13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 7,940 holding rows worth $251,020,154,000.
- Accession
- 0001140361-13-042870
- Filer
- CIK 70858
- 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 combination report, 18,344 entries on the cover page, a total value of $251,020,154,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $251,020,154,000 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 |
|---|---|---|---|---|---|---|
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 1,000 | $16,000 | thousands by filing date | |
| ONEIDA FINL CORP MD | 682479100 | COM | 1,200 | $16,000 | thousands by filing date | |
| POWERSHARES LUX | 73935X633 | LX NANOTCH PTF | 2,367 | $16,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q205 | COM | 14,900 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 868 | $16,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 400 | $16,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 1,048 | $16,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 3,068 | $15,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 2,000 | $15,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 500 | $15,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 200 | $15,000 | thousands by filing date | call |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 763 | $15,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 1,501 | $15,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 800 | $15,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | put |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 3,500 | $15,000 | thousands by filing date | put |
| FIFTH & PAC COS INC | 316645100 | COM | 600 | $15,000 | thousands by filing date | call |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 1,476 | $15,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 5,500 | $15,000 | thousands by filing date | call |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 800 | $15,000 | thousands by filing date | call |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 3,318 | $15,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 500 | $15,000 | thousands by filing date | call |
| RUBICON MINERALS CORP | 780911103 | COM | 11,500 | $15,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 629 | $15,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 20,172 | $15,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 3,707 | $15,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 8,186 | $15,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 1,410 | $15,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 10,441 | $15,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,700 | $15,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 5,214 | $15,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 600 | $15,000 | thousands by filing date | |
| GSI GROUP INC | 36191C205 | COM | 1,552 | $15,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 1,767 | $15,000 | thousands by filing date | |
| SELECTICA INC | 816288203 | COM | 2,708 | $15,000 | thousands by filing date | |
| NAUGATUCK VY FINL CORP MD | 63906P107 | COM | 1,900 | $15,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 177 | $14,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 6,925 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 190 | $14,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 2,423 | $14,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 600 | $14,000 | thousands by filing date | put |
| LAKELAND FINL CORP | 511656100 | COM | 423 | $14,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 7,826 | $14,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 950 | $14,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 837 | $14,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 2,150 | $14,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 307 | $14,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 859 | $14,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 2,596 | $14,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 817 | $14,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 1,679 | $14,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 1,600 | $14,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 8,298 | $14,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 4,735 | $14,000 | thousands by filing date | |
| SIMCERE PHARMACEUTICAL GROUP | 82859P104 | SPON ADR | 1,500 | $14,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 839 | $14,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 2,300 | $14,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 6,000 | $14,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 957 | $14,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 14,750 | $14,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 6,764 | $14,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 1,841 | $14,000 | thousands by filing date | |
| MARKET VECTORS BANK AND BROK | 57060U175 | CMN | 265 | $14,000 | thousands by filing date | |
| TECHE HLDG CO | 878330109 | COM | 300 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 628 | $14,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 378 | $13,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 697 | $13,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 678 | $13,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 1,504 | $13,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 305 | $13,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 500 | $13,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,300 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 300 | $13,000 | thousands by filing date | put |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 300 | $13,000 | thousands by filing date | call |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 1,521 | $13,000 | thousands by filing date | |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 12,000 | $13,000 | thousands by filing date | principal |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 337 | $13,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 2,631 | $13,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 1,433 | $13,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 9,500 | $13,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 3,244 | $13,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 400 | $13,000 | thousands by filing date | put |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,600 | $13,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 282 | $13,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 1,000 | $13,000 | thousands by filing date | |
| POKERTEK INC | 730864204 | COM | 10,765 | $13,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 3,393 | $13,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 1,100 | $13,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 1,115 | $13,000 | thousands by filing date | |
| CHARM COMMUNICATIONS INC | 16112R101 | ADR SHS CL A | 3,000 | $13,000 | thousands by filing date | |
| JAN VELOCITY VELOCITY HED | 00162Q791 | Equities | 500 | $13,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 1,717 | $13,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 353 | $12,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 676 | $12,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 500 | $12,000 | thousands by filing date | call |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 5,100 | $12,000 | thousands by filing date | put |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 698 | $12,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 2,218 | $12,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 440 | $12,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 450 | $12,000 | thousands by filing date | |
| XL GROUP PLC | G98290102 | SHS | 400 | $12,000 | thousands by filing date | call |
| EARTHLINK INC | 270321102 | COM | 2,500 | $12,000 | thousands by filing date | put |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 344 | $12,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 5,239 | $12,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 7,000 | $12,000 | thousands by filing date | principal |
| HARBINGER GROUP INC | 41146A106 | COM | 1,170 | $12,000 | thousands by filing date | |
| NUVERRA ENVIRNMNTL SOLUTIO | 67091K104 | COM | 5,100 | $12,000 | thousands by filing date | put |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 11,000 | $12,000 | thousands by filing date | principal |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 13,020 | $12,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 15,000 | $12,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 3,266 | $12,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 8,500 | $12,000 | thousands by filing date | put |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 967 | $12,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 2,000 | $12,000 | thousands by filing date | call |
| ACTIVE POWER INC | 00504W308 | COM NEW | 4,006 | $12,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 944 | $12,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 663 | $12,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 1,158 | $12,000 | thousands by filing date | |
| T.G.C. INDUSTRIES INC | 872417308 | COM | 1,566 | $12,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 4,325 | $12,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 3,200 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 200 | $12,000 | thousands by filing date | call |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 535 | $12,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 7,200 | $12,000 | thousands by filing date | |
| FIRST AMERICAN MN MUN INC II | 31849P104 | CMN | 900 | $12,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 338 | $12,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90268A691 | FISH GR RK OFF | 650 | $12,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 1,000 | $12,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 200 | $11,000 | thousands by filing date | put |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 153 | $11,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 603 | $11,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 363 | $11,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 200 | $11,000 | thousands by filing date | put |
| BJS RESTAURANTS INC | 09180C106 | COM | 400 | $11,000 | thousands by filing date | call |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 539 | $11,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 650 | $11,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 525 | $11,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,250 | $11,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 270 | $11,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 300 | $11,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 462 | $11,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 2,800 | $11,000 | thousands by filing date | call |
| ISHARES | 464286830 | EXCHANGE TRADED | 700 | $11,000 | thousands by filing date | put |
| EDGIO INC | 53261M104 | COM | 5,614 | $11,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 6,710 | $11,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 4,608 | $11,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 1,600 | $11,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 399 | $11,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 600 | $11,000 | thousands by filing date | call |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 1,820 | $11,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 4,600 | $11,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 5,302 | $11,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 966 | $11,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 2,653 | $11,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 5,601 | $11,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 1,700 | $11,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 11,000 | $11,000 | thousands by filing date | principal |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 570 | $11,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 200 | $10,000 | thousands by filing date | call |
| CARNIVAL PLC ADS | 14365C103 | ADR | 324 | $10,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 550 | $10,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 296 | $10,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 2,119 | $10,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 347 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 193 | $10,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 1,443 | $10,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 1,304 | $10,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 200 | $10,000 | thousands by filing date | put |
| AEROFLEX HOLDING CORP | 007767106 | COMMON STOCK | 1,436 | $10,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 861 | $10,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 130 | $10,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAB6 | DBCV 2.750% 8/1 | 9,000 | $10,000 | thousands by filing date | principal |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 7,000 | $10,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 9,000 | $10,000 | thousands by filing date | principal |
| EXETER RES CORP | 301835104 | COM | 13,700 | $10,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 349 | $10,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| SUFFOLK BANCORP | 864739107 | COM | 586 | $10,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 77 | $10,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 1,044 | $10,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 458 | $10,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 532 | $10,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 1,347 | $10,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 1,750 | $10,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 425 | $10,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 4,000 | $10,000 | thousands by filing date | principal |
| EUROSEAS LTD | Y23592200 | CMN | 6,850 | $10,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 125 | $10,000 | thousands by filing date | |
| RIVER VY BANCORP | 768475105 | COM | 400 | $10,000 | thousands by filing date | |
| MATERIAL SCIENCES CORP | 576674105 | COM | 1,025 | $10,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 900 | $10,000 | thousands by filing date | |
| ATLATSA RES CORP | 049477102 | COM | 25,125 | $10,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 1,330 | $9,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 488 | $9,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 500 | $9,000 | thousands by filing date | put |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 864 | $9,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 583 | $9,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 119 | $9,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,231 | $9,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 1,054 | $9,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 663 | $9,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 1,336 | $9,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $9,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,389 | $9,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 569 | $9,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 200 | $9,000 | thousands by filing date | |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 44 | $9,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 12,350 | $9,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 2,100 | $9,000 | thousands by filing date | put |
| STAPLES INC | 855030102 | COM | 600 | $9,000 | thousands by filing date | put |
| Zagg, Inc. | 98884U108 | COM | 2,000 | $9,000 | thousands by filing date | call |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 4,209 | $9,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 4,332 | $9,000 | thousands by filing date | |
| LAKE SHORE GOLD CORP | 510728108 | COM | 21,500 | $9,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 600 | $9,000 | thousands by filing date | put |
| ISOFTSTONE HLDGS LTD | 46489B108 | SPONSORED ADS | 1,800 | $9,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 4,513 | $9,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 4,300 | $9,000 | thousands by filing date | |
| RICK'S CABARET INTL INC | 765641303 | COM | 800 | $9,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 2,200 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286566 | MSCI EMKT EUR | 349 | $9,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 500 | $9,000 | thousands by filing date | |
| HELIOS HIGH | 42327X204 | COM NEW | 1,114 | $9,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,428 | $9,000 | thousands by filing date | |
| MADISON COUNTY FINANCIAL INC | 556777100 | COM | 500 | $9,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 1,056 | $9,000 | thousands by filing date | put |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 294 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 400 | $8,000 | thousands by filing date | call |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 338 | $8,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 382 | $8,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 350 | $8,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 500 | $8,000 | thousands by filing date | put |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 1,813 | $8,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 900 | $8,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 470 | $8,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,548 | $8,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 2,300 | $8,000 | thousands by filing date | call |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,403 | $8,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,478 | $8,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 500 | $8,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 550 | $8,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 100 | $8,000 | thousands by filing date | put |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 682 | $8,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 172 | $8,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 581 | $8,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 6,611 | $8,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 666 | $8,000 | thousands by filing date | |
| HERTZ GLOBAL HOLDINGS INC | 42805TAA3 | NOTE 5.250% 6/0 | 3,000 | $8,000 | thousands by filing date | principal |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 565 | $8,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 6,839 | $8,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 300 | $8,000 | thousands by filing date | call |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 6,000 | $8,000 | thousands by filing date | principal |
| CLEVELAND BIOLABS INC | 185860103 | COM | 4,890 | $8,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 3,130 | $8,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 3,000 | $8,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 144 | $8,000 | thousands by filing date | |
| SCHAWK INC | 806373106 | CL A | 597 | $8,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 1,071 | $8,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 5,290 | $8,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 1,500 | $8,000 | thousands by filing date | |
| SYNTROLEUM CORP | 871630208 | COM | 1,840 | $8,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 7,000 | $8,000 | thousands by filing date | principal |
| WEST MARINE INC | 954235107 | COM | 634 | $8,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 500 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 149 | $8,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 9,000 | $8,000 | thousands by filing date | principal |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 1,500 | $8,000 | thousands by filing date | |
| CSR PLC | 12640Y205 | SPONSORED ADR | 252 | $8,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 1,000 | $8,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461860 | EGSHARE ENGY GEM | 340 | $8,000 | thousands by filing date | |
| ANALYSTS INTL CORP | 032681207 | COM | 1,200 | $8,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818AB7 | CNV | 3,000 | $8,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 180 | $8,000 | thousands by filing date | put |
| CREDIT SUISSE AG NASSAU BRH | 22539T621 | EXCHTRADE MIDTER | 100 | $8,000 | thousands by filing date | call |
| NOVA LTD COM | M7516K103 | Stock | 800 | $7,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 100 | $7,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 100 | $7,000 | thousands by filing date | call |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 502 | $7,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 385 | $7,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 327 | $7,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 259 | $7,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 500 | $7,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 300 | $7,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $7,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 1,235 | $7,000 | thousands by filing date | |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 7,000 | $7,000 | thousands by filing date | principal |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 7,050 | $7,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 728 | $7,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 7,000 | $7,000 | thousands by filing date | principal |
| PENNS WOODS BANCORP INC | 708430103 | COM | 134 | $7,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 300 | $7,000 | thousands by filing date | put |
| MCCLATCHY CO | 579489105 | CL A | 2,457 | $7,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 791 | $7,000 | thousands by filing date | |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 6,000 | $7,000 | thousands by filing date | principal |
| MEDIVATION INC | 58501NAA9 | NOTE | 5,000 | $7,000 | thousands by filing date | principal |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 30,900 | $7,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 600 | $7,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 233 | $7,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 1,450 | $7,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 500 | $7,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 428 | $7,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 1,176 | $7,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 1,324 | $7,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 532 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X567 | ULTSHT CHINA 25 | 390 | $7,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 9,060 | $7,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 300 | $7,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 6,700 | $7,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 1,595 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 317 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 242 | $7,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 2,900 | $7,000 | thousands by filing date | |
| MOD PAC CORP | 607495108 | COM | 810 | $7,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 4,750 | $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 | 4,304 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 500 | $7,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 904 | $7,000 | thousands by filing date | |
| MARLIN MIDSTREAM PARTNERS LP | 57118V100 | COM UTLTD PTN IN | 400 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y322 | COM | 237 | $7,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 100 | $6,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 700 | $6,000 | thousands by filing date | call |
| DAILY JOURNAL CORP | 233912104 | COM | 38 | $6,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 423 | $6,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 422 | $6,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 225 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 223 | $6,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 135 | $6,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 492 | $6,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 700 | $6,000 | thousands by filing date | put |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 2,600 | $6,000 | thousands by filing date | call |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 2,048 | $6,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 2,000 | $6,000 | thousands by filing date | put |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 246 | $6,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 212 | $6,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,934 | $6,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 1,300 | $6,000 | thousands by filing date | put |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 4,000 | $6,000 | thousands by filing date | principal |
| Coastal Contacts, Inc. | 19044r207 | COM | 1,000 | $6,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 1,200 | $6,000 | thousands by filing date | call |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 3,000 | $6,000 | thousands by filing date | principal |
| CAREER EDUCATION CORP | 141665109 | COM | 2,000 | $6,000 | thousands by filing date | put |
| EPIZYME INC | 29428V104 | COM | 142 | $6,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 3,000 | $6,000 | thousands by filing date | principal |
| THERAGENICS CORP | 883375107 | COM | 2,720 | $6,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 1,974 | $6,000 | thousands by filing date | |
| STANDARD PARKING CORP | 853790103 | COM | 214 | $6,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 302 | $6,000 | thousands by filing date | |
| HILLSHIRE BRANDS CO | 432589109 | COM | 200 | $6,000 | thousands by filing date | call |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 9,690 | $6,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 354 | $6,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 583 | $6,000 | thousands by filing date | |
| WHITEWAVE FOODS CO | 966244204 | COM CL B | 309 | $6,000 | thousands by filing date | |
| AUTONAVI HLDGS LTD | 05330F106 | SPONSORED ADR | 400 | $6,000 | thousands by filing date | |
| VIRGINIA COMM BANCORP INC | 92778Q109 | COM | 408 | $6,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 1,000 | $6,000 | thousands by filing date | put |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 300 | $6,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 8,771 | $6,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 6,000 | $6,000 | thousands by filing date | principal |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 400 | $6,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 175 | $6,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 626 | $6,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 264 | $6,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 691 | $6,000 | thousands by filing date | |
| NASB FINANCIAL INC | 628968109 | COM | 230 | $6,000 | thousands by filing date | |
| MOLYCORP INC $0.055 PFD | 608753208 | PREFERRED | 289 | $6,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 5,000 | $6,000 | thousands by filing date | principal |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 5,829 | $6,000 | thousands by filing date | |
| PROMOTORA DE INFORMACIONES S | 74343G303 | ADR CL B CONV | 3,000 | $6,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 1,175 | $6,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 1,375 | $6,000 | thousands by filing date | |
| NTS RLTY HLDGS LTD PARTNERSH | 629422106 | PARTSHIP UNITS | 1,221 | $6,000 | thousands by filing date | |
| ISHARES TR | 464289560 | TELECM SVCS FD | 100 | $6,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 4,500 | $6,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 200 | $5,000 | thousands by filing date | put |
| OIL DRI CORP AMER COM | 677864100 | Stock | 135 | $5,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 100 | $5,000 | thousands by filing date | call |
| OSHKOSH CORP COM | 688239201 | Stock | 100 | $5,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 14,700 | $5,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 143 | $5,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 386 | $5,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 388 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 8,000 | $5,000 | thousands by filing date | principal |
| COFFEE HLDG CO INC | 192176105 | COM | 800 | $5,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 577 | $5,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 370 | $5,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,000 | $5,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 2,180 | $5,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 1,090 | $5,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 3,000 | $5,000 | thousands by filing date | principal |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 349 | $5,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 151 | $5,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 401 | $5,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 127 | $5,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 1,666 | $5,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 387 | $5,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 780 | $5,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 464 | $5,000 | thousands by filing date | |
| Northeast Community Bancorp Inc | 664112109 | COM | 800 | $5,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 407 | $5,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 5,000 | $5,000 | thousands by filing date | principal |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 2,300 | $5,000 | thousands by filing date | call |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 765 | $5,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 185 | $5,000 | thousands by filing date | |
| ARKANSAS BEST CORP | 040790107 | COM | 200 | $5,000 | thousands by filing date | call |
| MILLER ENERGY RES INC | 600527105 | COM | 643 | $5,000 | thousands by filing date | |
| ZALICUS INC | 98887C105 | COM | 4,500 | $5,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 4,052 | $5,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 3,550 | $5,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 902 | $5,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 297 | $5,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 1,500 | $5,000 | thousands by filing date | call |
| CENVEO INC | 15670S105 | COM | 1,703 | $5,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 292 | $5,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 295 | $5,000 | thousands by filing date | |
| CHINDEX INTERNATIONAL INC | 169467107 | COM | 290 | $5,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 147 | $5,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 1,800 | $5,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 292 | $5,000 | thousands by filing date | |
| DFC GLOBAL CORP | 256664AC7 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 698 | $5,000 | thousands by filing date | |
| HF FINANCIAL CORP | 404172108 | COMMON STOCK USD.01 | 400 | $5,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,497 | $5,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 227 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 200 | $5,000 | thousands by filing date | call |
| PROSHARES VIX | 74347W684 | VIX MDTRM FUTR | 204 | $5,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 5,000 | $5,000 | thousands by filing date | principal |
| SUMMER INFANT INC | 865646103 | COMM STK | 1,900 | $5,000 | thousands by filing date | |
| QUATERRA RES INC | 747952109 | COM | 36,950 | $5,000 | thousands by filing date | |
| J F CHINA REGION FD INC | 46614T107 | COM | 355 | $5,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 330 | $5,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895101 | CLB | 560 | $5,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 4,000 | $5,000 | thousands by filing date | principal |
| TIMBERLINE RESOURCES CORP | 887133106 | COM | 25,400 | $5,000 | thousands by filing date | |
| DENDREON CORP | 24823QAB3 | NOTE 4.750% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 107 | $5,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 772 | $5,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 1,250 | $5,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 250 | $5,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 74 | $4,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 289 | $4,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 100 | $4,000 | thousands by filing date | call |
| AH RLTY TR INC | 04208T108 | COM | 325 | $4,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 144 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 50 | $4,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 198 | $4,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 1,750 | $4,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 234 | $4,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 100 | $4,000 | thousands by filing date | put |
| HORIZON BANCORP IND | 440407104 | COM | 164 | $4,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 146 | $4,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 349 | $4,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 171 | $4,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 191 | $4,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 193 | $4,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 637 | $4,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,500 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 58 | $4,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 900 | $4,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 3,000 | $4,000 | thousands by filing date | principal |
| BERKSHIRE BANCORP INC | 084597202 | COMMON STOCK | 450 | $4,000 | thousands by filing date | |
| WASHINGTON BANKING CO | 937303105 | COMMON STOCK | 317 | $4,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 256 | $4,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 150 | $4,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 163 | $4,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 121 | $4,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 1,300 | $4,000 | thousands by filing date | put |
| HORIZON PHARMA INC | 44047T109 | COM | 1,068 | $4,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 1,060 | $4,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 955 | $4,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AQ6 | NOTE 1.500% 8/0 | 2,000 | $4,000 | thousands by filing date | principal |
| MINDSPEED TECHNOLOGIES INC | 602682205 | COM NEW | 1,505 | $4,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 4,000 | $4,000 | thousands by filing date | principal |
| BLUE NILE INC | 09578R103 | COM | 100 | $4,000 | thousands by filing date | put |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 200 | $4,000 | thousands by filing date | call |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 300 | $4,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 100 | $4,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 348 | $4,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 1,680 | $4,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 200 | $4,000 | thousands by filing date | put |
| MELA SCIENCES INC | 55277R100 | COM | 5,600 | $4,000 | thousands by filing date | put |
| ProShares UltraShort Russell 2000 ETF | 74348A202 | Com | 300 | $4,000 | thousands by filing date | put |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 504 | $4,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 143 | $4,000 | thousands by filing date | |
| ARDEN GROUP INC-A | 039762109 | CL A | 28 | $4,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 365 | $4,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC | 398905AE9 | FRNT | 3,000 | $4,000 | thousands by filing date | principal |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 2,962 | $4,000 | thousands by filing date | |
| EASTERN INSURANCE HOLDINGS | 276534104 | COM | 146 | $4,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 675 | $4,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 548 | $4,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 1,412 | $4,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 400 | $4,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 862 | $4,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 170 | $4,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 146 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-13-042870 | this filing | 2013-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-14-009994 | added | 2014-02-27 | acceptance time not in the bulk data set |