13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-15, with 7,961 holding rows worth $269,278,300,000.
- Accession
- 0001140361-14-021662
- Filer
- CIK 70858
- Filed
- 2014-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 17,819 entries on the cover page, a total value of $269,278,300,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $269,278,300,000 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
- 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.028-16009
- included managerEQUITY FINANCE DELAWARE, LLC028-16012
- 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 NY MUN INCOME TR I | 09249R102 | COM | 1,225 | $17,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 876 | $17,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 2,200 | $17,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 700 | $17,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 2,500 | $17,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 816 | $16,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 215 | $16,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,008 | $16,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 600 | $16,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | put |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | call |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 2,129 | $16,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 1,000 | $16,000 | thousands by filing date | call |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 2,000 | $16,000 | thousands by filing date | |
| XL GROUP PLC | G98290102 | SHS | 500 | $16,000 | thousands by filing date | put |
| VERASTEM INC | 92337C104 | COM | 1,439 | $16,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 700 | $16,000 | thousands by filing date | put |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 1,681 | $16,000 | thousands by filing date | |
| VOCUS INC | 92858J108 | COM | 1,177 | $16,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 573 | $16,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 4,900 | $16,000 | thousands by filing date | call |
| HERTZ GLOBAL HOLDINGS INC | 42805TAA3 | NOTE 5.250% 6/0 | 5,000 | $16,000 | thousands by filing date | principal |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 10,311 | $16,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 9,000 | $16,000 | thousands by filing date | put |
| GLOBAL SOURCES LTD | G39300101 | ORD | 1,841 | $16,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 421 | $16,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 4,225 | $16,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 4,778 | $16,000 | thousands by filing date | |
| SALESFORCE COM INC | 79466LAB0 | BOND | 6,000 | $16,000 | thousands by filing date | principal |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 900 | $16,000 | thousands by filing date | |
| HAMPDEN BANCORP INC | 40867E107 | COM | 1,000 | $16,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 900 | $16,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 4,046 | $16,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 6,600 | $16,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 900 | $16,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 1,077 | $16,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 4,500 | $16,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 1,200 | $15,000 | thousands by filing date | put |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,000 | $15,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 1,000 | $15,000 | thousands by filing date | call |
| PHOTRONICS INC | 719405102 | COM | 1,743 | $15,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 646 | $15,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 800 | $15,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 2,021 | $15,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 1,400 | $15,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 3,700 | $15,000 | thousands by filing date | put |
| REALPAGE INC | 75606N109 | COM | 837 | $15,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 17,000 | $15,000 | thousands by filing date | principal |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 14,000 | $15,000 | thousands by filing date | principal |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 5,673 | $15,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 2,300 | $15,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 965 | $15,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,236 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286566 | MSCI EMKT EUR | 657 | $15,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U225 | RETAIL ETF | 257 | $15,000 | thousands by filing date | |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 1,642 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 800 | $15,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 875 | $15,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 3,506 | $15,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 15,000 | $15,000 | thousands by filing date | principal |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 251,534 | $15,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 1,585 | $14,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 1,000 | $14,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 306 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 400 | $14,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 7,625 | $14,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,000 | $14,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 500 | $14,000 | thousands by filing date | put |
| LA Z BOY INC | 505336107 | COM | 500 | $14,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,231 | $14,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 756 | $14,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 300 | $14,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 100 | $14,000 | thousands by filing date | call |
| BIOLASE INC | 090911108 | COMMON STOCK | 6,103 | $14,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 1,000 | $14,000 | thousands by filing date | call |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 1,479 | $14,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 5,000 | $14,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 11,850 | $14,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 2,292 | $14,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 400 | $14,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 7,600 | $14,000 | thousands by filing date | call |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 4,267 | $14,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 10,603 | $14,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 4,026 | $14,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 6,000 | $14,000 | thousands by filing date | principal |
| RHINO RESOURCE PARTNERS LP | 76218Y103 | COM UNIT REPST | 1,000 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 300 | $14,000 | thousands by filing date | call |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 300 | $14,000 | thousands by filing date | call |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 15,000 | $14,000 | thousands by filing date | principal |
| ATLATSA RES CORP | 049477102 | COM | 30,125 | $14,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 200 | $13,000 | thousands by filing date | put |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 600 | $13,000 | thousands by filing date | call |
| KELLANOVA | 487836108 | COM | 200 | $13,000 | thousands by filing date | call |
| AMBARELLA INC | G037AX101 | SHS | 500 | $13,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 2,863 | $13,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 747 | $13,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 400 | $13,000 | thousands by filing date | put |
| BJS RESTAURANTS INC | 09180C106 | COM | 400 | $13,000 | thousands by filing date | call |
| REIS INC | 75936P105 | COM | 720 | $13,000 | thousands by filing date | |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 10,700 | $13,000 | thousands by filing date | put |
| RARE ELEMENT RES LTD | 75381M102 | COM | 8,818 | $13,000 | thousands by filing date | |
| DFC GLOBAL CORP | 23324T107 | COM | 1,506 | $13,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 700 | $13,000 | thousands by filing date | put |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,315 | $13,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 100 | $13,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23338T101 | COM | 1,000 | $13,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 3,000 | $13,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 4,000 | $13,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 7,200 | $13,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 1,768 | $13,000 | thousands by filing date | |
| LEHIGH GAS PARTNERS LP | 524814100 | UT LTD PTN INT | 500 | $13,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 14,928 | $13,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 1,750 | $13,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 500 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 700 | $13,000 | thousands by filing date | call |
| FIRST AMERICAN MN MUN INC II | 31849P104 | CMN | 900 | $13,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 200 | $13,000 | thousands by filing date | call |
| NORCRAFT COS INC | 65557Y105 | COM | 737 | $13,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 1,717 | $13,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 3,400 | $12,000 | thousands by filing date | put |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 100 | $12,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 363 | $12,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 600 | $12,000 | thousands by filing date | put |
| OFS CAPITAL CORP | 67103B100 | COM | 971 | $12,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 900 | $12,000 | thousands by filing date | call |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 757 | $12,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 362 | $12,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,000 | $12,000 | thousands by filing date | put |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,548 | $12,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 762 | $12,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 7,575 | $12,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 407 | $12,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 900 | $12,000 | thousands by filing date | call |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 12,000 | $12,000 | thousands by filing date | principal |
| ATMEL CORP | 049513104 | COM | 1,400 | $12,000 | thousands by filing date | call |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 200 | $12,000 | thousands by filing date | put |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 1,322 | $12,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 1,100 | $12,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 8,000 | $12,000 | thousands by filing date | principal |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 1,200 | $12,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 30,100 | $12,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 991 | $12,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 2,000 | $12,000 | thousands by filing date | call |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 500 | $12,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,600 | $12,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 1,100 | $12,000 | thousands by filing date | call |
| ONEIDA FINL CORP MD | 682479100 | COM | 1,000 | $12,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 1,015 | $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 | |
| Attunity Ltd | M15332121 | SHS NEW | 1,250 | $12,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 343 | $12,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 7,600 | $12,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 3,300 | $12,000 | thousands by filing date | put |
| LILIS ENERGY INC | 532403102 | Cmn | 3,500 | $12,000 | thousands by filing date | |
| CELLADON CORP | 15117E107 | Cmn | 1,000 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y322 | COM | 600 | $12,000 | thousands by filing date | call |
| NOVA LTD COM | M7516K103 | Stock | 968 | $11,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 182 | $11,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,216 | $11,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,500 | $11,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 100 | $11,000 | thousands by filing date | call |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 200 | $11,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 2,000 | $11,000 | thousands by filing date | put |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 2,200 | $11,000 | thousands by filing date | put |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 8,000 | $11,000 | thousands by filing date | principal |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 435 | $11,000 | thousands by filing date | |
| ROCKET COMPANIES CLA A CLASS A | 772739207 | COM | 100 | $11,000 | thousands by filing date | put |
| ROCKET COMPANIES CLA A CLASS A | 772739207 | COM | 100 | $11,000 | thousands by filing date | call |
| NUTRI SYS INC NEW | 67069D108 | COM | 700 | $11,000 | thousands by filing date | put |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 11,000 | $11,000 | thousands by filing date | principal |
| CELADON GROUP INC | 150838100 | COM | 452 | $11,000 | thousands by filing date | |
| HOME FEDERAL BANCORP INC/ID | 43710G105 | COM | 679 | $11,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 618 | $11,000 | thousands by filing date | |
| PMC COMMERCIAL TRUST | 693434102 | SH B | 2,330 | $11,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 3,906 | $11,000 | thousands by filing date | |
| POKERTEK INC | 730864204 | COM | 10,502 | $11,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 429 | $11,000 | thousands by filing date | |
| PROSHARES ULTRASHORT RE | 74348A871 | COM | 600 | $11,000 | thousands by filing date | put |
| PROMOTORA DE INFORMACIONES S | 74343G303 | ADR CL B CONV | 3,000 | $11,000 | thousands by filing date | |
| TEKMIRA PHARMACEUTICALS COR | 87911B209 | COM NEW | 500 | $11,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 500 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 150 | $10,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 764 | $10,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 1,000 | $10,000 | thousands by filing date | call |
| TERADATA CORP DEL | 88076W103 | COM | 200 | $10,000 | thousands by filing date | put |
| VALUE LINE INC | 920437100 | COMMON STOCK | 650 | $10,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 615 | $10,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 919 | $10,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 305 | $10,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 321 | $10,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 2,260 | $10,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 4,648 | $10,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 3,000 | $10,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 2,962 | $10,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 1,096 | $10,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 755 | $10,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 5,000 | $10,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R537 | PSHS ULT1000 GRW | 93 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286384 | MSCI EMRG EMEA | 206 | $10,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 1,226 | $10,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 4,300 | $10,000 | thousands by filing date | call |
| WVS FINL CORP | 929358109 | COM | 904 | $10,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 7,000 | $10,000 | thousands by filing date | principal |
| NTS RLTY HLDGS LTD PARTNERSH | 629422106 | PARTSHIP UNITS | 1,221 | $10,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 4,000 | $10,000 | thousands by filing date | principal |
| GRAND CANYON ED INC COM | 38526M106 | Stock | 200 | $9,000 | thousands by filing date | call |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 168 | $9,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 2,200 | $9,000 | thousands by filing date | call |
| PHOTRONICS INC | 719405102 | COM | 1,000 | $9,000 | thousands by filing date | put |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 900 | $9,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $9,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 600 | $9,000 | thousands by filing date | put |
| GRAY MEDIA INC | 389375205 | CL A | 1,021 | $9,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 1,800 | $9,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 8,000 | $9,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 7,000 | $9,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W395 | FUND | 100 | $9,000 | thousands by filing date | put |
| TW TELECOM INC | 87311L104 | COM | 300 | $9,000 | thousands by filing date | put |
| COVANTA HLDG CORP | 22282EAC6 | NOTE 3.250% 6/0 | 8,000 | $9,000 | thousands by filing date | principal |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 644 | $9,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 2,486 | $9,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 1,000 | $9,000 | thousands by filing date | put |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 3,400 | $9,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 1,356 | $9,000 | thousands by filing date | |
| MEDIVATION INC | 58501NAA9 | NOTE | 6,000 | $9,000 | thousands by filing date | principal |
| LIFELOCK INC COM | 53224V100 | COM | 500 | $9,000 | thousands by filing date | call |
| ISRAMCO INC | 465141406 | COM | 65 | $9,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 430 | $9,000 | thousands by filing date | |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 7,000 | $9,000 | thousands by filing date | principal |
| PROMOTORA DE INFORMACIONES-A | 74343G204 | CMN | 4,050 | $9,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 2,800 | $9,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 700 | $9,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 638 | $9,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,494 | $8,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 221 | $8,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 100 | $8,000 | thousands by filing date | put |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 559 | $8,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 175 | $8,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 501 | $8,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 385 | $8,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 2,700 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 200 | $8,000 | thousands by filing date | call |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 550 | $8,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 500 | $8,000 | thousands by filing date | call |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 1,600 | $8,000 | thousands by filing date | call |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 1,647 | $8,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 3,500 | $8,000 | thousands by filing date | call |
| RARE ELEMENT RES LTD | 75381M102 | COM | 5,200 | $8,000 | thousands by filing date | put |
| ASGN INC | 682159108 | COM | 200 | $8,000 | thousands by filing date | call |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 6,000 | $8,000 | thousands by filing date | principal |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 4,000 | $8,000 | thousands by filing date | principal |
| CURIS INC | 231269101 | COM | 3,000 | $8,000 | thousands by filing date | put |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 310 | $8,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 6,206 | $8,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 204 | $8,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 300 | $8,000 | thousands by filing date | put |
| ANADIGICS INC | 032515108 | COM | 4,987 | $8,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 2,700 | $8,000 | thousands by filing date | put |
| SUN BANCORP INC | 86663B102 | COM | 2,564 | $8,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 3,318 | $8,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,000 | $8,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 571 | $8,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 500 | $8,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 1,000 | $8,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 6,000 | $8,000 | thousands by filing date | principal |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 1,039 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 252 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $8,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 100 | $7,000 | thousands by filing date | put |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 100 | $7,000 | thousands by filing date | call |
| HECLA MNG CO | 422704106 | COM | 2,200 | $7,000 | thousands by filing date | call |
| GRAHAM CORP | 384556106 | COM | 225 | $7,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 500 | $7,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 600 | $7,000 | thousands by filing date | call |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 200 | $7,000 | thousands by filing date | call |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 7,000 | $7,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 7,000 | $7,000 | thousands by filing date | principal |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 688 | $7,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 200 | $7,000 | thousands by filing date | call |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 4,500 | $7,000 | thousands by filing date | put |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 4,100 | $7,000 | thousands by filing date | call |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,240 | $7,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 2,018 | $7,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 6,000 | $7,000 | thousands by filing date | principal |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 5,000 | $7,000 | thousands by filing date | principal |
| RENESOLA LTD | 75971T103 | SPONS ADS | 2,236 | $7,000 | thousands by filing date | |
| GSI GROUP INC | 36191C205 | COM | 541 | $7,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 653 | $7,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 2,500 | $7,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 700 | $7,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 3,570 | $7,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 6,000 | $7,000 | thousands by filing date | principal |
| 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 |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 365 | $7,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 319 | $7,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 1,595 | $7,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,317 | $7,000 | thousands by filing date | |
| PULSE ELECTRONICS CORP | 74586WAA4 | NOTE 7.00%12/1 | 10,000 | $7,000 | thousands by filing date | principal |
| TRIUMPH GROUP INC NEW | 896818AB7 | CNV | 3,000 | $7,000 | thousands by filing date | principal |
| 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 | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 521 | $7,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 2,300 | $7,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 100 | $6,000 | thousands by filing date | call |
| CENTENE CORP DEL COM | 15135B101 | Stock | 100 | $6,000 | thousands by filing date | call |
| ESSENT GROUP LTD COM | G3198U102 | Stock | 298 | $6,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 100 | $6,000 | thousands by filing date | put |
| CARNIVAL PLC ADS | 14365C103 | ADR | 144 | $6,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 400 | $6,000 | thousands by filing date | call |
| NORDSTROM INC | 655664100 | COM | 100 | $6,000 | thousands by filing date | put |
| LAM RESEARCH CORP | 512807108 | COM | 100 | $6,000 | thousands by filing date | call |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 105 | $6,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 200 | $6,000 | thousands by filing date | call |
| INTREPID POTASH INC | 46121Y102 | COM | 400 | $6,000 | thousands by filing date | call |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,000 | $6,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 320 | $6,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 500 | $6,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 500 | $6,000 | thousands by filing date | put |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 6,000 | $6,000 | thousands by filing date | principal |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 1,566 | $6,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 4,000 | $6,000 | thousands by filing date | principal |
| Northeast Community Bancorp Inc | 664112109 | COM | 800 | $6,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,100 | $6,000 | thousands by filing date | put |
| INTERMOLECULAR INC | 45882D109 | COM | 2,125 | $6,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 143 | $6,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 2,788 | $6,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 2,139 | $6,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 400 | $6,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 715 | $6,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 341 | $6,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 1,000 | $6,000 | thousands by filing date | principal |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 5,000 | $6,000 | thousands by filing date | principal |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 5,000 | $6,000 | thousands by filing date | principal |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 600 | $6,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 700 | $6,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,000 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 121 | $6,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 5,000 | $6,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,000 | $6,000 | thousands by filing date | principal |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,005 | $6,000 | thousands by filing date | |
| VESTIN RLTY MTG II INC | 92549X300 | COM PAR | 1,075 | $6,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 500 | $5,000 | thousands by filing date | put |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 200 | $5,000 | thousands by filing date | put |
| BANCORP INC DEL | 05969A105 | COM | 256 | $5,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 116 | $5,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 1,500 | $5,000 | thousands by filing date | put |
| SEABOARD CORP DEL | 811543107 | COM | 2 | $5,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 1,120 | $5,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 236 | $5,000 | thousands by filing date | |
| MATTRESS FIRM HLDG CORP | 57722W106 | COM | 100 | $5,000 | thousands by filing date | put |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 253 | $5,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 574 | $5,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 115 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 9,000 | $5,000 | thousands by filing date | principal |
| QLT INC | 746927102 | COMMON STOCK | 895 | $5,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 543 | $5,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,530 | $5,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 5,100 | $5,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 500 | $5,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 1,100 | $5,000 | thousands by filing date | call |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 900 | $5,000 | thousands by filing date | call |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 8,200 | $5,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 700 | $5,000 | thousands by filing date | put |
| TEXTURA CORP | 883211104 | COM | 200 | $5,000 | thousands by filing date | call |
| RAND CAP CORP | 752185108 | COM | 1,461 | $5,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 326 | $5,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 300 | $5,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 180 | $5,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 289 | $5,000 | thousands by filing date | |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 195 | $5,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 2,000 | $5,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 450 | $5,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 1,800 | $5,000 | thousands by filing date | |
| DFC GLOBAL CORP | 256664AC7 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 11,496 | $5,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 3,556 | $5,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 3,197 | $5,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 5,000 | $5,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 2,700 | $5,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R759 | CDA BD IDX FD | 50 | $5,000 | thousands by filing date | |
| PROSHARES ULTRASHORT RE | 74348A871 | COM | 300 | $5,000 | thousands by filing date | call |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 5,429 | $5,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 3,000 | $5,000 | thousands by filing date | principal |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 2,200 | $5,000 | thousands by filing date | put |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 1,175 | $5,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 147 | $5,000 | thousands by filing date | |
| DENDREON CORP | 24823QAB3 | NOTE 4.750% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 633 | $5,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 4,000 | $5,000 | thousands by filing date | principal |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 355 | $5,000 | thousands by filing date | |
| DFC GLOBAL CORP | 23324TAB3 | NOTE 3.250% 4/1 | 6,000 | $5,000 | thousands by filing date | principal |
| IAMGOLD CORP COM | 450913108 | Stock | 1,100 | $4,000 | thousands by filing date | call |
| ITRON INC COM | 465741106 | Stock | 100 | $4,000 | thousands by filing date | call |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 100 | $4,000 | thousands by filing date | put |
| LAKELAND FINL CORP | 511656100 | COM | 109 | $4,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 225 | $4,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 2,072 | $4,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 225 | $4,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 8,000 | $4,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 146 | $4,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 100 | $4,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 2,756 | $4,000 | thousands by filing date | |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 100 | $4,000 | thousands by filing date | call |
| EDGIO INC | 53261M104 | COM | 2,000 | $4,000 | thousands by filing date | call |
| POTBELLY CORP | 73754Y100 | COM | 200 | $4,000 | thousands by filing date | put |
| SPECTRA ENERGY CORP | 847560109 | COM | 100 | $4,000 | thousands by filing date | put |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| RARE ELEMENT RES LTD | 75381M102 | COM | 2,400 | $4,000 | thousands by filing date | call |
| Zagg, Inc. | 98884U108 | COM | 800 | $4,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 2,749 | $4,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 200 | $4,000 | thousands by filing date | put |
| VICAL INC | 925602104 | COM | 3,154 | $4,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 2,000 | $4,000 | thousands by filing date | put |
| AG MTG INVT TR INC | 001228105 | COM | 200 | $4,000 | thousands by filing date | put |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 162 | $4,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 5,390 | $4,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 716 | $4,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 543 | $4,000 | thousands by filing date | |
| SCHAWK INC | 806373106 | CL A | 198 | $4,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 4,780 | $4,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 4,700 | $4,000 | thousands by filing date | call |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 227 | $4,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 246 | $4,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 164 | $4,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 800 | $4,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 111 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y488 | DLY SC BEAR3XNEW | 250 | $4,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,000 | $4,000 | thousands by filing date | |
| PRICELINE COM INC | 741503AN6 | BOND | 1,000 | $4,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 100 | $4,000 | thousands by filing date | call |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 782 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 100 | $4,000 | thousands by filing date | put |
| ISHARES TR | 464289172 | MSCI EM MK FNL | 175 | $4,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 527 | $4,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895101 | CLB | 560 | $4,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 1,211 | $4,000 | thousands by filing date | |
| TIMBERLINE RESOURCES CORP | 887133106 | COM | 24,400 | $4,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 390 | $4,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 500 | $4,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 1,732 | $4,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 361 | $3,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 334 | $3,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 100 | $3,000 | thousands by filing date | call |
| GREIF INC | 397624206 | CL B | 44 | $3,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 100 | $3,000 | thousands by filing date | call |
| LEMAITRE VASCULAR INC | 525558201 | COM | 340 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 100 | $3,000 | thousands by filing date | put |
| CHATHAM LODGING TR | 16208T102 | COM | 129 | $3,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 142 | $3,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 489 | $3,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 800 | $3,000 | thousands by filing date | put |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 200 | $3,000 | thousands by filing date | put |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 118 | $3,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 114 | $3,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,520 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 63 | $3,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 535 | $3,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 723 | $3,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 737 | $3,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 108 | $3,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| POLYCOM | 73172K104 | COMMON STOCK | 200 | $3,000 | thousands by filing date | put |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 600 | $3,000 | thousands by filing date | put |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 4,000 | $3,000 | thousands by filing date | principal |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 14 | $3,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 1,000 | $3,000 | thousands by filing date | put |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 100 | $3,000 | thousands by filing date | put |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 198 | $3,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 100 | $3,000 | thousands by filing date | call |
| SP PLUS CORP | 78469C103 | COM | 108 | $3,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 200 | $3,000 | thousands by filing date | put |
| PROSHARES TR II | 74347W395 | FUND | 38 | $3,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 1,833 | $3,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 100 | $3,000 | thousands by filing date | |
| JTH HLDG INC | 46637N103 | CL A | 111 | $3,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 5,000 | $3,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 400 | $3,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 300 | $3,000 | thousands by filing date | call |
| U S GEOTHERMAL INC | 90338S102 | COM | 3,100 | $3,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,000 | $3,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 1,000 | $3,000 | thousands by filing date | put |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 1,000 | $3,000 | thousands by filing date | call |
| SYNACOR INC | 871561106 | COM | 1,060 | $3,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AH9 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| VERSAR INC | 925297103 | COM | 783 | $3,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 564 | $3,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 2,666 | $3,000 | thousands by filing date | principal |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 2,132 | $3,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 549 | $3,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIO | 205826AF7 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 375 | $3,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 900 | $3,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-021662 | this filing | 2014-05-15 | acceptance time not in the bulk data set |