13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-18, with 8,337 holding rows worth $277,932,408,000.
- Accession
- 0001140361-14-008119
- Filer
- CIK 70858
- Filed
- 2014-02-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A combination report, 18,675 entries on the cover page, a total value of $277,932,408,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $277,932,408,000 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 managerBlue Ridge Investments L.L.C.
- included managerEquity Finance Delaware, LLC
- 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 |
|---|---|---|---|---|---|---|
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 3,655 | $22,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 1,704 | $22,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 246 | $21,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 2,100 | $21,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 1,223 | $21,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 344 | $21,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 900 | $21,000 | thousands by filing date | put |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 800 | $21,000 | thousands by filing date | call |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 5,500 | $21,000 | thousands by filing date | call |
| ENDOCYTE INC | 29269A102 | COM | 1,985 | $21,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 900 | $21,000 | thousands by filing date | |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 900 | $21,000 | thousands by filing date | call |
| JAMES RIVER COAL CO | 470355207 | COM | 15,500 | $21,000 | thousands by filing date | call |
| ECHELON CORP | 27874N105 | COM | 9,811 | $21,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 2,524 | $21,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 2,500 | $21,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,370 | $21,000 | thousands by filing date | |
| OMNICARE CAP TR II | 68214Q200 | PFD B TR 4.00% | 283 | $21,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 1,687 | $21,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R601 | 3-7YR US TREAS | 268 | $21,000 | thousands by filing date | |
| COVER-ALL TECHNOLOGIES INC | 222892101 | COM | 15,267 | $21,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,600 | $20,000 | thousands by filing date | call |
| ALICO INC | 016230104 | COM | 511 | $20,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 1,011 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 772 | $20,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 612 | $20,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 1,649 | $20,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 9,200 | $20,000 | thousands by filing date | call |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 1,600 | $20,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 623 | $20,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 4,700 | $20,000 | thousands by filing date | put |
| CURIS INC | 231269101 | COM | 7,100 | $20,000 | thousands by filing date | put |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 10,300 | $20,000 | thousands by filing date | call |
| Female Health Company | 314462102 | COM | 2,300 | $20,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 9,700 | $20,000 | thousands by filing date | put |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 2,059 | $20,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,700 | $20,000 | thousands by filing date | put |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 1,951 | $20,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 920 | $20,000 | thousands by filing date | |
| PMC COMMERCIAL TRUST | 693434102 | SH B | 2,330 | $20,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 1,000 | $20,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W227 | COM | 600 | $20,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 760 | $20,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 3,600 | $20,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 1,063 | $20,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 1,698 | $20,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461456 | EGSHS E MKTS DIV | 1,000 | $20,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 4,100 | $19,000 | thousands by filing date | put |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 1,400 | $19,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 1,300 | $19,000 | thousands by filing date | put |
| KAMADA LTD | M6240T109 | SHS | 1,279 | $19,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 9,343 | $19,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 1,000 | $19,000 | thousands by filing date | call |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 803 | $19,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 4,185 | $19,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 5,234 | $19,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 4,794 | $19,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 9,050 | $19,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 4,463 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U225 | RETAIL ETF | 307 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 932 | $19,000 | thousands by filing date | |
| PROSHARES VIX | 74347W684 | VIX MDTRM FUTR | 1,000 | $19,000 | thousands by filing date | call |
| NUVEEN MASSACHUSETTS | 67072F108 | COM | 1,682 | $19,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 503 | $19,000 | thousands by filing date | |
| FIRST W VA BANCORP INC | 337493100 | COM | 1,147 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 396 | $19,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 712 | $19,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461431 | EGSHS EM DV HIIN | 1,000 | $19,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 810 | $18,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 11,358 | $18,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,276 | $18,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 649 | $18,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 2,809 | $18,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,194 | $18,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 5,185 | $18,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 6,400 | $18,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 300 | $18,000 | thousands by filing date | put |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 1,326 | $18,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 10,289 | $18,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 2,253 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X146 | PSHS ULTSHT FINL | 1,081 | $18,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAA8 | NOTE | 15,000 | $18,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 836 | $18,000 | thousands by filing date | |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 10,000 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 636 | $18,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 446 | $17,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 300 | $17,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 1,829 | $17,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 2,400 | $17,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 5,987 | $17,000 | thousands by filing date | |
| STELLARONE CORP | 85856G100 | COMMON STOCK | 703 | $17,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 666 | $17,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 6,048 | $17,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 20,000 | $17,000 | thousands by filing date | principal |
| QUANTUM CORP | 747906204 | COM DSSG | 13,921 | $17,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 14,134 | $17,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 400 | $17,000 | thousands by filing date | put |
| HARVEST CAP CR CORP | 41753F109 | COM | 1,114 | $17,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 2,500 | $17,000 | thousands by filing date | put |
| HERTZ GLOBAL HOLDINGS INC | 42805TAA3 | NOTE 5.250% 6/0 | 5,000 | $17,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 16,524 | $17,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 400 | $17,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 1,726 | $17,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 11,900 | $17,000 | thousands by filing date | call |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 1,180 | $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 | 74347X146 | PSHS ULTSHT FINL | 1,000 | $17,000 | thousands by filing date | put |
| SELECTICA INC | 816288203 | COM | 2,716 | $17,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 309 | $16,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 770 | $16,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 800 | $16,000 | thousands by filing date | call |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 300 | $16,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 2,002 | $16,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 500 | $16,000 | thousands by filing date | put |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 1,200 | $16,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 10,024 | $16,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2,045 | $16,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 822 | $16,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 1,221 | $16,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 900 | $16,000 | thousands by filing date | call |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 3,100 | $16,000 | thousands by filing date | call |
| CEMPRA INC | 15130J109 | COM | 1,286 | $16,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 2,432 | $16,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 14,000 | $16,000 | thousands by filing date | principal |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 5,673 | $16,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 1,000 | $16,000 | thousands by filing date | put |
| ALUMINA LTD ADR | 022205108 | COM | 3,979 | $16,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 2,331 | $16,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 800 | $16,000 | thousands by filing date | |
| HOME FEDERAL BANCORP INC/ID | 43710G105 | COM | 1,068 | $16,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 6,300 | $16,000 | thousands by filing date | call |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 4,447 | $16,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 17,700 | $16,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 4,798 | $16,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 2,067 | $16,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 1,750 | $16,000 | thousands by filing date | |
| ISHARES MSCI FAR E F S IN FD | 464289214 | CMN | 512 | $16,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 3,038 | $16,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 958 | $16,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 627 | $16,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 177 | $15,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 1,768 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 294 | $15,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 200 | $15,000 | thousands by filing date | call |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 344 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 550 | $15,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 630 | $15,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | put |
| SBA COMMUNICATIONS CORP | 78388JAM8 | CORPORATE OBLIG | 5,000 | $15,000 | thousands by filing date | principal |
| MAC-GRAY CORP | 554153106 | COMMON STOCK | 687 | $15,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 2,399 | $15,000 | thousands by filing date | |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 500 | $15,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 12,275 | $15,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 3,100 | $15,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 3,730 | $15,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 1,216 | $15,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 8,787 | $15,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 916 | $15,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 14,827 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286384 | MSCI EMRG EMEA | 285 | $15,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 1,828 | $15,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 4,006 | $15,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,300 | $15,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 452 | $14,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 600 | $14,000 | thousands by filing date | put |
| VSE CORP COM | 918284100 | Stock | 300 | $14,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 5,600 | $14,000 | thousands by filing date | put |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,002 | $14,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 1,300 | $14,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,257 | $14,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 263 | $14,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 500 | $14,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,906 | $14,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 1,576 | $14,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,546 | $14,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 9,978 | $14,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 2,867 | $14,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,833 | $14,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 817 | $14,000 | thousands by filing date | |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 13,000 | $14,000 | thousands by filing date | principal |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,332 | $14,000 | thousands by filing date | |
| SIMCERE PHARMACEUTICAL GROUP | 82859P104 | SPON ADR | 1,500 | $14,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 1,848 | $14,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 1,670 | $14,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 11,066 | $14,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,700 | $14,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 681 | $14,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,639 | $14,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 1,977 | $14,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 6,764 | $14,000 | thousands by filing date | |
| LEHIGH GAS PARTNERS LP | 524814100 | UT LTD PTN INT | 500 | $14,000 | thousands by filing date | |
| BLUEPHOENIX SOLUTIONS LTD | M20157117 | SHS NEW | 3,000 | $14,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 321 | $14,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 700 | $14,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 900 | $13,000 | thousands by filing date | put |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 300 | $13,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 700 | $13,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 2,500 | $13,000 | thousands by filing date | |
| XL GROUP PLC | G98290102 | SHS | 400 | $13,000 | thousands by filing date | put |
| KEYW HLDG CORP | 493723100 | COM | 1,022 | $13,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 4,661 | $13,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,600 | $13,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 4,016 | $13,000 | thousands by filing date | |
| RICK'S CABARET INTL INC | 765641303 | COM | 1,121 | $13,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 4,608 | $13,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 1,697 | $13,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 6,000 | $13,000 | thousands by filing date | principal |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 15,016 | $13,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 535 | $13,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 7,500 | $13,000 | thousands by filing date | |
| ONEIDA FINL CORP MD | 682479100 | COM | 1,029 | $13,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 3,393 | $13,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R700 | 7-15 YR US TRS | 159 | $13,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 347 | $13,000 | thousands by filing date | |
| CHARM COMMUNICATIONS INC | 16112R101 | ADR SHS CL A | 3,000 | $13,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 1,000 | $13,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 229 | $12,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 400 | $12,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 500 | $12,000 | thousands by filing date | call |
| MONROE CAPITAL CORP | 610335101 | COM | 1,040 | $12,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 936 | $12,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 1,200 | $12,000 | thousands by filing date | put |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 478 | $12,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,575 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 333 | $12,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 1,183 | $12,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 6,785 | $12,000 | thousands by filing date | |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 600 | $12,000 | thousands by filing date | put |
| COLEMAN CABLE INC | 193459302 | COM | 460 | $12,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 6,000 | $12,000 | thousands by filing date | principal |
| Almaden Minerals Ltd | 020283107 | COM | 10,600 | $12,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 2,125 | $12,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 1,000 | $12,000 | thousands by filing date | put |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 979 | $12,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 1,501 | $12,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 299 | $12,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 3,067 | $12,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 1,868 | $12,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 1,463 | $12,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 2,000 | $12,000 | thousands by filing date | principal |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 9,000 | $12,000 | thousands by filing date | principal |
| BOX SHIPS INC | Y09675102 | CMN | 3,500 | $12,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 6,000 | $12,000 | thousands by filing date | principal |
| FIRST AMERICAN MN MUN INC II | 31849P104 | CMN | 900 | $12,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 1,115 | $12,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 5,272 | $12,000 | thousands by filing date | |
| REMARK MEDIA INC | 75954W107 | COM | 2,654 | $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 | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 4,454 | $12,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 1,759 | $12,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 200 | $11,000 | thousands by filing date | call |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 200 | $11,000 | thousands by filing date | put |
| LGI HOMES INC COM | 50187T106 | Stock | 600 | $11,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 700 | $11,000 | thousands by filing date | call |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 400 | $11,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 300 | $11,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 8,000 | $11,000 | thousands by filing date | principal |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 423 | $11,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 200 | $11,000 | thousands by filing date | put |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,911 | $11,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 1,000 | $11,000 | thousands by filing date | put |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 3,000 | $11,000 | thousands by filing date | call |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 11,000 | $11,000 | thousands by filing date | principal |
| AIXTRON SE | 009606104 | SPONSORED ADR | 781 | $11,000 | thousands by filing date | |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 539 | $11,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 17,706 | $11,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 3,009 | $11,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 6,700 | $11,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 16,577 | $11,000 | thousands by filing date | |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 1,000 | $11,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 2,186 | $11,000 | thousands by filing date | |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 1,727 | $11,000 | thousands by filing date | |
| COUNTRY STYLE COOKING REST ADR | 22238M109 | ADR-EMG MKT | 1,100 | $11,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 600 | $11,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 4,482 | $11,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 901 | $11,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 10,500 | $11,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 263 | $10,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 200 | $10,000 | thousands by filing date | put |
| OSHKOSH CORP COM | 688239201 | Stock | 200 | $10,000 | thousands by filing date | call |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 300 | $10,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 8,099 | $10,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 1,204 | $10,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 900 | $10,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 400 | $10,000 | thousands by filing date | put |
| Gilat Satellite Network | M51474118 | COM | 2,150 | $10,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 400 | $10,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 321 | $10,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 2,400 | $10,000 | thousands by filing date | call |
| NUTRI SYS INC NEW | 67069D108 | COM | 600 | $10,000 | thousands by filing date | put |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 8,545 | $10,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| JINPAN INTL LTD | G5138L100 | ORD | 1,207 | $10,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 2,695 | $10,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 719 | $10,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 761 | $10,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 665 | $10,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 439 | $10,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 2,000 | $10,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 700 | $10,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 484 | $10,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 630 | $10,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 2,300 | $10,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 601 | $10,000 | thousands by filing date | |
| POKERTEK INC | 730864204 | COM | 10,784 | $10,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 6,850 | $10,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 2,248 | $10,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 300 | $10,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 2,632 | $10,000 | thousands by filing date | call |
| STONEGATE MTG CORP | 86181Q300 | COM | 600 | $10,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 135 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 400 | $9,000 | thousands by filing date | call |
| SIMULATIONS PLUS INC | 829214105 | COM | 1,840 | $9,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 5,700 | $9,000 | thousands by filing date | call |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 600 | $9,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 168 | $9,000 | thousands by filing date | put |
| BJS RESTAURANTS INC | 09180C106 | COM | 300 | $9,000 | thousands by filing date | call |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 548 | $9,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,036 | $9,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 800 | $9,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 404 | $9,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 3,900 | $9,000 | thousands by filing date | call |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 555 | $9,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 500 | $9,000 | thousands by filing date | put |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 100 | $9,000 | thousands by filing date | put |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 400 | $9,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 4,323 | $9,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 500 | $9,000 | thousands by filing date | put |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 211 | $9,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 100 | $9,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 67 | $9,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 4,278 | $9,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 6,050 | $9,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,900 | $9,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 5,000 | $9,000 | thousands by filing date | principal |
| PROMOTORA DE INFORMACIONES S | 74343G303 | ADR CL B CONV | 3,000 | $9,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 6,550 | $9,000 | thousands by filing date | |
| NTS RLTY HLDGS LTD PARTNERSH | 629422106 | PARTSHIP UNITS | 1,221 | $9,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 700 | $9,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 400 | $8,000 | thousands by filing date | put |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 522 | $8,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 562 | $8,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 191 | $8,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 932 | $8,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 388 | $8,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 485 | $8,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 868 | $8,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,020 | $8,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 522 | $8,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 527 | $8,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 600 | $8,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,500 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 404 | $8,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 550 | $8,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 539 | $8,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 300 | $8,000 | thousands by filing date | put |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 229 | $8,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 11,978 | $8,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 4,000 | $8,000 | thousands by filing date | principal |
| POINTS INTL LTD | 730843208 | COM NEW | 300 | $8,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 310 | $8,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 3,000 | $8,000 | thousands by filing date | principal |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 600 | $8,000 | thousands by filing date | put |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 3,700 | $8,000 | thousands by filing date | call |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 2,000 | $8,000 | thousands by filing date | put |
| INTL GAME TECH 3.250 | 459902AQ5 | NOTE 3.250% 5/0 | 8,000 | $8,000 | thousands by filing date | principal |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 30,506 | $8,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 2,696 | $8,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 2,767 | $8,000 | thousands by filing date | |
| FRISCH'S RESTAURANTS INC | 358748101 | COM | 319 | $8,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 62 | $8,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 600 | $8,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 749 | $8,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 455 | $8,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 200 | $8,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 436 | $8,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 90 | $8,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 750 | $8,000 | thousands by filing date | |
| POWERSHARES KBW INT FINANCL | 73936Q785 | COM | 294 | $8,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 1,000 | $8,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818AB7 | CNV | 3,000 | $8,000 | thousands by filing date | principal |
| VESTIN RLTY MTG II INC | 92549X201 | COM NEW | 4,857 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $8,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 265 | $7,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 413 | $7,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 400 | $7,000 | thousands by filing date | call |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 600 | $7,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 900 | $7,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 717 | $7,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 166 | $7,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 288 | $7,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 300 | $7,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 100 | $7,000 | thousands by filing date | call |
| COFFEE HLDG CO INC | 192176105 | COM | 1,470 | $7,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 517 | $7,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 5,000 | $7,000 | thousands by filing date | principal |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 3,300 | $7,000 | thousands by filing date | put |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 6,000 | $7,000 | thousands by filing date | principal |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 5,260 | $7,000 | thousands by filing date | |
| TEXAS INDUSTRIES INC | 882491103 | COM | 100 | $7,000 | thousands by filing date | put |
| PENDRELL CORP | 70686R104 | COM | 3,700 | $7,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 3,400 | $7,000 | thousands by filing date | put |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 3,400 | $7,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 1,000 | $7,000 | thousands by filing date | call |
| HEALTH MGMT ASSOC INC NEW | 421933102 | CL A | 500 | $7,000 | thousands by filing date | call |
| HILLSHIRE BRANDS CO | 432589109 | COM | 200 | $7,000 | thousands by filing date | call |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 5,000 | $7,000 | thousands by filing date | principal |
| VIRGINIA COMM BANCORP INC | 92778Q109 | COM | 400 | $7,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 357 | $7,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 2,116 | $7,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 361 | $7,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $7,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 9,000 | $7,000 | thousands by filing date | principal |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 1,613 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 242 | $7,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 376 | $7,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 4,046 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 315 | $7,000 | thousands by filing date | |
| NOVAGOLD RES INC | 66987EAA5 | NOTE 5.500% 5/0 | 7,000 | $7,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 500 | $7,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 1,623 | $7,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 700 | $7,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 200 | $6,000 | thousands by filing date | put |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 100 | $6,000 | thousands by filing date | put |
| GREIF INC | 397624206 | CL B | 98 | $6,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 1,035 | $6,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 381 | $6,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 236 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,000 | $6,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 512 | $6,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 3,100 | $6,000 | thousands by filing date | call |
| DATALINK CORP | 237934104 | COMMON STOCK | 595 | $6,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 2,000 | $6,000 | thousands by filing date | put |
| VERTEX ENERGY INC | 92534K107 | COM | 1,977 | $6,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 507 | $6,000 | thousands by filing date | |
| Northeast Community Bancorp Inc | 664112109 | COM | 800 | $6,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 2,200 | $6,000 | thousands by filing date | call |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 452 | $6,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 271 | $6,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 380 | $6,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 1,600 | $6,000 | thousands by filing date | put |
| NEW YORK & CO INC | 649295102 | COM | 1,339 | $6,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 5,007 | $6,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 1,778 | $6,000 | thousands by filing date | |
| SCHAWK INC | 806373106 | CL A | 423 | $6,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 407 | $6,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 2,309 | $6,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 1,184 | $6,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 158 | $6,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 400 | $6,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 347 | $6,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 1,006 | $6,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 1,095 | $6,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 712 | $6,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 300 | $6,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 5,000 | $6,000 | thousands by filing date | principal |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 504 | $6,000 | thousands by filing date | |
| POWERSHARES LUX | 73935X633 | LX NANOTCH PTF | 817 | $6,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895101 | CLB | 660 | $6,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 1,541 | $6,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 4,000 | $6,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 972 | $6,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 462 | $6,000 | thousands by filing date | put |
| CARRIZO OIL + GAS INC | 144577AA1 | COMPANY GUAR 06/28 4.375 | 6,000 | $6,000 | thousands by filing date | principal |
| CREDIT SUISSE AG NASSAU BRH | 22539T621 | EXCHTRADE MIDTER | 100 | $6,000 | thousands by filing date | call |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 920 | $5,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 200 | $5,000 | thousands by filing date | put |
| NEOGENOMICS INC | 64049M209 | COM NEW | 1,353 | $5,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 295 | $5,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 161 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 100 | $5,000 | thousands by filing date | call |
| CYS INVTS INC | 12673A108 | COM | 700 | $5,000 | thousands by filing date | put |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,312 | $5,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219LAH2 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 236 | $5,000 | thousands by filing date | |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| WASHINGTON BANKING CO | 937303105 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 5,000 | $5,000 | thousands by filing date | principal |
| PIER 1 IMPORTS INC | 720279108 | COM | 200 | $5,000 | thousands by filing date | call |
| TRW AUTOMOTIVE INC | 87264MAH2 | NOTE 3.500%12/0 | 2,000 | $5,000 | thousands by filing date | principal |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 500 | $5,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 1,768 | $5,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 600 | $5,000 | thousands by filing date | put |
| PULASKI FINANCIAL CORP | 745548107 | COM | 450 | $5,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 1,841 | $5,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 200 | $5,000 | thousands by filing date | |
| DFC GLOBAL CORP | 256664AC7 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $5,000 | thousands by filing date | principal |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 2,415 | $5,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 4,000 | $5,000 | thousands by filing date | principal |
| SALESFORCE COM INC | 79466LAB0 | BOND | 2,000 | $5,000 | thousands by filing date | principal |
| PIMCO ETF TR | 72201R759 | CDA BD IDX FD | 50 | $5,000 | thousands by filing date | |
| HELIOS HIGH | 42327X204 | COM NEW | 600 | $5,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 3,000 | $5,000 | thousands by filing date | principal |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 230 | $5,000 | thousands by filing date | |
| RESPONSE GENETICS INC | 76123U105 | COM | 4,705 | $5,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,037 | $5,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 4,000 | $5,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-008119 | this filing | 2014-02-18 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-14-009995 | added | 2014-02-27 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-14-010002 | added | 2014-02-27 | acceptance time not in the bulk data set |