by filing date | principal |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 400 | $41,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 20,500 | $40,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,195 | $39,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 32,599 | $39,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 10,300 | $39,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 800 | $38,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 29,000 | $38,000 | thousands by filing date | principal |
| ANDATEE CHINA MARINE FUEL SV | 67086W105 | COM | 18,232 | $37,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 700 | $36,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 15,500 | $34,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 1,672 | $33,000 | thousands by filing date | |
| INTL GAME TECH 3.250 | 459902AQ5 | NOTE 3.250% 5/0 | 30,000 | $33,000 | thousands by filing date | principal |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,839 | $32,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 12,201 | $32,000 | thousands by filing date | |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 11,401 | $31,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 10,200 | $31,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 10,795 | $30,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 1,264 | $30,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 300 | $29,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 15,800 | $28,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 13,200 | $27,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 1,000 | $27,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 1,000 | $27,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 15,000 | $26,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 300 | $25,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 10,200 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 684 | $24,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 11,959 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 1,000 | $23,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 1,300 | $23,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 2,158 | $23,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 21,000 | $23,000 | thousands by filing date | principal |
| U S GEOTHERMAL INC | 90338S102 | COM | 51,200 | $23,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,300 | $22,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,798 | $22,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 11,800 | $21,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 20,000 | $21,000 | thousands by filing date | principal |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 10,228 | $21,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 12,106 | $21,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 4,501 | $20,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 10,756 | $20,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 27,694 | $20,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 15,000 | $19,000 | thousands by filing date | principal |
| CARDIUM THERAPEUTICS INC | 141916304 | Common equity shares | 18,192 | $19,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 300 | $18,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 56,500 | $18,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 500 | $17,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 10,752 | $17,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 17,000 | $17,000 | thousands by filing date | principal |
| DWS MUN INCOME TR COM | 23338M106 | COM | 1,307 | $16,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 15,400 | $16,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 200 | $15,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 10,100 | $15,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 600 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 861 | $15,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 2,100 | $15,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 17,000 | $13,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 310 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 300 | $13,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 200 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 701 | $11,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| BG MEDICINE INC | 08861T107 | COM | 10,800 | $10,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 2,700 | $10,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP/THE | 320771108 | COM | 11,450 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 472 | $10,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X100 | SHS | 3,100 | $10,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 6,150 | $10,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 1,000 | $9,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 200 | $9,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 1,069 | $9,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 400 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 200 | $9,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 600 | $8,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 600 | $8,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 18,200 | $8,000 | thousands by filing date | |
| ALLIANZGI GLOBAL EQUITY & CO | 01882W100 | COM | 500 | $8,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U305 | COM NEW | 29,600 | $8,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 1,600 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 200 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y546 | DRX DLYBRZB 3X | 300 | $8,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 400 | $7,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO | 560690208 | COM NEW | 13,350 | $7,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 400 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 240 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 634 | $7,000 | thousands by filing date | |
| NEWLEAD HOLDINGS LTD | G64626115 | SHS | 39,800 | $7,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 1,600 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 300 | $6,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 200 | $6,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 500 | $6,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 400 | $6,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 300 | $6,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 500 | $5,000 | thousands by filing date | |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 57,377 | $5,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 400 | $5,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 11,300 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 300 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 100 | $4,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 200 | $4,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 300 | $4,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 257 | $4,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 400 | $4,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 200 | $4,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 603 | $4,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 1,700 | $4,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 200 | $4,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 100 | $4,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 200 | $4,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 250 | $4,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 200 | $3,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 300 | $3,000 | thousands by filing date | |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 1,050 | $3,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 500 | $3,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 400 | $3,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 200 | $3,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 200 | $3,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 500 | $3,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 300 | $3,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 1,900 | $3,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 1,100 | $3,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 100 | $3,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 100 | $3,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 500 | $3,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 185 | $2,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 500 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 186 | $2,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 200 | $2,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 400 | $2,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 200 | $2,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 300 | $2,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 200 | $2,000 | thousands by filing date | |
| DOUBLE EAGLE PETE CO | 258570209 | COM PAR $0.10 | 575 | $2,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 200 | $2,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 243 | $2,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 200 | $2,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 100 | $2,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 40 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 16 | $1,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 89 | $1,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 75 | $1,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 83 | $1,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 100 | $1,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 100 | $1,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 64 | $1,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 643 | $1,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 800 | $1,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 100 | $1,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 100 | $1,000 | thousands by filing date | |
| DYNAMICS RESEARCH CORP | 268057106 | COM | 100 | $1,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 100 | $1,000 | thousands by filing date | |
| OWENS CORNING WARRANT | 690742127 | COMMON | 19,300 | $1,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 68 | $1,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 100 | $1,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 200 | $1,000 | thousands by filing date | |
| IMRIS INC | 45322N105 | COM | 374 | $1,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751103 | SHS | 199 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 400 | $1,000 | thousands by filing date | |
| HELIOS ADVANTAGE INCOME FD I | 42327W206 | COM NEW | 100 | $1,000 | thousands by filing date | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 350 | $1,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 161 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DWS | 23338W104 | EXCHANGE TRADED | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZOGENIX INC | 98978L105 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 56 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMBIENT CORP | 02318N201 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HOLLYWOOD MEDIA CORP | 436233100 | CMN | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINANET ONLINE HLDGS INC | 16949H102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-13-042623 | this filing | 2013-11-14 | acceptance time not in the bulk data set |